香港廉政公署联合香港证监会开展执法行动 传两家中资券商遭突击搜查

　　3月12日，香港特别行政区廉政公署发文指出，香港廉政公署与香港证监会于3月10日及11日开展联合执法行动，打击内幕交易及贪污行为。三家持牌机构的高级管理人员，包括两家证券公司和一家对冲基金管理公司，均被列为该案的调查对象。

　　联合行动期间，香港廉政公署及香港证监会人员共搜查了14处地点，包括上述持牌法团的办公室及被捕人员的住所。香港廉政公署亦逮捕了六男两女，年龄介于35岁至60岁之间。被捕人员包括两家持牌证券公司及一家持牌对冲基金管理公司的高级管理人员，以及一名中间人。

　　据信，上述持牌证券公司的高级管理人员收受了持牌对冲基金管理公司所有者超过400万港元的贿赂，在相关信息公开披露前，泄露了多家香港上市公司的配股机密信息。

　　凭借这些内幕消息，这家持牌对冲基金管理公司通过在市场上卖空相关股票和/或订立空头股票互换合约，为其对冲基金建立了相关股票的空头头寸。当配股消息公开后，相关股票的股价下跌，该对冲基金据称从其空头头寸中获利约3.15亿美元。

　　消息人士透露，本周香港至少2家中资券商投行人员遭香港廉政公署上门调查。其中，国泰君安香港股票资本市场(ECM)主管潘举鹏被带走协助调查。

　　3月12日，国泰君安国际(01788)发布公告称，于2026年3月10日，香港证券及期货事务监察委员会和廉政公署到访公司香港主要营业地点执行搜查令，并带走部分文件。公司亦获知悉本公司一名雇员(非董事会成员)(相关雇员)被廉署拘留(调查)。公司对此高度重视，将继续密切监察此事发展。

　　鉴于调查，公司已于2026年3月10日实时暂停相关雇员的所有营运及执行职务及权力，直至另行通知为止。董事会确认，于本公告日期，集团整体业务及营运，包括投资银行业务在内的所有业务板块，均维持正常开展，公司财务稳健，各项经营活动合规有序地稳定进行。

　　据了解，ECM部门核心职能为协助企业开展股本融资活动，包括港股IPO定价、新股配售、再融资等核心股本融资业务，因此市场人士普遍将此次执法行动与港股IPO监管相联系。另外，3月亦有媒体报道称，香港证监会正加强对承销IPO的银行员工审查，加剧香港券商持续面对的人才短缺问题。

　　廉政公署公告原文如下：

　　ICAC and SFC joint operation in alleged insider dealings and corruption involving senior executives of licensed corporations

　　The Independent Commission Against Corruption (ICAC) and the Securities and Futures Commission (SFC) conducted a joint operation codenamed “Fuse” on March 10 and 11 targeting insider dealing and involving corruption. Senior executives of three licensed corporations, including two securities firms and a hedge fund management firm, were persons of interest in the case (Note 1).

　　During the joint operation, officers of the ICAC and the SFC searched a total of 14 locations, including the offices of the licenced corporations, as well as residences of the arrestees. The ICAC also arrested six men and two women, aged between 35 and 60. The arrestees included, among others, senior executives of the two licenced securities firms and the licensed hedge fund management firm, as well as a middleman (Note 2).

　　It is suspected that senior executives of the licenced securities firms had accepted bribes over $4 million from the owner of the licensed hedge fund management firm for disclosing confidential information regarding share placements of various Hong Kong - listed companies before such information was publicly announced.

　　Armed with such confidential information, the licensed hedge fund management firm established short positions for its hedge fund in the relevant stocks by short selling the stocks in the market and/or entering into short equity swap contracts. When the share placements were publicly announced, the share prices of the concerned stocks declined, and the hedge fund allegedly made profits of around $315 million from its short positions.

　　The joint operation stemmed from the SFCs initial investigation of the suspected insider dealing activities, which uncovered potential corruption. The case was subsequently referred to the ICAC for investigation into suspected corruption, while the SFC focused on insider dealing and other misconduct under the Securities and Futures Ordinance.

　　As the investigation is ongoing, no further comments will be made by the ICAC and the SFC.

　　Notes:

　　1. The joint operation was conducted under the arrangement of the Memorandum of Understanding signed between the ICAC and the SFC.

　　2. The individuals involved are suspected of breaching the provisions under the Prevention of Bribery Ordinance, including offering advantages to agents and agents accepting advantages (i.e., offering and acceptance of bribes). Additionally, they are also suspected of committing offences under the Organized and Serious Crimes Ordinance, specifically handling property known or believed to represent proceeds of indictable offences (commonly known as “money-laundering”), offences under the Securities and Futures Ordinance involving insider dealings and other relevant crimes and misconducts.

（文章来源：智通财经）

(原标题：香港廉政公署联合香港证监会开展执法行动 传两家中资券商遭突击搜查)

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