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聯交所所對東岳集團(00189.HK)和十位董事採取紀律行動
阿思達克 05-27 17:01
聯交所對東岳集團(00189.HK)和十位董事採取紀律行動,包括譴責公司執行董事張建宏及批評公司前執行董事劉傳奇未有履行其董事責任,違反《上市規則》第3.08(f)條的規定,且因未有盡力遵守《上市規則》,違反他們以《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。

聯交所上市上訴委員會進一步批評東岳集團於2015年及2016年延遲刊發三套財務業績及報告,違反《上市規則》第十三章的若干規定。

聯交所指,該公司延遲刊載及派發三套財務業績及報告,公司於2016年4月1日就延遲刊發2015全年業績及有關委任專業事務所對若干受指控的財務交易(有問題交易)中懷疑的挪用公款案進行法證審閱的事宜刊發公告。由於有銀行承兌票據形式的閒置資金,該公司於2011年開始從事由銀行安排的委託貸款業務。

有問題交易包括兩家附屬於2013年第四季左右至2015年第一季左右透過中國內地的銀行向若干人士提供的委託貸款共9.782億元人民幣,由當時任職財務總監的高層職員及結算中心主管安排;及兩筆保證金共5億元人民幣,由該兩家附屬公司用於向另一家內地銀行作抵押,以於2014年12月左右向有關人士中的兩名人士借出同等金額的貸款。

委託貸款項下的9.782億元人民幣已到期,但有關人士並未償還。兩筆保證金(共5億元人民幣)因借方未有還款而遭沒收。該公司聲稱有問題交易是該公司理財業務的一部分,而有關業務由財務總監負責。公司於2015年9月透過內部審計發現有問題交易。該次內部審計結果指出該公司並無用於偵測異常狀況及風險管理的機制,因此未能發現異常情況以及監控委託貸款及理財風險。

另外,公司於2015年11月向中國公安當局舉報挪用公款案。根據該公司公告披露,公安局逮捕了一系列人士,包括公司財務總監及結算中心的兩名出納員、有關人士的負責人以及若干涉事內地銀行的員工,而公安局已對有關的多名人士作出刑事起訴。

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