8月26日据香港证监会网站消息香港上海汇丰银行有限公司(汇丰)因在过去八年于发表关于香港上市证券的研究报告时违反披露规定

智通财经
Aug 26
8月26日据香港证监会网站消息香港上海汇丰银行有限公司(汇丰)因在过去八年于发表关于香港上市证券的研究报告时违反披露规定遭香港证监会谴责并罚款420万港元。在汇丰自行作出汇报后香港金管局与香港证监会合作展开调查。两家监管机构发现汇丰在2013年至2021年期间发表的研究报告中没有披露及/或错误地披露其与多家公司之间的投资银行业务关系。这些问题源于汇丰在系统之间的数据纪录和配对存在缺失估计令超过4200份关于香港上市证券的研究报告的披露受到影响。

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