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CLSA PREMIUM(06877.HK)附屬CLSAP NZ牌照上被附加條款
格隆匯 09-21 19:20

格隆匯9月21日丨CLSA PREMIUM(06877.HK)發佈公告,公司核數師因被拒絕取得由盛匯信息科技有限公司所維護的集團舊有系統相關證據及數據庫和伺服器所載的數據,而未能完成對公司的附屬公司CLSA Premium New Zealand Limited2019年度的審計工作。

於2020年9月18日,CLSAP NZ收到新西蘭金融市場管理局的決定通知,內容涉及因其未能履行《金融市場行為法》規定的2019年審計和保證義務,而於根據該法例而發出予其的衍生工具發行人許可證上,附加特定條款。

附加的特定條款使CLSAP NZ 除非在某些有限的情況下,不能就衍生產品向散户投資者提出要約或從散户投資者那裏獲得進一步的資金。 金融市場管理局施加的條款允許CLSAP NZ平倉散户投資者的未平倉倉位,或從散户投資者那裏收取資金以履行投資者可能對CLSAP NZ承擔的義務。

以上條款將從2020年9月22日開始生效,並將一直持續到2019年相關合規的審計和保證義務報告提交及達到金融市場管理局確信滿足該法例下頒發許可證的標準之時。

據悉,CLSAP NZ和公司在澳大利亞的子公司於本公告日期前三個月內的平均營業額,分別佔集團平均營業額的24.8%和75.2%。

由於附加許可證條款,公司在新西蘭的業務將暫時受到影響,但公司管理層將盡最大努力滿足審計保證的要求及解除相關條款。另一方面,公司將繼續在澳大利亞開展業務,以減低新西蘭目前情況帶來的影響。

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