SFC issues restriction notices to two brokerages to freeze accounts of client involved in suspected corporate misconduct
There's no disclosure of the listed company involved. Our database records that both of the brokers acted as placing agents to companies in the "Enigma Network" up to 2016. The brokers are not under investigation, but an individual client is suspected of breaching his duties to a listed company. The Notices are remarkably brief, no longer referring to a "Statement of Reasons", which the SFC has stopped publishing anyway, probably because we kept figuring out the identities of persons involved. The "specified amount" involved is not disclosed either.
Further information
證監會向兩家經紀行發出限制通知書以凍結涉及懷疑曾從事企業失當行為的客戶的帳戶
Issue date: 2020-08-14 17:02:25
證券及期貨事務監察委員會（證監會）向中華匯財金融有限公司（中華匯財）及權威證券有限公司（權威證券）發出限制通知書，禁止它們處置或處理其若干客戶帳戶內持有的資產。該等資產由一名涉嫌犯了失當行為及違反對某上市公司的責任的人士實益擁有（註1及2）。
中華匯財及權威證券並非證監會今次的調查對象，而兩者已就有關調查作出配合。限制通知書並不影響該等經紀行的運作或它們的其他客戶。
限制通知書禁止中華匯財及權威證券在未取得證監會的事先書面同意的情況下，以任何方式處置或處理、輔助、慫使或促致另一人以任何方式處置或處理該等帳戶內的若干資產。若該等經紀行接獲任何上述指示，亦須通知證監會。
證監會認為，就維護投資大眾的利益及公眾利益而言，發出限制通知書以保存該等帳戶內的資產是可取的做法。
完
備註：
- 證監會根據《證券及期貨條例》第204及205條發出有關限制通知書。
- 中華匯財及權威證券均為根據《證券及期貨條例》獲發牌進行第1類受規管活動的法團。
News captured as of:2020-08-14 17:02:26
Organisations
- China Gather Wealth Financial Company Limited 中華匯財金融有限公司
- Minerva Group Holding Limited
- Minerva Holding Financial Securities Limited 嬴控金融證券有限公司
- New Ray Medicine International Holding Limited 新銳醫藥國際控股有限公司
- SECURITIES AND FUTURES COMMISSION 證券及期貨事務監察委員會
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