合规瞭望丨香港证监会向某证券公司发出限制通知书以冻结与涉嫌首次公开招股欺诈有关的逾1.25亿元资产

SUMMARY

香港证券及期货事务监察委员会（香港证监会）向某证券（香港）有限公司 （以下简称某证券公司）发出限制通知书，禁止其处理与涉嫌操纵首次公开招股需求欺诈计划实体有关的最高1.252亿港元客户资产。香港证监会认为此举符合公众利益，并指出某证券公司本身并非调查对象。

The Securities and Futures Commission (SFC) issued a restriction notice to F Securities International (Hong Kong) Limited (F Securities), prohibiting it from dealing with up to $125.2 million in client assets linked to an entity suspected of orchestrating a fraudulent IPO demand scheme. The SFC considers this action desirable for the public interest, while noting that F Securities itself is not under investigation.

The Securities and Futures Commission (SFC) has issued a restriction notice to F Securities, prohibiting it from dealing with or processing assets of up to $125,247,000 in client accounts held by an entity suspected to be involved in a fraudulent scheme to create a false or artificial appearance of demand for shares in an initial public offering (IPO) (Notes 1 and 2).

F Securities is not the subject of the SFC’s investigation, and the restriction notice does not affect it or its other clients.

The restriction notice prohibits F Securities, without the SFC’s prior written consent, from disposing of or dealing with, assisting, counselling or procuring another person to dispose of or deal with, any assets in any way in the client accounts up to the amount stated in the notice. F Securities is also required to notify the SFC immediately if it receives any instructions concerning the prohibited assets.

The SFC considers that the issue of the restriction notice is desirable in the interest of the investing public and in the public interest.

The SFC’s investigation is continuing.

备注：

1. 香港证监会根据《证券及期货条例》第204及205条发出有关限制通知书。

2. 某证券公司是一家根据《证券及期货条例》获发牌进行第1、2、3、4、5、7及9类受规管活动的法团。

Notes:

1. The SFC issued the restriction notice under sections 204 and 205 of the Securities and Futures Ordinance (SFO).

2. F Securities is a corporation licensed under the SFO to carry on Type 1, 2, 3, 4, 5, 7 and 9 regulated activities.