Page 59 - 期货和衍生品行业监管动态（2023年11月刊）
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期货和衍生品行业监管动态




                   given by the account holders, the Magistrate was not able to rule out the possibility that

                   Choi was operating the accounts on a voluntary basis and not for profit.


                        The SFC is reviewing the decision.


                        Notes:


                       1.  Choi and Ma were charged with offences under section 114 of the Securities

                           and Futures Ordinance.   Please see the SFC’s press release dated 8 September

                           2022.


                       2.  Ma  was  licensed  under  the  Securities  and  Futures  Ordinance  and  was

                           accredited  to  Glory  Sky  Global  Markets  Limited  (now  known  as  Nerico

                           Brothers Limited) to carry on Type 2 (dealing in futures contracts) regulated

                           activity during the material time.   Ma is currently not licensed by the SFC.


                   https://apps.sfc.hk/edistributionWeb/gateway/EN/news-and-


                   announcements/news/doc?refNo=23PR138





                   20.  香港证券及期货事务监察委员会谴责狮子期货有限公司违反监管规定并处


                   以罚款 280 万元（2023 年 11 月 22 日）



                        狮子期货证券有限公司（Lion Futures Limited，狮子期货）因在 2017 年 5 月

                   至 2019 年 7 月期间未遵守打击洗钱及恐怖分子资金筹集规定及其他监管规定，

                   遭香港证券及期货事务监察委员会（SFC）谴责及罚款 280 万元（注 1）。


                        SFC 的调查发现，狮子期货在关键时间内未对五名客户用以发出交易指示的

                   客户自设系统进行任何尽职审查，以致未能妥善评估并管理与其客户使用该等客

                   户自设系统（CSSs）相关的洗钱及恐怖分子资金筹集风险和其他风险（注 2 及

                   3）。






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