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高鵬礦業(02212.HK):聯交所譴責公司前執行董事胡國安違反上市規則
格隆匯 12-30 18:57

格隆匯12月30日丨高鵬礦業(02212.HK)公佈,香港聯合交易所有限公司上市委員會譴責該公司前執行董事胡國安先生違反《香港聯合交易所有限公司證券上市規則》附錄十第A.3及B.8條及未有盡力遵守《上市規則》,違反其以《上市規則》附錄5B表格所載形式向聯交所作出的《董事聲明及承諾》中的責任。

上市委員會進一步聲明,聯交所認為,由於胡先生故意及持續不履行《上市規則》所載的責任,因此其留任將損害投資者的權益。

據悉,上市委員會於2019年11月5日就胡先生的行為是否符合《上市規則》及《承諾》所載的責任進行聆訊。

按《標準守則》第B.8條規定,董事若未事先以書面通知發行人的主席或指定董事並接獲註明日期的確認書,則不得買賣其所屬上市發行人的任何證券。該公司於2018年3月28日公佈其截至2017年12月31日止年度財務業績,因此2018年1月22日至2018年3月28日是禁售期。於2017年12月7日至2018年2月27日期間,胡先生在未有按《標準守則》第B.8條的規定取得該公司主席/指定董事的書面確認下,由祕書代其前後合共購入2614萬股及售出80萬股該公司股份,共涉及30次交易,其中9宗是在2017年業績禁售期內進行。胡先生指進行了該等交易是因為其疏忽大意,授予祕書一般權力代其買賣該公司股份。

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