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|2026/05/23 04:45:00
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A Futu Holdings (FUTU.O) anunciou hoje que a empresa recebeu um aviso de investigação e um pré-aviso de penalidade administrativa da Comissão Reguladora de Valores Mobiliários da China (CSRC) e de sua filial em Shenzhen.
A CSRC apontou que certas entidades da Futu na China continental e em Hong Kong realizaram negócios de valores mobiliários, venda de fundos públicos e negócios de futuros na China continental sem obter as licenças ou aprovações necessárias, violando a Lei de Valores Mobiliários, a Lei de Fundos de Investimento em Valores Mobiliários e a Lei de Futuros e Derivativos da República Popular da China. A CSRC pretende ordenar que as empresas relevantes retifiquem ou cessem tais atividades, confisquem ganhos ilegais e imponham multas, com uma multa total proposta de aproximadamente 1,85 bilhão de yuans (cerca de 271 milhões de dólares).
Além disso, a CSRC planeja impor uma multa pessoal de 1,25 milhão de yuans (cerca de 183.575 dólares) ao fundador e CEO da empresa, o Sr. Li Hua. A Futu Holdings declarou que as multas propostas ainda estão sujeitas a procedimentos adicionais e à decisão final da CSRC.
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