聯交所批評瑞風新能源(00527.HK)及其執董彭子瑋
聯交所發表紀律行動聲明,批評中國瑞風新能源(00527.HK)及該公司執行董事彭子瑋,指彭子瑋於2017年代表該公司簽署一筆價值100萬美元的擔保,協助一名第三方擬收購一間海外再保險公司。
聯交所指出,彭子瑋沒有將該擔保之事宜告知董事會其餘成員,在簽署該擔保前亦沒有遵守該公司的內部監控程序,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之要求。
上市委員會裁定瑞風新能源就該擔保一事違反了《上市規則》第14.34、14.38A及14.40條,而彭子瑋代表該公司簽署該擔保但沒有通知董事局或取得董事局的批準、遵守該公司的內部監控及促進該公司遵守《上市規則》,因而違反《上市規則》第3.08條及其盡力遵守《上市規則》並竭力促使該公司遵守《上市規則》之《董事承諾》。
聯交所要求瑞風新能源檢討其內部監控以促進其遵守《上市規則》第14及14A章;及彭子瑋在90日內完成18小時有關監管及法律主題及《上市規則》合規之培訓,包括3小時有關(i)董事職責;(ii)企業管治;及(iii)《上市規則》第 14章項下要求之培訓。
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