偉志控股(01305.HK):聯交所上市委員會批評公司及執行董事陳緯武
格隆匯12月21日丨偉志控股(01305.HK)宣佈,香港聯合交易所有限公司上市委員會批評:公司違反《香港聯合交易所有限公司證券上市規則》第14.23B(1)、14.34、14.38A及14.40條,未有就交易合併計算事宜諮詢聯交所,亦未有就多項須予公佈的交易及一項主要交易遵守公告及/或通函以及須獲股東預先批准等規定;該公司現任執行董事陳緯武先生,違反《上市規則》第3.08(f)條及其以《上市規則》附錄五B所載表格形式向聯交所作出的《董事聲明及承諾》所載的責任。
上市委員會於2020年10月28日就該公司及陳先生的行為是否符合《上市規則》及《承諾》所載責任進行聆訊。
本個案涉及該公司於2018年9月至12月期間,五度認購理財產品(指數或資產掛鈎存款),此等投資涉及金額共約1.53億元,於該公司截至2018年12月31日止年度的全年業績中列作按公允值計入損益的金融資產,佔該公司於2018年12月31日總資產的9.8%。除產品4外,每項投資都構成須予披露的交易。此外,於2018年12月所作的三項認購(產品1至3)合計構成一項主要交易,而2018年9月所作的兩項認購(產品4至5)合計構成一項須予披露的交易。
該公司並沒有就上述投資遵守《上市規則》第十四章有關公告及/或通函以及須獲股東預先批准等規定。陳先生全權負責此等投資。他認為投資本質上不過是現金存款,不構成《上市規則》第14.04(1)(a)條的交易,因此沒有就建議認購理財產品通知董事會或諮詢專業顧問。
經裁定上述違規事項後,上市委員會決定:批評該公司違反《上市規則》第14.23B(1)、14.34、14.38A及14.40條;及批評陳先生違反《上市規則》第3.08(f)條及其《承諾》。
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