PANews 5月22日消息,向上融科(原老虎证券)发布公告称,公司的部分子公司今日收到中国证监会北京监管局的通知,表明证监会北京监管局已对其涉嫌从事证券、基金和期货业务的非法活动展开调查,并发现这些子公司进行了无证跨境证券业务以及在中国大陆地区从事的基金和期货相关非法活动。根据调查结果,证监会北京监管局处以总计约3.081亿元人民币的行政处罚,并没收总计约1.031亿元人民币的非法所得。公司董事兼首席执行官及实际控制人巫天华先生也收到警告并被处以125万元人民币的罚款。截至2025年底,公司合并报表中在中国大陆地区的零售客户资产约占公司总客户资产的10%。
老虎证券:子公司被北京监管局处3.081亿元人民币罚金
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