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证监会:第二季对持牌机构进行74次现场视察
阿思达克 08-20 13:40
证监会发表最新的《季度报告》。在今年4月至6月期间的第二季,持牌机构及人士和注册机构的总数为46,824,其中持牌机构的数目为3,109家。该会对持牌机构进行了74次现场视察,以查核它们遵守相关监管规定的情况。

该会认可公开发售的41只单位信托及互惠基金(包括28只在香港注册成立的基金)和24项非上市结构性投资产品。

另外,审阅了82宗新上市申请,其中包括三宗来自尚未有盈利的生物科技公司的申请。在检视各上市公司的披露情况时,根据第179条就18宗个案发出指示以收集更多资料,及就一宗交易以书面形式阐述本会所关注的事项。

期内,对8家持牌机构及2名人士采取了纪律处分,涉及的罚款总额达6,750万元。在原讼法庭取得针对8名人士的取消资格令,原因是他们违反了作为上市公司董事的职责。因应股价及成交量的异动,提出了2,366项索取交易及帐户纪录的要求。

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