{"id":110593,"date":"2019-03-18T17:32:11","date_gmt":"2019-03-18T09:32:11","guid":{"rendered":"https:\/\/news.rthk.hk\/rthk\/ch\/component\/k2\/1448301-20190318.htm"},"modified":"2019-03-18T17:32:11","modified_gmt":"2019-03-18T09:32:11","slug":"%e8%ad%89%e7%9b%a3%e6%9c%83%e8%ad%b4%e8%b2%ac%e4%b8%ad%e9%8a%80%e5%9c%8b%e9%9a%9b%e8%ad%89%e5%88%b8%e9%8a%b7%e5%94%ae%e6%8a%95%e8%b3%87%e7%94%a2%e5%93%81%e9%81%95%e5%8f%8d%e7%9b%a3%e7%ae%a1%e8%a6%8f","status":"publish","type":"post","link":"https:\/\/itteacheritfreelance.hk\/test\/wordpress\/2019\/03\/18\/%e8%ad%89%e7%9b%a3%e6%9c%83%e8%ad%b4%e8%b2%ac%e4%b8%ad%e9%8a%80%e5%9c%8b%e9%9a%9b%e8%ad%89%e5%88%b8%e9%8a%b7%e5%94%ae%e6%8a%95%e8%b3%87%e7%94%a2%e5%93%81%e9%81%95%e5%8f%8d%e7%9b%a3%e7%ae%a1%e8%a6%8f\/","title":{"rendered":"\u8b49\u76e3\u6703\u8b74\u8cac\u4e2d\u9280\u570b\u969b\u8b49\u5238\u92b7\u552e\u6295\u8cc7\u7522\u54c1\u9055\u53cd\u76e3\u7ba1\u898f\u5b9a\u53ca"},"content":{"rendered":"

\u8b49\u76e3\u6703\u8b74\u8cac\u4e2d\u9280\u570b\u969b\u8b49\u5238\uff0c\u4e26\u7f70\u6b3e1\u5343\u842c\u5143\uff0c\u6307\u4e2d\u9280\u570b\u969b\u8b49\u5238\u5728\u92b7\u552e\u6295\u8cc7\u7522\u54c1\u624b\u6cd5\u6709\u5167\u90e8\u7cfb\u7d71\u540c\u76e3\u63a7\u7f3a\u5931\u3002<\/p>\n

\u8b49\u76e3\u6703\u7d93\u8abf\u67e5\u767c\u73fe\uff0c\u4e2d\u9280\u570b\u969b\u8b49\u5238\u5728\u92b7\u552e\u53ca\u5206\u92b7\u6295\u8cc7\u7522\u54c1\u6642\uff0c\u672a\u6709\u9075\u5b88\u6709\u95dc\u5ba2\u6236\u98a8\u96aa\u5206\u6790\u3001\u7522\u54c1\u76e1\u8077\u5be9\u67e5\u53ca\u5408\u9069\u6027\u8a55\u4f30\u591a\u9805\u76e3\u7ba1\u898f\u5b9a\u3002<\/p>\n

\u8b49\u76e3\u6703\u7279\u5225\u6307\u51fa\uff0c\u5728\u67d0\u4e9b\u500b\u6848\u4e2d\uff0c\u516c\u53f8\u672a\u80fd\u9069\u7576\u8a55\u4f30\u53ca\u91d0\u5b9a\u5ba2\u6236\u98a8\u96aa\u627f\u53d7\u80fd\u529b\u6c34\u5e73\u53ca\u6295\u8cc7\u7b56\u7565\uff1b\u672a\u80fd\u78ba\u4fdd\u5411\u5ba2\u6236\u4f5c\u51fa\u7684\u6295\u8cc7\u5efa\u8b70\u6216\u62db\u652c\uff0c\u5728\u6240\u6709\u60c5\u6cc1\u800c\u8a00\u90fd\u662f\u5408\u7406\u9069\u5408\uff1b\u672a\u6709\u78ba\u4fdd\u5ba2\u6236\u6709\u8db3\u5920\u6de8\u8cc7\u7522\u4ee5\u627f\u64d4\u56e0\u8cb7\u8ce3\u884d\u751f\u7522\u54c1\u6216\u9032\u884c\u69d3\u687f\u5f0f\u4ea4\u6613\uff0c\u800c\u53ef\u80fd\u62db\u81f4\u7684\u98a8\u96aa\u53ca\u640d\u5931\uff1b\u672a\u6709\u5c31\u67d0\u4e9b\u6295\u8cc7\u7522\u54c1\u9032\u884c\u9069\u7576\u800c\u5145\u5206\u7684\u7522\u54c1\u76e1\u8077\u5be9\u67e5\uff0c\u4ee5\u53ca\u672a\u6709\u5be6\u65bd\u53ca\u7dad\u6301\u5145\u8db3\u800c\u6709\u6548\u7684\u5167\u90e8\u76e3\u63a7\u63aa\u65bd\u548c\u7cfb\u7d71\uff0c\u85c9\u4ee5\u52e4\u52c9\u76e1\u8cac\u5730\u76e3\u7763\u5411\u5ba2\u6236\u4f5c\u51fa\u7684\u6295\u8cc7\u7522\u54c1\u92b7\u552e\u53ca\u5206\u92b7\uff0c\u4e26\u78ba\u4fdd\u6709\u95dc\u76e3\u7ba1\u898f\u5b9a\u7372\u5f97\u9075\u5b88\u3002<\/p>\n","protected":false},"excerpt":{"rendered":"

