因对敲交易及利益输送,香港证监会对郭某市场禁入及罚款

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因对敲交易及利益输送,香港证监会对郭某市场禁入及罚款

SFC bans Mr Kuo for four and a half years and fines him $1 million

重点词汇：

· matched trades

对敲交易· staff dealing policy

员工交易政策

On 19 Mar 2026, the Securities and Futures Commission (SFC) has prohibited Mr Kuo, a former responsible officer of A Securities (Hong Kong) Company Limited (Company A), from re-entering the industry for four and a half years and fined him $1 million for conducting matched trades in Hang Seng Index options and operating secret accounts. 

2026年3月19日，因进行恒生指数期权对敲交易及操作隐秘账户，香港证监会（SFC）对A证券（香港）有限公司（简称A证券公司）前负责人员郭某作出为期四年半的市场禁入处罚，并处以100万港元罚款。

SFC found that Kuo, while acting as a proprietary trader for Company A , executed 25 matched trades in Hang Seng Index options in a coordinated trading pattern between Company A’s proprietary trading account and a securities trading account held in his wife’s name at another brokerage. The matched trades were executed at prices favourable to Kuo’s wife’s account but disadvantageous to Company A’s account, resulting in a notional benefit for his wife’s account at Company A's expense.

SFC发现，郭某任职A证券公司自营交易员期间，以协同交易模式在元大证券自营账户与其妻子在另一经纪商开立的证券交易账户之间，执行了25笔恒生指数期权对敲交易。上述对敲交易的成交价格有利于郭某妻子账户、不利于A证券公司账户，使得郭某妻子账户通过损害A证券公司利益而获益。

Moreover, Kuo’s execution of multiple matched trades at prices outside the prevailing bid-ask spreads could interfere with the impartiality and objectivity of normal price formation. Therefore, Kuo’s actions also potentially undermined market integrity.

此外，郭某以偏离现行买卖价差的价格执行多笔对敲交易，可能干扰正常价格形成过程的公正性与客观性。因此，郭某的行为亦有可能损害市场公正。
SFC also found that Kuo concealed from Company A his beneficial interests in his wife’s account, his ownership of two securities trading accounts at another brokerage, and his personal trading activities conducted in these accounts. Kuo’s conduct circumvented Company A’s staff dealing policies and prevented it from monitoring his personal trading activities.

SFC还发现，郭某向A证券公司隐瞒其在妻子账户中享有的实际权益、其在另一经纪商开立两个证券交易账户，以及通过上述账户进行的个人交易活动。郭某的行为违反了A证券公司的员工交易政策，导致A证券公司无法监督其个人交易行为。

SFC is of the view that Kuo’s conduct was serious and dishonest, thereby raising concerns about his fitness and properness to be licensed.
SFC认为，郭某的行为性质严重且不诚信，因此其持有牌照的适格性令人质疑。

编者提示：

证券公司员工通过对敲交易，将公司利益输送给自己的利害关系人，严重损害了证券从业人员的忠实、诚信义务，属于严重的违反廉洁从业的行为，亦属于香港《证券及期货条例》下禁止的市场失当行为（market misconduct）。我国《证券期货经营机构及其工作人员廉洁从业规定》也明确禁止证券从业人员谋取不正当利益。

原文链接：

https://apps.sfc.hk/edistributionWeb/gateway/EN/news-and-announcements/news/doc?refNo=26PR44

- 英文来自官方网站

因对敲交易及利益输送,香港证监会对郭某市场禁入及罚款

中文翻译仅供参考 -

因对敲交易及利益输送,香港证监会对郭某市场禁入及罚款
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  • 本文由 chengsenw 发表于 2026年4月3日 07:27:27
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