瑞風新能源(00527.HK):聯交所批評公司及執行董事彭子瑋
格隆匯11月15日丨瑞風新能源(00527.HK)公佈,香港聯合交易所有限公司批評:該公司;及該公司執行董事彭子瑋先生;及指令該公司檢討其內部監控以促進其遵守《上市規則》第14及14A章;及彭先生在90日內完成18小時有關監管及法律主題及《上市規則》合規的培訓。
2017年6月20日,彭先生代表該公司簽署了一筆價值100萬美元的擔保,以協助一名第三方擬收購一間海外再保險公司。該第三方與彭先生取得聯繫,目的是想了解若有關收購成功後,該公司是否有意買入該再保險公司。該擔保構成該公司的主要交易,並應遵從《上市規則》第14章項下的公吿、通函及股東批准要求。彭先生並沒有將該擔保的事宜吿知董事會其餘成員,在簽署該擔保前亦沒有遵守該公司的內部監控程序。彭先生也沒有促使該公司遵守《上市規則》第14章項下有關主要交易的要求。
彭先生表示其簽訂了一份補充協議,若有關收購不成功時能免去該公司於該擔保下的責任,從而令該擔保失去效力。因此,彭先生在沒有尋求法律或專業意見的情況下認為這安排並不構成《上市規則》下所指的交易。就算這種説法是真實的,彭先生的分析也不正確,這是因為倘若有關收購得以成功進行,該擔保在法律上是具有約束力的。簽訂補充協定並不代表該安排不是一項交易或可不遵守《上市規則》第14章項下的要求。
最終,有關收購併沒有成功,而該公司亦無須履行其於該擔保下的責任。然而,聯交所並不同意彭先生所作的陳述,理由是若有關收購得以成功進行,該擔保在法律上是具有約束力的。
該公司及彭先生接受了彼等各自的違規,以及由上市委員會向彼等施加的制裁及指令。
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