证监会就适用於簿记建档及配售活动的操守规定展开谘询
证监会公布就适用於香港资本市场交易的操守规定,展开谘询,建议的规定将有助厘清中介人在股权及债务资本筹集过程中所担当的角色,并订明它们在簿记建档、定价、分配及配售活动中应达到的操守标准。
另一项关於「兼任保荐人」的建议,将要求(就首次公开招股而言)至少有一名包销银团主事人同时担任保荐人一职。证监会行政总裁欧达礼表示香港是全球最大规模的集资中心之一,因此务必促进负责安排发售的人士遵守严格的行为标准。证监会为了向参与证券发售的中介人提供清晰的操守指引而提出的各项建议,与国际监管标准相符,并将加强投资者对本港市场的信心。
证监会在拟订有关建议时,参照了国际证券事务监察委员会组织(国际证监会组织)最近为处理在股权及债务资本筹集过程中出现的利益冲突及相关操守风险而发表的报告,及证监会在对参与上述活动的选定持牌法团进行主题检视时的观察所得,并向业界参与者(包括买方及卖方商号)进行了广泛的非正式谘询。(el/a) ~
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