A SFC condenou a New Lake International Futures (Hong Kong) Co., Ltd. a uma multa de 9 milhões de RMB e revogou temporariamente a licença do ex-responsável Ni Wei por nove meses.

GoldenOctober2024

2024-10-09 08:53:47

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A New Lake International Futures (Hong Kong) Limited was criticized and fined HKD 9 million for failing to comply with anti-money laundering and terrorist financing regulations and other regulatory regulations from December 2016 to March 2019. The Hong Kong Securities and Futures Commission also temporarily revoked the license of Ni Wei (male), the former responsible person of New Lake and the core functional manager responsible for overall management supervision, compliance, information technology and risk management, for a period of nine months from October 8, 2024 to July 7, 2025, because the loss of New Lake was attributed to Ni’s failure to fulfill his duties as a responsible person and senior manager of New Lake at critical times.

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