证监会谴责恒生(00011.HK)投资产品销售手法失当 罚款6,640万元

阿斯达克财经
Jan 27, 2025

证监会谴责恒生银行(00011.HK) ,并处以罚款6,640万元,指出恒生于2014年2月至2023年5月逾九年间多个时段内,在销售集体投资计划和衍生产品方面犯有严重的监管缺失,并向客户多收款项及没有向客户充分披露金钱收益。具体而言,有111个客户账户被发现在关键期间内执行了100宗或以上的集体投资计划交易。虽然大部分交易都被声明为客户的自选交易,但事实上有46名客户是在其客户经理作出招揽或建议...

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