[新聞] 樂陞案 中信金:依法無履約保證
1.原文連結(必須檢附):
http://m.appledaily.com.tw/appledaily/article/finance/20161002/37402242/
2.原文內容:
【王立德╱台北報導】樂陞案待釐清之處甚多,立委已提案要求投保中心,要中信銀需連
帶負起履約責任。中信金總座吳一揆昨表示,中信銀、中信證完全依照法律來制訂合約,
若要財務顧問負擔起遠超過法律上應負的責任,將會影響市場,產生極大的扭曲。
對於現行法規在投資人保障上有疏漏之處,吳一揆表示,「惡法亦法」,中信在簽訂合約
時,必須按照法規來撰寫合約,現行法規並無規範要肩負「履約保證」,樂見主管機關啟
動修正相關法條,修正目前疏漏之處,也籲請檢調單位能趕快釐清真相,中信金一定會全
力配合。
對於外界現在把矛頭指向中信體系,吳一揆表示「很無奈」,中信只是夾在中間的受託機
構跟財務顧問,認為重點應是檢視幾大疑點,如融券為何暴增?可轉換公司債(CB)為何
快速被投資人轉換等。
應釐清融券CB疑點
金管會昨也回應,金管會在9月19日對中信銀、中信證行政處分,是因其辦理業務時,未
訂定內部控制制度,或未落實KYC(認識你的客戶),違反信託業及證券管理法令,希望
中信能切實改進。
金管會則說,投保中心依照財委會決議,代樂陞受害人向中信銀、中信證提出團體訴訟,
對樂陞自救會主張,向中信求償予以尊重。ꀊ
3.心得/評論(必需填寫滿20字):
看來要中信認賠應該是不容易,至少短時間是如此。
同一時間百尺又跳出來說要協商賠償,這真是十分有意思。
有看到一則新聞有這樣提到,到年底缺口六億,但會從大陸回來2億人民幣盈餘,那怎麼
還會有缺口?這我就不太懂了。
台股年度大戲:樂極陞悲。
請星期一到星期五早上九點到下午一點半準時收看。
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