Page 59 - 期貨和衍生品行業監管動態（2024年6月刊）
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期貨和衍生品行業監管動態
期權合約的行權價或到期日對客戶造成誤導。夏為該賬戶的客戶關系經理，并對
該賬戶擁有全權裁量權。
夏還使用其個人電郵賬戶與該客戶進行業務上的溝通，借此規避了博領資產
的內部政策，并妨礙博領資產監察他對該客戶賬戶的操作。
SFC 認為夏有失當行為，且并非獲發牌的適當人選。
SFC 在決定對夏采取上述紀律處分時，已考慮到所有相關情況，包括：
? 他制作及向該客戶發送虛假產品資料概要的行為屬蓄意及并不誠實；
? 他并無從其失當行為獲取任何個人金錢收益；
? 他的失當行為并無對客戶造成任何財務損失；
? 他承認指控及在證監會的調查中表現合作；及
? 他過往并無遭受紀律處分的記錄。
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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