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失信滥用客户款项 三人接金管局禁令

by 蓝桑
11/04/2019
in 新闻, 时事, 财经
Reading Time: 1 min read
0

利用职业行诈骗之事和不诚实行为,两名前银行职员和一名前保险从业员遭新加坡金融管理局(MAS)严禁从事资本市场行业或保险业,长达10至20年之久。

金管局昨日发出有关文告指出,接到禁令的三人分别为前银行职员邓玮玲(译音,Emeline Tang Wei Leng)、前银行职员阮唯明(译音,Nguyen Duy Minh),以及前保险从业员许展龙(译音,Koh Zhan Loong John)。有关的禁令于4月5日起生效。

前汇丰银行(HSBC)职员的邓伟玲以代为存款入定期户口为由,骗取五名客户超过500万元,并提供了伪造文件给这五人,让他们以为有关现款已经汇入户口了。因此他被控滥用超过500万元以及不诚实行为,被金管局禁止20年不可从事资本现场的行业。

阮唯明原为大华银行(UOB)的职员,因为售卖假的金融产品给八名客户,甚至在没通知客户的情况下伪造文件,以他们的名义购买其他的金融产品,并且滥用客户的钱,导致八人蒙受50万元亏损。

上述两名银行职员于去年6月,被控诈骗和伪造文件罪名成立,被判10年6个月和3年9个月的监禁。

新闻从业员许展龙原为职总英康(NTUC Income)的员工。他因为挪用了11名客户交给他,总值约50万元的保险费,因失信罪名而于去年6月被判4年监禁。金管局也对他发出10年禁令,不得从事保险以及相关行业。

努力减少害群之马

金管局助理局长(资本市场)李文业指出,三名接到禁令人士为了牟取私利,而滥用了他们的职业以及客户对他们的信任。

他表示,他们的不当行为,造成受害者的极大亏损。金管局将对这些破坏客户信任的金融业服务服务人士采取对付行动,减少行业中的害群之马。

金管局于2015年开始与商业事务局联手,针对类似的不法行为展开调查,加强对付在资本市场和财务咨询领域的违规行为。

该局更在去年3月,将有关的调查和执法范围扩大到了证券与期货法令(Securities and Future Act)以及财务顾问法令(Financial Advisers Act)所涵盖的违规行为。

该局指出,再过去1年半,其专属执法部门已经发出超过750项禁令、谴责和警告函等,对违例者的罚款总额高达1750万元。

去年3月,金管局也发出长达10年的禁令予涉及一个马来西亚发展有限公司(1MDB)诈欺案的高盛集团(Goldman Sachs)新加坡前主管雷斯纳(Tim Leissner),禁止他从事国内任何在证券和期货法令下的活动。有关的禁令跟在去年12月,被金管局延长至终身。

 

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