民銀資本(01141.HK)及前董事未有及時披露內幕消息遭施加制裁
證監會市場失當行為審裁處裁定民銀資本(01141.HK)及其6名前董事沒有根據《證券及期貨條例》在合理地切實可行的範圍內盡快披露內幕消息,並對該公司的前行政總裁及公司秘書孫益麟施加為期15個月的取消資格令。
審裁處亦在由證監會提起的研訊程序中,分別對孫益麟及民銀資本前主席孫粗洪處以120萬元及90萬元罰款。其餘四名於關鍵時間涉案的前董事為前執行董事劉勁恆及3名前獨立非執行董事黃真誠、翁以翔和黃國泰。
民銀資本及上述6名前董事承認,他們在或大約在2014年10月13日,知道關於該公司截至2014年8月31日止五個月的財務表現大幅改善的消息。然而,上述消息直至該公司在2014年11月7日就其截至2014年9月30日止六個月的財務表現刊發盈利預告時,才獲公布。
孫益麟及孫粗洪亦承認他們的疏忽行為導致民銀資本違反了企業披露制度的規定。審裁處進一步命令民銀資本及該6名前董事支付證監會的調查和法律費用,以及審裁處研訊程序的訟費;及該6名前董事須參加經證監會核准有關企業披露制度、董事職責及企業管治的培訓課程。
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