东院首引例状告进行无牌售股活动涉案人被判罚款及赔偿

阿斯达克财经07-04

证监会发稿指，东区裁判法院首次就有人违反《证券及期货条例》第114(3)条进行无牌活动，发出赔偿令。涉案人谢浚玮因为在未获证监会发牌下，显示自己就证券交易执行受规管职能的罪名成立。谢浚伟承认控罪，被判处罚款4,800元，并被飭令向一名据称为投资计划的受害人之散户投资者支付5万元作为赔偿。案情指，谢浚玮在2016年4月至2017年6月期间曾诱使该散户投资者投资于First Asia Holdings...

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东院首引例状告进行无牌售股活动 涉案人被判罚款及赔偿

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东院首引例状告进行无牌售股活动涉案人被判罚款及赔偿