Re: [新聞] 樂陞違約案 中信銀疑有2疏失
※ 引述《nightwing (內觀自心)》之銘言:
: 1.原文連結(必須檢附):https://goo.gl/WU7ZlI
: 2.原文內容:
: 樂陞違約案 中信銀疑有2疏失
: 2016年09月15日
: 【廖珮君╱台北報導】百尺竿頭公開收購樂陞違約案,金管會已約詢百尺
: 竿頭的受託行─中國信託銀行,並檢視雙方契約後,初步將朝兩方向究責
: 中信銀,1是中信銀是否不了解百尺竿頭,在KYC(認識你的客戶)上有疏
: 失,2是中信銀處理相關事務是否涉及侵權行為。
: 涉內控疏失及侵權
: 據了解,金管會初步認為,中信銀做為百尺竿頭的受託機構,卻不了解自
: 己的客戶,交易金額龐大的案子,卻輕忽只做簡單的審核,恐在KYC上有
: 嚴重疏失,認為中信銀在內控上有缺失。
: 據透露,證期局已初步洽銀行局,針對中信銀對百尺竿頭未做好KYC,是
: 否涉及內控疏失做意見溝通。依《銀行法》,金融機構違反內稽內控者,
: 最重可處1000萬元罰鍰,依情節輕重、還可採限制業務等處分。
: 官員強調,會再請中信銀釐清、說明從受託到公告百尺竿頭違約之間,是
: 否有應做、而未做的事項?且做為受託行到底需負多大責任等,都會再做
: 討論,是否會處分、尚未定案。
: 其次,金管會也將追究中信銀處理上是否有涉及侵權行為,並由投保中心
: 替投資人向中信銀求償。
: 對此,中信金表示,公司不便評論。
: 3.心得/評論(必需填寫滿20字):
: 金管會拿百尺竿頭沒轍,要拿中信銀開刀了,
: 這次又是重罰1000萬,真的是嚇死人了。
: 爽死百尺竿頭…
其實這件事很單純
1.中信有沒有錯? 有,所以主管機關會罰他。
2.應賣者的損失誰負責? 中信不可能負責,政府不可能負責,
應賣者如果要找這兩單位,我看一輩子都等不到了。
現在唯一會負責就只有百呎,樂陞這家公司查不到有共謀的話也不可能賠的。
3.目前應賣者一直想把中信拉下水,最後中信真的有錯,主管機關也罰他了,
但是關於應賣者損失問題,我想應該半分都拿不到,現在應賣者都覺得
有錯=會賠錢,其實這是兩件事。
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