联交所刊发有关检讨纪律处分权力及制裁谘询文件
港交所(00388.HK)旗下全资附属联交所今天(7日)就建议修订联交所的纪律机制刊发谘询文件。谘询文件对《上市规则》第二A章项下联交所的纪律处分权力及制裁措施作出多方面的检讨,以确保有关纪律机制持续稳健及有效。
谘询文件就多项建议及加强措施徵询市场意见,当中着重加强联交所对个别人士的失当及违反《上市规则》的行为的追究权力,以及施加适当的制裁,其中包括:建议扩大声誉性制裁的范围,以及确保可对更多个别人士采取纪律处分行动,包括本身并非董事、但属导致违反《上市规则》或在知情的情况下参与违反《上市规则》的高级管理层成员。
对现行纪律机制的主要建议及加强措施包括降低现时对个人发出公开声明的门槛;加强对个人发出公开声明後的跟进行动;取消现行禁止上市发行人使用市场设施的门槛;增设针对个别人士的董事不适合性声明;加强受到公开制裁的董事及高级管理层成员的披露规定;引入违反《上市规则》的间接责任;及将纪律机制的覆盖范围扩大,将例如结构性产品的担保人、与联交所签订协议或承诺的有关各方也包括在内。
港交所上市主管陈翊庭表示,联交所跟据《上市规则》设立的纪律机制已有一段时间未有作出重大的修改。透过是次谘询,希望全面检讨有关机制使其切合所需,继续维持市场质素,符合持份者的期望并与国际最佳常规一致,目标是令联交所有权运用一系列的纪律制裁措施,保障投资大众及联交所辖下市场的持正操作,促进良好企业管治,并对失当行为起阻吓作用。
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