香港证监会暂时吊销山证国际证券前持牌代表邓伟财的牌照七个月

Core Viewpoint - The Hong Kong Securities and Futures Commission (SFC) has temporarily suspended the license of former licensed representative Deng Weicai from Shan Zheng International Securities for seven months due to unauthorized trading activities [1] Group 1: Regulatory Action - The SFC's suspension will last from October 28, 2025, to May 27, 2026 [1] - The investigation revealed that Deng accessed a client's securities account without effective written authorization and issued 945 trading instructions through the internet during the period from July 10, 2019, to December 10, 2019 [1] Group 2: Implications of Misconduct - Deng's actions hindered Shan Zheng International Securities' ability to identify responsible individuals for issuing trading instructions and obstructed the firm's duty to maintain proper audit trails for the client's trading instructions [1] - Such misconduct poses potential risks of unauthorized trading for clients and may lead to disputes for the licensed corporation, while also obscuring the true source of transactions and complicating the tracking of suspicious trading activities [1] Group 3: Considerations for Disciplinary Action - The SFC considered several factors in deciding the disciplinary action, including the duration and frequency of Deng's misconduct [1] - The need to send a deterrent message to the industry regarding the unacceptability of such misconduct was also a key consideration [1] - Deng had no prior record of disciplinary action, which was taken into account during the decision-making process [1]