Futu Holdings: The CSRC intends to impose a total fine of approximately 1.85 billion yuan on the company and plans to fine the company's founder 1.25 million yuan personally
By: rootdata|2026/05/22 22:43:14
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Futu Holdings (FUTU.O) hôm nay thông báo rằng công ty đã nhận được thông báo điều tra và thông báo trước về hình phạt hành chính từ Ủy ban Điều tiết Chứng khoán Trung Quốc (CSRC) và chi nhánh tại Thâm Quyến.
CSRC chỉ ra rằng một số thực thể của Futu tại Trung Quốc đại lục và Hồng Kông đã tham gia vào hoạt động kinh doanh chứng khoán, bán quỹ đại chúng và kinh doanh hợp đồng tương lai tại Trung Quốc đại lục mà không có giấy phép hoặc phê duyệt cần thiết, vi phạm Luật Chứng khoán, Luật Quỹ Đầu tư Chứng khoán và Luật Hợp đồng tương lai và Phái sinh của Cộng hòa Nhân dân Trung Hoa. CSRC dự định ra lệnh cho các công ty liên quan khắc phục hoặc chấm dứt các hoạt động này, tịch thu lợi nhuận bất hợp pháp và áp dụng các khoản phạt, với tổng mức phạt đề xuất khoảng 1,85 tỷ nhân dân tệ (khoảng 271 triệu USD).
Ngoài ra, CSRC dự định áp dụng mức phạt cá nhân là 1,25 triệu nhân dân tệ (khoảng 183.575 USD) đối với người sáng lập kiêm CEO của công ty, ông Li Hua. Futu Holdings cho biết các mức phạt đề xuất vẫn đang chờ các thủ tục tiếp theo và quyết định cuối cùng từ CSRC.
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