聯交所對順誠(00531.HK)及副主席劉宜美作紀律行動
聯交所批評順誠(00531.HK)及執行董事兼副主席劉宜美,並指令該公司對內部監控進行檢討。
該公司於2018年7月作出了一項價值1.5億美元屬於主要交易的投資,須遵守《上市規則》第十四章有關公告、通函及股東批准的規定。該公司並未遵守有關規定,而聯交所於2019年11月向該公司董事會發出了一封指引信。劉宜美收到該指引信,但並未傳予董事會。
該公司於2019年12月出售了有關投資的一部分,出售事項屬於主要交易,因此亦須遵守上述《上市規則》規定。然而,由於劉宜美誤解《上市規則》的規定,因此該公司並未遵守有關規定。劉宜美亦未有向董事會匯報出售事項。儘管該公司就遵守《上市規則》制定了內部監控政策,但其內部監控系統仍有不足。該公司及劉宜美沒有就上述違規事項提出抗辯,並接受上市委員會向他們作出的制裁及指令。
上市委員會裁定該公司未有就出售事項遵守有關公告、通函及股東批准的規定,違反《上市規則》第14.34、14.38A、14.40及14.41條,以及劉宜美違反《上市規則》第3.08條及其承諾,上市委員會決定施加本紀律行動聲明所載的制裁及指令。
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