Page 49 - 期货和衍生品行业监管动态（2024年2月）

期货和衍生品行业监管动态

式外汇交易）及第 9 类（提供资产管理）受规管活动，并于 2008 年 8 月

29 日至 2021 年 8 月 5 日期间隶属于 Nerico Brothers Limited。他目前并非

SFC 持牌人。

2. 黄曾根据《证券及期货条例》（Securities and Futures Ordinance, SFO）获

发牌进行第 1 类（证券交易）、第 2 类（期货合约交易）及第 9 类（提供

资产管理）受规管活动，并于 2011 年 11 月 7 日至 2021 年 8 月 5 日期间

隶属于 Nerico Brothers Limited。他目前并非 SFC 持牌人。

3. 2022 年 8 月 29 日，区域法院裁定林一项向代理人提供利益罪名成立，违

反《防止贿赂条例》（Prevention of Bribery Ordinance）第 9(2)条及 12(1)

条，以及就相同指控裁定黄两项罪名成立。2022 年 9 月 8 日，林被判监

禁 12 个月，缓刑两年，而黄则被判监禁九个月，同样缓刑两年。

4. 有关交易程序由香港金融工程以账户管理服务的形式提供。

SFC Bans Lam Ching Chiu and Wong Siu Fung for Five Years (2024/2/6)

The Securities and Futures Commission (SFC) has banned Mr Lam Ching Chiu

and Mr Wong Siu Fung, both former licensed representatives of Nerico Brothers

Limited, from re-entering the industry for five years from 6 February 2024 to 5

February 2029 following their criminal convictions of bribery offences (Notes 1 to 3).

Lam and Wong were found guilty in August 2022 at the District Court of paying

the then chief executive officer (CEO) of Hong Kong Financial Engineering

Company Limited (HKFECL) bribes in relation to utilising a computerised

algorithmic programme used for futures trading. The CEO was the developer of the

trading programme and was responsible for its operation, while Lam and Wong, as

well as their clients, used it to invest in futures contracts from late 2014 to early 2015

(Note 4).

Around December 2014 or January 2015, in addition to the service fee charged

by HKFECL, the CEO asked Lam and Wong to pay a commission for each profitable

38