Page 61 - 期货和衍生品行业监管动态（2023年11月刊）

期货和衍生品行业监管动态

设施，以便交易所参与者能够通过互联网、移动电话及其他电子途径向投

资者提供电子交易服务。

4. 自我配对交易指客户的交易指示与其本身的反向交易指示进行配对的交

易。《打击洗钱指引》指明就某些证券及期货进行数量相同的买卖是可能

会令人怀疑有洗钱情况的例子，因为该等买卖可能营造曾进行交易的假

像，并显示出现操纵市场活动。

5. 《证券及期货事务监察委员会持牌人或注册人操守准则》。

6. 有关监管规定，请参阅《纪律行动声明》。

有关纪律行动声明载于证监会网站

SFC Reprimands and Fines Lion Futures Limited $2.8 Million for Regulatory

Breaches (2023/11/22)

The Securities and Futures Commission (SFC) has reprimanded and fined Lion
Futures Limited (LFL) $2.8 million for failures in complying with anti-money

laundering and counter-terrorist financing (AML/CFT) and other regulatory

requirements between May 2017 and July 2019 (Note 1).

The SFC’s investigation found that LFL did not conduct any due diligence on the

customer supplied systems (CSSs) used by five clients for placing orders during the

material time. As a result, LFL was not in a position to properly assess and manage

the money laundering and terrorist financing and other risks associated with the use of

CSSs by its clients (Notes 2 & 3).

In addition, the SFC found that LFL’s failure to put in place an effective ongoing

monitoring system to detect suspicious trading patterns in client accounts resulted in its

failure to detect 1,098 self-matched trades in five client accounts (Note 4).

The SFC is of the view that LFL’s systems and controls were inadequate and

ineffective, and failed to ensure compliance with the Anti-Money Laundering and

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