中智全球(06819.HK):聯交所上市委員會譴責公司及公司主席林宗良
格隆匯6月29日丨中智全球(06819.HK)發佈公吿,聯交所上市委員會譴責該公司;該公司執行董事及主席林宗良先生;及該公司執行董事及行政總裁Michael James Sheehan先生(連同林先生統稱相關董事)。
該公司截至2019年6月30日止六個月的中期業績顯示,該公司於上市當日動用了首次公開招股所得款項中的5,500萬美元購買若干承兑票據。該公司是通過尚乘環球市場有限公司(尚乘)購入承兑票據,而尚乘是該公司首次公開招股的聯席全球協調人及聯席賬簿管理人。
該公司在該公吿中承認,購買承兑票據構成主要交易及向實體墊款,以及其未有及時遵守《上市規則》的有關條文。該公司亦承認,其購買承兑票據前不曾諮詢合規顧問。相關董事便是負責作出投資承兑票據決定的董事。該公司及相關董事沒有為各自的違規行為辯解,並接受上市委員會對他們施加的制裁。
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