冠均國際(01629.HK)違規漏報認購及贖回金融產品
冠均國際控股(01629.HK)公布,於1月5日透過其四間附屬公司,與發行人訂立協議,以於1月5日至4月15日期間認購最高認購總額為2.42億元人民幣的金融產品。於1月14日至3月28日期間,公司透過其四間附屬公司,已不時認購及贖回本金總額約為1.99億元人民幣的金融產品。
由於贖回事項的最高適用百分比率超過75%,贖回金融產品總額構成公司非常重大的出售事項。鑑於固定利率、本金及回報保證的性質,以及金融產品合約期內可隨時認購及贖回的酌情權,公司錯誤地認為金融產品在性質上與活期存款相似,而活期存款並不構成上市規則第14章所定義的交易,公司因無意及疏忽而未能遵守該等上市規則的規定。
考慮到金融產品的全部未償還金額均已於3月28日或之前獲贖回,且公司已收到金融產品產生的全部本金及利息,即使交易於性質上構成非常重大的收購事項及非常重大的出售事項,並應符合上述的股東批准規定,公司認為符合上述規定可能沒有意義,因此無意就批准或追認交易寄發任何通函或召開任何股東大會。
為防止日後再次發生類似事件,公司已立即實施補救措施,包括完善匯報制度,財務部門提前向管理層報告任何擬議的金融產品認購事項、每年為董事、高級管理層及負責人員安排有關須予公布交易的監管合規事宜的定期培訓、及每年討論及審閱其內部監控及合規系統等。
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