證監會檢討報告指港交所業務分隔不足 上市部獨立性受影響
證監會發布有關港交所規管上市事宜表現的檢討報告,報告中指港交所(00388.HK)銷售部與上市部的職能分隔有多處不足,點名指港交所行政總裁李小加曾邀請上市主管一同出席有意申請上市公司的簡報會,證監會認為,當各業務部門在李小加主持的會議上明確在推銷業務,即使上市部僅單純出席,亦有可能損害上市監管職能在觀感上的獨立程度,應該完全避免。港交所已承諾各業務部門不會再發出此類邀請。
報告亦指出,有港交所的業務人員為求上市部更快給予申請人回覆,重複提及有關申請人的可取性或把電郵抄送李小加,證監會直斥此類行為並不恰當,而且可能會對上市部履行其監管責任的表現及有關觀感造成影響。
此外,證監會亦表示,港交所各業務相關部門應避免就準上市申請人提出關於《上市規則》的具體問題和其他涉及監管的查詢作出回應。港交所稱會向申請人表明任何關於《上市規則》的問題均應直接向上市部提出。證監會建議,港交所應迅速進行徹底、全面的研究,以釐清並制定各項「職能分隔」的規則和程序。港交所發言人就檢討報告回應稱,感謝證監會在報告中向其提出的建議,港交所會繼續與證監會緊密合作,完善和進一步提升上市制度的競爭力。
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