Page 36 - 期货和衍生品行业监管动态（2023年2月）

期货和衍生品行业监管动态

on Anti-Money Laundering and Counter-Terrorist Financing and the Code of Conduct
(Notes 6 & 7).

The SFC considers that Jinrui Futures’ failures were partly attributable to the

failures of Shen and Jiang in discharging their duties as the firm’s responsible officers

and senior management.

In deciding the disciplinary sanctions against Jinrui Futures, Shen and Jiang, the

SFC took into account that:

 Jinrui Futures’ failures to diligently monitor its clients’ activities and put in

place adequate and effective AML/CFT systems and controls are serious as

they could undermine public confidence in, and damage the integrity of, the

market;

 a strong deterrent message needs to be sent to the market that such failures
are not acceptable;

 Jinrui Futures, Shen and Jiang cooperated with the SFC in resolving the

SFC’s concerns; and

 Jinrui Futures, Shen and Jiang have otherwise clean disciplinary records

with the SFC.

Notes:

1. Jinrui Futures is licensed under the Securities and Futures Ordinance to carry

on Type 2 (dealing in futures contracts) regulated activity.

2. Shen was accredited to Jinrui Futures and approved to act as its responsible

officer for Type 2 (dealing in futures contracts) regulated activity from

September 2008 to May 2018. Shen is currently not licensed by the

SFC. Shen was Jinrui Futures’ Manager-In-Charge (MIC) of the Overall
Management Oversight function from September 2008 to May 2018.

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