證監會上季要求14宗上市個案提供更多資料
證監會公布最新的《季度報告》,季內持牌機構及人士和註冊機構的數目較去年增加2.3%至47,437,其中持牌機構的數目上升6.2%至3,084家。證監會季內對持牌機構進行了76次現場視察,以查核它們遵守相關監管規定的情況,並認可了公開發售的50隻單位信託及互惠基金和18項非上市結構性投資產品。
期內證監會審閱了51宗新上市申請,檢視各上市公司的披露情況時,根據第179條就14宗個案發出指示以收集更多資料,及就六宗交易以書面形式闡述證監會所關注的事項。證監會並因應股價及成交量的異動,向中介機構提出了2,345項索取交易及帳戶紀錄的要求。期內並對五家持牌機構及五名人士採取了紀律處分,涉及的罰款總額達4.133億元。
季內的重點工作包括就建議修訂開放式基金妖型公司制度,以鼓勵更多私人基金在香港成立展開諮詢,及發表一份立場書,載述向虛擬資產交易平台發牌的新框架。
證監會亦發表了兩份諮詢總結,其中一份關於投資者賠償制度的優化措施,包括將向每名投資者就每項違責支付的賠償上限提高至50萬元。另一份則關於建議對非中央結算的場外衍生工具施加保證金規定,以協助減少市場的系統性風險。
另外,為配合一直以來打擊企業失當行為的工作,證監會於11月發出聲明,提醒上市公司不得就其交易對手方披露虛假、不完整或具誤導性的資料;同時亦發出通函,提醒資產管理公司妥善評估由投資者提議或指示涉及私人基金及委託帳戶的安排或交易。
證監會並於12月就有關在資產管理中納入環境、社會及管治因素和氣候風險的調查結果發表報告。
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