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男子购25万飞单产品未能兑付 诺亚财富:与公司无关

2017-09-10 11:22:39   中国经济网

诺亚回应“飞单”:与公司无关

李意安 杨雅茹

2016年9月27日,苏州的马先生收到一条来自诺亚(苏州)财富管理中心的短信。

根据短信内容的指引,马先生得知,此前对接自己的诺亚理财师张琴因在职期间进行“飞单”业务被辞退调查。马先生联系了诺亚重新指派的理财师,确认此前在张琴处购买的三只产品中,有两只系非诺亚产品。

不过,令马先生未意料到的是,其购买的飞单产品之一深圳同盈股权投资基金管理有限公司(下称“同盈基金”)“同盈新能源投资基金二期”到今年1月15日 未能如期兑付。

而同盈基金也因运营不善出现资金链断裂,马先生踏上了维权之路。其坦言自己确实存在对销售细节的失察,但同时认为理财师的飞单行为是构成自己陷入维权困境的始作俑者。

诺亚财富方面向经济观察报表示:“诺亚一向严禁理财师有‘飞单’行为,飞单产品的委托投资协议书从头到尾没有出现过诺亚的名称;第二,签约地既不在公司营业地,亦不在公司办公场所,也没有任何其他工作人员与张琴有串通诱导行为;马先生将投资款是直接汇至深圳同盈股权投资基金管理有限公司的开户行账户内,并非诺亚正行受监督的销售归集账户,诺亚在其中没有获取任何经济利益。调查核实结果显示,张琴向客户马先生推销的“飞单”行为,系张琴个人行为,并非职务行为,其基金法律关系发生在客户马先生与深圳同盈股权投资基金管理有限公司之间,与我公司无关,公司无须负法律责任。”

事实上,飞单一直是理财行业业内是一个很普遍的现象,这背后暴露出行业如何防范个人员工道德风险难题。

事件始末

2015年11月,张琴以诺亚理财师身份向马先生推荐一款名为“中智环保”的产品,投资门槛30万,期限两年。马先生掏出25万元与张琴自己的5万元“拼单”购买了该款理财产品。

出于此前的拼单合作,马先生与张琴建立了信任关系。2016年1月15日,在张琴的推荐下,马先生以106万的价格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。

一个多月后,马先生购买了名为“歌斐定向增发主题投资基金阿尔法1号基金”的理财产品。

同年9月27日,马先生收到一条来自诺亚(苏州)财富管理中心的短信告知,此前对接自己的诺亚理财师张琴因在职期间进行“飞单”业务被停职调查。

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