香港证监会通函：券商须严防可疑开户及跨境非法证券活动

PANews2026-05-22 09:10:00

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PANews 5月22日消息，香港证监会今天发出通函，称监管机构近期检视12家持牌证券经纪行开户流程，发现部分券商在开户及与海外中介人建立跨境代理关系时，接受可疑或伪造文件，未能识别预警迹象，相关账户被用于无交易下的可疑资金转移。证监会要求持牌法团尽快内部核查，识别并关闭以可疑或伪造文件开立的账户，加强对仅存取款不交易、频繁更换银行账户、无关联客户共用账户或地址等异常情况的监控。针对内地投资者账户，证监会要求额外核查、关闭零结余不动账户，并在新开户时增设投资者声明。同时重申高管须对内控及合规承担最终责任，违者或被施加业务限制、委聘外部顾问审查，甚至面临执法行动。

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