智通财经APP获悉，香港证券及期货事务监察委员会(香港证监会)2月9日发文表示，谴责凯银国际(香 港)有限公司(凯银)并处以罚款900万港元，原因是该公司于三年间在管理私人基金方面犯有多项缺失。 第五，凯银就其监管责任作出失实陈述，错误地向投资者表示，由于他们被分类为专业投资者，故该公 司获豁免遵守有关合适性评估的规定。 于有关期间，王勇(男)是凯银的负责人员兼行政总裁，而朱红(女)是凯银的董事及负责多个核心职能的 核心职能主管。香港证监会认为，凯银的失当行为可归因于王及朱作为凯银的高级管理层成员，未有履 行其职责所致。具体而言，王须对凯银所有的缺失接受问责，而朱则须对与该等贷款及凯银遵守打击洗 钱/恐怖分子资金筹集规定有关的缺失负责。 首先，凯银未能管理及披露凯银或其董事向其中四只子基金提供的六笔贷款所引致的利益冲突。第二， 凯银没有对子基金的资产进行每月对帐或定期估值，亦没有委任独立核数师审核子基金的财务报表。第 三，凯银没有就认识你的客户及合适性评估实施充足的制度及监控措施。第四，凯银未有备存纪录以证 明其已遵守有关打击洗钱及恐怖分子资金筹集(打击洗钱/恐怖分子资金筹集)的规定。 香港证监会在决定对凯银 ...

Core Viewpoint - The Hong Kong Securities and Futures Commission (SFC) has temporarily revoked the license of Zhou Zilin, a key executive of the now-dissolved Haina Asset Management Limited, for a period of 12 months due to failures in fund management [1] Group 1: Regulatory Actions - The SFC's investigation revealed that Haina Asset invested up to 100% of a fund's assets in debt securities issued by a company controlled by its sole shareholder, Wu Jiashun, leading to a conflict of interest and inadequate risk management [1] - Zhou failed to fulfill his responsibilities as a senior management member by not ensuring that the company acted in the best interests of the fund and its investors, as well as not complying with applicable regulatory requirements [1] Group 2: Considerations for Disciplinary Action - The SFC considered several factors in deciding the disciplinary action, including Zhou's cooperation in addressing the SFC's concerns and his lower level of responsibility compared to Wu [1] - Unlike Wu, the SFC found no evidence of dishonest behavior by Zhou, who also reported the issues to the SFC, prompting the investigation [1] - Zhou has no prior record of disciplinary actions against him [1]