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證監會就適用於簿記建檔及配售活動的操守規定展開諮詢
阿思達克 02-08 17:33
證監會公布就適用於香港資本市場交易的操守規定,展開諮詢,建議的規定將有助釐清中介人在股權及債務資本籌集過程中所擔當的角色,並訂明它們在簿記建檔、定價、分配及配售活動中應達到的操守標準。

另一項關於「兼任保薦人」的建議,將要求(就首次公開招股而言)至少有一名包銷銀團主事人同時擔任保薦人一職。證監會行政總裁歐達禮表示香港是全球最大規模的集資中心之一,因此務必促進負責安排發售的人士遵守嚴格的行為標準。證監會為了向參與證券發售的中介人提供清晰的操守指引而提出的各項建議,與國際監管標準相符,並將加強投資者對本港市場的信心。

證監會在擬訂有關建議時,參照了國際證券事務監察委員會組織(國際證監會組織)最近為處理在股權及債務資本籌集過程中出現的利益衝突及相關操守風險而發表的報告,及證監會在對參與上述活動的選定持牌法團進行主題檢視時的觀察所得,並向業界參與者(包括買方及賣方商號)進行了廣泛的非正式諮詢。(el/a) ~

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