After investigation, Zheshang Futures connected the Hang Seng HOMS system to the company's futures trading system after passing the simple system security test, and applied to Hangzhou Hang Seng Network Technology Service Co., Ltd. to open the HOMS system for some customers to facilitate the operation of customer sub-accounts. Zheshang Futures knows that HOMS system can realize the sub-account function, but it does not give risk warning to the possible adverse consequences of this function, and does not control the software access and online risks, which does not meet the requirements of prudent operation and risk management of futures companies.
It is proposed to make a decision to confiscate the illegal income of 27,872.56 yuan and impose a fine of 300,000 yuan on Zheshang Futures; Jie Zheng, head of Zheshang Futures Technology Operation and Maintenance Department, was fined 50,000 yuan.