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期货和衍生品行业监管动态
3．《操守准则》第 4.3 段（内部监控、财政及运作资源）规定，持牌人应
设有完备的内部监控程序、财务资源及操作能力，而按照合理的预期，这些程序
和能力足以保障其运作、客户及其他持牌人或注册人，以免其受偷窃、欺诈或其
他不诚实的行为、专业上的失当行为或不作为而招致财务损失。
4．《操守准则》第 7.1(e)段规定，持牌人应执行内部监控程序，确保委托账
户的操作得到适当的监督。
5．《适用于证监会持牌人或注册人的管理、监督及内部监控指引》（《内
部监控指引》）第 IV 章第 6 段规定，管理层应建立并维持有效的记录保存政策，
以确保一切有关的法律及监管规定均获得遵守；同时令公司本身、其核数师和其
他有关的机构，如证监会，得以定期及就个别个案进行全面的检讨或调查。
6．《内部监控指引》第 VII 章第 2 段规定，（其中包括）凡公司受全权委
托处理客户的帐户，便应采用适当程序，以确保只会代客户执行符合该客户的投
资策略和目标的交易。
SFC Reprimands and Fines Swiss-Asia Asset Management (HK) Limited $3
Million for Regulatory Breaches (2022/11/8)
The Securities and Futures Commission (SFC) has reprimanded and fined
Swiss-Asia Asset Management (HK) Limited (Swiss-Asia) $3 million for internal
control failings and regulatory breaches in relation to the monitoring of trading
activities in discretionary accounts and record keeping (Notes 1 to 6).
The disciplinary action follows an SFC investigation into the internal controls of
Swiss-Asia after a client’s complaint. The complaint centred on option trading by a
former licensed representative of Swiss-Asia in the client’s discretionary
account. The client claimed that some of the trades were much riskier than agreed
and fell outside the scope of her asset management mandate agreement with
Swiss-Asia between April 2015 and August 2016.
The SFC’s investigation found deficiencies in internal controls of Swiss-Asia, in
that it failed to:
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