香港证监会：撤销安山资本牌照并终身禁止其2名前高管进行受规管活动

Core Viewpoint - The Hong Kong Securities and Futures Commission (SFC) revoked the license of Anshan Capital Limited due to fraudulent activities related to fund management, including the misappropriation of approximately $154 million from a client of Nerico Brothers Limited (NBL) [1][2][3] Group 1: Misappropriation of Funds - Anshan Capital facilitated a scheme to misappropriate $154 million belonging to a client of NBL between October 2017 and September 2021 [1] - The funds were transferred to a sub-fund under the pretense of purchasing "liquidity provider units," which the sub-fund did not issue or hold [1] - Anshan Capital directed the sub-fund to transfer most of the profits to a company owned by Wu Yu, a senior executive at Anshan Capital [1] Group 2: False Information and Forgery - Anshan Capital provided false information and forged documents regarding the sub-fund's financial status, including misleading claims about cash assets held in an NBL account [2] - The sub-fund was falsely represented as a client of NBL, and the existence of cash assets amounting to $451 million was exaggerated [2] - The company also forged auditor reports to mislead investors and potential investors about the sub-fund's value and financial condition [2] Group 3: Accountability of Senior Management - The misconduct was directly attributed to the actions of senior executives Wu Yu and Wu Shuzhen, with Wu Yu being the mastermind behind the fraudulent schemes [3] - Wu Shuzhen played an active role in facilitating the misappropriation of funds and providing false information to auditors and administrators [3] - The SFC's disciplinary actions were influenced by the severity of their actions, which undermined investor confidence and caused significant losses to NBL's clients [3]