Page 59 - 期货和衍生品行业监管动态（2024年6月刊）

期货和衍生品行业监管动态

期权合约的行权价或到期日对客户造成误导。夏为该账户的客户关系经理，并对

该账户拥有全权裁量权。

夏还使用其个人电邮账户与该客户进行业务上的沟通，借此规避了博领资产

的内部政策，并妨碍博领资产监察他对该客户账户的操作。

SFC 认为夏有失当行为，且并非获发牌的适当人选。

SFC 在决定对夏采取上述纪律处分时，已考虑到所有相关情况，包括：

? 他制作及向该客户发送虚假产品资料概要的行为属蓄意及并不诚实；

? 他并无从其失当行为获取任何个人金钱收益；

? 他的失当行为并无对客户造成任何财务损失；

? 他承认指控及在证监会的调查中表现合作；及

? 他过往并无遭受纪律处分的记录。

SFC Bans Ha Po Kwan for 12 Months (2024/6/17)

The Securities and Futures Commission (SFC) has banned Mr Ha Po Kwan, a

former licensed representative of Primas Asset Management Limited (PAML), from

re-entering the industry for 12 months from 14 June 2024 to 13 June 2025.

The disciplinary action follows an SFC investigation which found that in June

2021, Ha, a director of PAML at the material time, created two false documents by

altering information on the strike price or maturity date in the original product flashes

of two accumulator contracts. He then sent the two false product flashes to a client of

PAML to mislead the client about the maturity date or strike price of the accumulator

contracts he had bought for the client’s account that he managed with full

discretionary authority and served as the relationship manager.

Ha also used his personal email account for business communication with the

same client. By doing so, Ha’s conduct circumvented PAML’s internal policies and

prevented it from properly monitoring his operation of the client’s account.

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