SmartInvest was fined 100 million VND for violating investment restriction regulations.
SMARTINVEST SECURITIES FINED 100 MILLION VND FOR VIOLATING INVESTMENT RESTRICTION REGULATIONS
On November 24, 2016, the State Securities Commission (SSC) issued a decision on imposing an administrative penalty in the field of securities and the stock market on SmartInvest Securities Joint Stock Company in the amount of 100 million VND.On November 24, 2016, the State Securities Commission (SSC) issued a decision on imposing an administrative penalty in the field of securities and the stock market on SmartInvest Securities Joint Stock Company in the amount of 100 million VND.The reason is that SmartInvest Securities violated the regulation on investment restrictions for securities companies.Mitigating circumstance: Clause 1, Article 9 of the Law on Handling of Administrative Violations.Explaining the issue, a company representative stated that due to the ownership transfer process, old pending issues were not resolved in time, leading to the error. Smartinvest Securities Company commits to complying with the provisions of the Law.Từ khóa
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