The Hong Kong Securities and Futures Commission enhances measures to combat forged documents and money laundering risks and raises account opening standards

By: rootdata|2026/05/23 04:45:01
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کمیسیون اوراق بهادار و آتی هنگ‌کنگ (SFC) بخشنامه‌ای را صادر کرد که در آن اقدامات نظارتی لازم برای افتتاح حساب و حفظ روابط با مشتریان تشریح شده است. این بخشنامه پس از بررسی شیوه‌های افتتاح حساب در ۱۲ شرکت کارگزاری اوراق بهادار توسط SFC صادر شد.

این بررسی چندین نقص قابل‌توجه از جمله عدم انجام بررسی‌های لازم (due diligence) در مورد اسناد افتتاح حساب، پذیرش اسناد مشکوک یا جعلی در فرآیند افتتاح حساب، و ضعف در مدیریت روابط نمایندگی برون‌مرزی با واسطه‌های خارجی را شناسایی کرد. SFC نگرانی عمیق خود را نسبت به سوءاستفاده احتمالی از حساب‌های مشتریان برای تراکنش‌های مشکوک یا غیرقانونی ابراز داشت که می‌تواند ریسک‌های پولشویی و تأمین مالی تروریسم را تشدید کند.

SFC از تمامی شرکت‌های دارای مجوز می‌خواهد تا در اسرع وقت بررسی‌های داخلی را برای شناسایی هرگونه سند مشکوک یا جعلی که برای افتتاح حساب پذیرفته شده است، انجام دهند. SFC همچنین اقدامات تکمیلی را برای شرکت‌های دارای مجوز جهت افتتاح و مدیریت حساب برای سرمایه‌گذاران سرزمین اصلی چین تشریح کرد.

این اقدامات تکمیلی شامل بستن حساب‌های سرمایه‌گذاری افتتاح‌شده با اسناد مشکوک یا جعلی، بستن حساب‌های سرمایه‌گذاری راکد با موجودی صفر، و الزام سرمایه‌گذاران به ارائه اظهارنامه کتبی هنگام افتتاح حساب‌های جدید است که در آن تصریح شده تسویه حساب و برداشت وجه تنها از طریق حساب‌های بانکی به نام خود سرمایه‌گذار در بانک‌های واجد شرایط امکان‌پذیر است.

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