香港證券及期貨事務監察委員會（香港證監會）近日對盛寶金融（香港）有限公司作出處罰，該公司因於網上平台分銷未獲證監會認可的虛擬資產基金及虛擬資產相關產品，違反監管規定，被處以400萬元罰款。

證監會指出，盛寶金融未依規定評估客戶是否具備投資虛擬資產的相關知識，亦未提供充足的風險提示，同時未建立適當程序開展產品盡職審查。儘管盛寶金融已採取補救措施，並自願向客戶賠償相關損失，證監會仍認定其行為違反《網上分銷及投資諮詢平台指引》及《操守準則》的相關規定。

The Securities and Futures Commission (SFC) of Hong Kong recently imposed a penalty on Saxo Financial (Hong Kong) Limited for distributing virtual asset funds and virtual asset - related products not authorized by the SFC via its online platform, in violation of regulatory requirements, with a fine of HK$4 million.

The SFC pointed out that Saxo Financial failed to conduct required assessments on whether clients possessed the knowledge to invest in virtual assets, failed to provide adequate risk warnings, and did not establish appropriate procedures for product due diligence. Although Saxo Financial has taken remedial measures and voluntarily compensated clients for relevant losses, the SFC still held that its conduct violated the relevant *Guidelines on Online Distribution and Investment Advisory Platforms* and *Code of Conduct*.