證監會譴責中銀國際證券，並罰款1千萬元，指中銀國際證券在銷售投資產品手法有內部系統同監控缺失。<\/p>\n

證監會經調查發現，中銀國際證券在銷售及分銷投資產品時，未有遵守有關客戶風險分析、產品盡職審查及合適性評估多項監管規定。<\/p>\n

證監會特別指出，在某些個案中，公司未能適當評估及釐定客戶風險承受能力水平及投資策略；未能確保向客戶作出的投資建議或招攬，在所有情況而言都是合理適合；未有確保客戶有足夠淨資產以承擔因買賣衍生產品或進行槓桿式交易，而可能招致的風險及損失；未有就某些投資產品進行適當而充分的產品盡職審查，以及未有實施及維持充足而有效的內部監控措施和系統，藉以勤勉盡責地監督向客戶作出的投資產品銷售及分銷，並確保有關監管規定獲得遵守。 \u95b1\u8b80\u5168\u6587 →<\/span><\/a><\/p>\n","protected":false},"author":300,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"slim_seo":[],"_jetpack_newsletter_access":"","_jetpack_dont_email_post_to_subs":false,"_jetpack_newsletter_tier_id":0,"_jetpack_memberships_contains_paywalled_content":false,"_jetpack_memberships_contains_paid_content":false,"footnotes":"","jetpack_publicize_message":"","jetpack_publicize_feature_enabled":true,"jetpack_social_post_already_shared":true,"jetpack_social_options":{"image_generator_settings":{"template":"highway","enabled":false}}},"categories":[2,7],"tags":[2019,398,402,397,414,413,410,409,407,408,406,399,2024,400,394,10,401,396,787,786,784,782,783,764,785,403,412,411,395,405,404,2027,2022,2023,2028,670,671,778,779,780,781,2026,2025,2018,2021,2020,2017,319],"jetpack_publicize_connections":[],"aioseo_notices":[],"jetpack_featured_media_url":"","jetpack_shortlink":"https:\/\/wp.me\/p7prtj-sLL","jetpack-related-posts":[],"jetpack_sharing_enabled":true,"_links":{"self":[{"href":"https:\/\/itteacheritfreelance.hk\/test\/wordpress\/wp-json\/wp\/v2\/posts\/110593"}],"collection":[{"href":"https:\/\/itteacheritfreelance.hk\/test\/wordpress\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/itteacheritfreelance.hk\/test\/wordpress\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/itteacheritfreelance.hk\/test\/wordpress\/wp-json\/wp\/v2\/users\/300"}],"replies":[{"embeddable":true,"href":"https:\/\/itteacheritfreelance.hk\/test\/wordpress\/wp-json\/wp\/v2\/comments?post=110593"}],"version-history":[{"count":3,"href":"https:\/\/itteacheritfreelance.hk\/test\/wordpress\/wp-json\/wp\/v2\/posts\/110593\/revisions"}],"predecessor-version":[{"id":110755,"href":"https:\/\/itteacheritfreelance.hk\/test\/wordpress\/wp-json\/wp\/v2\/posts\/110593\/revisions\/110755"}],"wp:attachment":[{"href":"https:\/\/itteacheritfreelance.hk\/test\/wordpress\/wp-json\/wp\/v2\/media?parent=110593"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/itteacheritfreelance.hk\/test\/wordpress\/wp-json\/wp\/v2\/categories?post=110593"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/itteacheritfreelance.hk\/test\/wordpress\/wp-json\/wp\/v2\/tags?post=110593"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}