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聯交所譴責中智全球(06819.HK)及其兩名執行董事
阿思達克 06-29 17:15
聯交所公布,譴責中智全球(06819.HK)及其兩名執行董事,包括主席林宗良及行政總裁Michael James Sheehan。個案涉及公司在上市當日即動用首次公開招股所得款項購買承兌票據。該公司和相關董事與上市科就下述該公司及相關董事違反《上市規則》之事達成和解。

聯交所裁定,正如中智全球於去年5月19日的公告中所承認,其購買承兌票據構成主要交易及向實體墊款,以及該公司未有及時遵守《上市規則》的有關條文。該公司亦沒有於購買承兌票據前諮詢合規顧問。

相關董事負責作出投資承兌票據的決定。聯交所裁定,相關董事未有正確考慮該公司購買承兌票據在《上市規則》下的含義或取得獨立建議,因而沒有促使該公司就該事宜諮詢合規顧問;及就承兌票據發行人作出充分的盡職調查。在這些情況下,相關董事違反了《上市規則》第3.08(f)條及其《董事承諾》。

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