香港廉政公署联合香港证监会开展执法行动传两家中资券商遭突击搜查

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智通财经APP获悉，3月12日，香港特别行政区廉政公署发文指出，香港廉政公署与香港证监会于3月10日及11日开展联合执法行动，打击内幕交易及贪污行为。三家持牌机构的高级管理人员，包括两家证券公司和一家对冲基金管理公司，均被列为该案的调查对象。联合行动期间，香港廉政公署及香港证监会人员共搜查了14处地点，包括上述持牌法团的办公室及被捕人员的住所。香港廉政公署亦逮捕了六男两女，年龄介于35岁至60岁...

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Senior executives  of three licensed corporations, including two securities firms and a hedge fund  management firm, were persons of interest in the case (Note 1).During the joint operation, officers of the ICAC and the SFC searched a total  of 14 locations, including the offices of the licenced corporations, as well as  residences of the arrestees. The ICAC also arrested six men and two women, aged  between 35 and 60. The arrestees included, among others, senior executives of  the two licenced securities firms and the licensed hedge fund management firm,  as well as a middleman (Note 2).It is suspected that senior executives of the licenced securities firms had  accepted bribes over $4 million from the owner of the licensed hedge fund  management firm for disclosing confidential information regarding share  placements of various Hong Kong - listed companies before such information was  publicly announced.Armed with such confidential information, the licensed hedge fund management  firm established short positions for its hedge fund in the relevant stocks by  short selling the stocks in the market and/or entering into short equity swap  contracts. When the share placements were publicly announced, the share prices  of the concerned stocks declined, and the hedge fund allegedly made profits of  around $315 million from its short positions.The joint operation stemmed from the SFC’s initial investigation of the  suspected insider dealing activities, which uncovered potential corruption. The  case was subsequently referred to the ICAC for investigation into suspected  corruption, while the SFC focused on insider dealing and other misconduct under  the Securities and Futures Ordinance.As the investigation is ongoing, no further comments will be made by the ICAC  and the SFC.Notes:1. The joint operation was conducted under the arrangement of the Memorandum  of Understanding signed between the ICAC and the SFC.2. The individuals involved are suspected of breaching the provisions under  the Prevention of Bribery Ordinance, including offering advantages to agents and  agents accepting advantages (i.e., offering and acceptance of bribes).  Additionally, they are also suspected of committing offences under the Organized  and Serious Crimes Ordinance, specifically handling property known or believed  to represent proceeds of indictable offences (commonly known as  “money-laundering”), offences under the Securities and Futures Ordinance  involving insider dealings and other relevant crimes and misconducts.","kind":"highlight","is_publish_news":true,"is_publish_highlight":false,"is_publish_live":false,"is_publish_wemedia":null,"editions":null,"column":"","sentiment":"-1","news_tag":"","news_rank":0,"isVideo":false,"video":null,"symbols":[],"gpt_button":1,"need_auth":false,"need_login_tip":false,"code":"91000000","status":"200"},"commentList":[],"isCommentEnd":true,"newsSizeData":{"likeSize":0,"commentSize":0,"repostSize":0,"favoriteSize":0,"likeStatus":false,"favoriteStatus":false},"APP":{"userAgent":"Mozilla/5.0 AppleWebKit/537.36 (KHTML, like Gecko; compatible; ClaudeBot/1.0; +claudebot@anthropic.com)","isDev":false,"isTTM":false,"tenantId":"TBCN","deviceId":"web-server-community-laohu8-v3","version":"4.42.0","shortVersion":"4.42.0","platform":"web","vendor":"web","appName":"laohu8","isIOS":false,"isAndroid":false,"isTiger":false,"isTHS":false,"isWeiXin":false,"isWeiXinMini":false,"isWeiBo":false,"isQQ":false,"isBaiduSwan":false,"isBaiduBox":false,"isDingTalk":false,"isToutiao":false,"isOnePlus":false,"isHuaWei":false,"isXiaomi":false,"isXiaomiWebView":false,"isOppo":false,"isVivo":false,"isSamsung":false,"isMobile":false},"href":"/m/news/2618900562","isCrawlerRequest":true}

香港廉政公署联合香港证监会开展执法行动 传两家中资券商遭突击搜查

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香港廉政公署联合香港证监会开展执法行动传两家中资券商遭突击搜查