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诺亚财富飞单事件导致投资人百万资金无法兑付

2018-3-26 16:13| 发布者: admin| 查看: 4762| 评论: 13

近期,一名投资者马某向媒体爆料称,此前,美股上市公司诺亚财富的理财师张某通过接“飞单”的形式,向其销售了两款非诺亚财富发行基金理财产品,一只名为“中智环保”,一只名为同盈AET收购基金理财产品。

其中,第二只同盈基金产品的交易,发生在理财师张某通过与马某进行拼单投资“中智环保”取得信任之后。但这只基金理财产品并未能如期兑付。

公开资料显示,诺亚财富成立于2007年,是一家在美国纽交所上市的公司,其所在的行业为资产管理与托管银行,其主要向客户提供资产管理服务。

据悉,2016年1月15日,马某以106万的价格,从张某处购买了深圳同盈股权投资基金管理有限公司发行的同盈AET收购基金理财产品,收益率17%,到账期一年。两人以邮件和快递的方式完成了沟通和合同签署。

在完成同盈基金产品交易八个多月之后,马某通过诺亚(苏州)财富管理中心发来的一条短信才得知,此前对接自己的诺亚理财师张某因在职期间进行“飞单”业务被辞退调查,上述两款产品即由其推介的非诺亚产品。

后来,随着同盈基金被曝资金链断裂,以及涉嫌非法吸收公众存款被立案调查,马某在向其维权几乎无望的情况下,认为依据2月份彼时的银监会对银行业金融机构以及相关的适用金融单位下发的关于规范工作人员行为管理的相关政策征求意见稿,接“飞单”的理财师张某和诺亚财富应该要负担责任,并在3月中旬,以及北京两会正在召开的时候,也向证监会方面再次进行了举报,并表明了这一主张。

据悉,在2017年5月19日,马某就已经向中国证监会进行了举报,随后中国证监会将投诉移交给了上海证监局处理。当时的6月份,证监局曾就此事项来诺亚财富进行了问询。但从马某向媒体提供的其与证监会方面进行邮件沟通的内容来看,其对证监会方面的一些处理细节还存在不满的地方。

法律专业人士认为,虽然诺亚财富归证监会管辖,但是银监会的上述新政,根据法律上的同案同判、类案类判精神,也可以被类比应用到对其的管理,在该事件中,张琴向马先生销售基金理财产品的情况,已经构成了表见代理关系,马先生可以向诺亚财富进行追责。相关专业人士也认为,机构行为在服务中体现为从业人员的具体行为,如果是员工行为失当,机构也应该担责,从合规角度,从消费者保护角度都应该是如此。


来源:http://th.jshills.com/resource/show/index?model_id=1&id=3048493


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