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證監會譴責勝利證券違規兼罰款170萬元 吊銷負責人牌照3個月

Future Wealths
Future Wealths
24 7 月, 2026
One Min Read
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證監會公布，因違反監管規定，譴責勝利證券，並處以罰款170萬元，亦暫時吊銷勝利的負責人員兼核心職能主管趙子良的牌照，為期3個月，由本月22日起至10月21日止。事件起因是勝利證券在處理某客戶帳戶時違反監管規定，而有關違規行為在證監會調查一項疑似「唱高散貨」計劃期間揭發。

原文: https://finance.mingpao.com/fin/instantf/20260724/1784881946467/%E8%AD%89%E7%9B%A3%E6%9C%83%E8%AD%B4%E8%B2%AC%E5%8B%9D%E5%88%A9%E8%AD%89%E5%88%B8%E9%81%95%E8%A6%8F%E5%85%BC%E7%BD%B0%E6%AC%BE170%E8%90%AC%E5%85%83-%E5%90%8A%E9%8A%B7%E8%B2%A0%E8%B2%AC%E4%BA%BA%E7%89%8C%E7%85%A73%E5%80%8B%E6%9C%88%22%20target=%22blank

Last Update: 24 7 月, 2026

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