Page 343 - 《期货和衍生品行业监管动态》（2022年合集）

期货和衍生品行业监管动态

1. 加皇根据《证券及期货条例》获发牌进行第 1 类（证券交易）、

第 2 类（期货合约交易）、第 4 类（就证券提供意见）及第 5 类（就期

货合约提供意见）受规管活动。

2. 《证券及期货事务监察委员会持牌人或注册人操守准则》。

3. 有关监管规定，请参阅《纪律行动声明》。

SFC Reprimands and Fines RBC Investment Services (Asia) Limited $7.7

Million for Mishandling Client Assets (2022/7/20)

The Securities and Futures Commission (SFC) has reprimanded RBC Investment

Services (Asia) Limited (RBC) and fined it $7.7 million for regulatory breaches

relating to mishandling of client assets (Note 1).

The SFC’s investigation found that between January 2018 and August 2020,

RBC had failed to segregate client money as required under the Securities and Futures

(Client Money) Rules (Client Money Rules) on 86 occasions, involving individual

transaction amounts ranging from $146 to $52 million.

The SFC also found that between 3 December 2012 and 26 March 2020, RBC

had breached the Securities and Futures (Client Securities) Rules (Client Securities

Rules), by transferring securities from 65 client accounts held by non-professional

investor clients to SEHK Options Clearing House Limited as collateral without valid

standing authority.

In deciding the disciplinary sanction, the SFC took into account all relevant

circumstances, including:

 RBC’s remedial actions and self-report to the SFC regarding its
breaches of the Client Money Rules and Client Securities Rules;

 RBC’s co-operation in resolving the SFC’s concerns and accepting

the SFC’s findings and disciplinary action; and

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