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新礦資源(01231.HK)獨立非執行董事冼易遭香港證監會處分
格隆匯 09-17 06:32

格隆匯 9 月 17日丨新礦資源(01231.HK)發佈公告,2020年9月16日,董事會收到獨立非執行董事冼易的通知,香港證監會對彼作出處分。根據香港證監會於2020年9月16日發佈的新聞稿,因冼易(彼為一個持牌法團的前負責人員兼行政總裁)違反《證券及期貨事務監察委員會持牌人或註冊人操守準則》及《適用於申請或繼續以保薦人和合規顧問身分行事的法團及認可財務機構的額外適當人選指引》,香港證監會因而禁止彼重投業界,為期20個月,由2020年9月15日至2022年5月14日止。

冼易是負責監督執行持牌法團於2017年作為保薦人於某項上市申請的保薦人主要人員。香港證監會針對冼易的紀律行動與香港證監會就該上市申請而對持牌法團的紀律行動有關。香港證監會發現,冼易沒有履行其作為持牌法團的保薦人主要人員、負責人員兼高級管理人員的職責,原因為彼沒有(1)以適當的技能、小心審慎和勤勉盡責的態度處理該項上市申請;(2)勤勉盡責地監督其下屬執行持牌法團的保薦人工作;及(3)確保持牌法團維持適當的操守標準。

董事會已考慮上述對冼易的處分,並認為(i)冼易能夠表現出彼作為獨立非執行董事的職位相稱的能力水平,並能夠繼續為集團未來的戰略發展做出寶貴的貢獻,監於彼在會計和財務管理、公司祕書和公司行政管理領域具有適當的專業資格,並且在香港和海外上市公司的公司管治方面具有豐富的經驗;(ii)上述事件並未對冼易擔任董事的特質、操守或獨立性產生負面影響。因此,董事會認為,由冼易繼續擔任獨立非執行董事將是合適的,而上述事件不會對集團的業務運營和財務狀況產生任何重大影響。

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