據報中信裏昂證券承銷債券涉誤導投資者正被證監會調查
《彭博通訊社》引述消息人士報道,香港證監會(SFC)正調查有關中信裏昂證券(CLSA)作爲華信能源的債券承銷商時有否誤導投資者。
據悉,包括前裏昂證券董事總經理等的債券持有人投訴,2016年裏昂爲2018年倒閉的華信能源承銷美元債券時誤導投資者,未有披露利益衝突並與華信能源達成一項對債權人不利的附帶交易。
消息人士稱,尚不清楚證監會是否有任何證據證明裏昂有不當行爲,目前證監會對裏昂的調查包括裏昂對華信能源的「認識你的客戶」(KYC)程序,以及與投資者進行溝通時是否提及在銷售債券時的市場需求情況。
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