证监会对富昌证券作出谴责并处以罚款360万元
证监会表示,对富昌证券作出谴责并处以罚款360万元,原因是富昌犯有涉及卖空交易的内部监控缺失,以及没有遵照证监会《操守准则》的规定,及时向证监会汇报相关的卖空事件。
证监会的调查发现,在2015年10月至2016年3月期间,富昌因没有就侦查及防止非法卖空交易制定有效的内部监控程序,导致其执行了卖空交易至少93次。
证监会亦发现,富昌在知悉有关事件後,没有即时向证监会作出汇报。
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