Page 761 - 《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

pooled; and (iv) the purpose or effect of the arrangement is for participants to
participate in or receive profits, income or other returns from the acquisition or

management of the property.

4.Investors may refer to the Suspected Unauthorised CIS Alert List on the

SFC’s website which sets out a list of suspected unauthorised CIS that have come to

the SFC’s attention to provide an early warning to investors.

5.Section 103 of the SFO. The maximum penalties are a fine of $500,000 and

three years’ imprisonment plus additional penalties in the case of a continuing

offence.

6.Section 114 of the SFO. The maximum penalties are fine of $5,000,000 and

seven years’ imprisonment plus additional penalties in the case of a continuing

offence.

https://apps.sfc.hk/edistributionWeb/gateway/EN/news-and-announcements/news/doc?

refNo=22PR103

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