證監會:長江證券融資因保薦人缺失被罰款2,000萬元及暫時吊銷牌照
證監會公布,因長江證券融資(香港)有限公司於擔任六宗上市申請的保薦人並履行其職責期間干犯嚴重且廣泛的缺失,對該公司作出譴責並處以罰款2,000萬元。
長江證券融資於2015年9月至2017年12月期間呈交的六宗上市申請為太平洋礦產、亞太網絡資訊、恆電、萬創、恆昇昌及百應租賃。
證監會亦局部暫時吊銷長江證券融資的牌照,令長江證券融資不得為任何證券在聯交所的上市申請擔任保薦人,由2023年8月18日起計為期一年,或直至證監會信納長江證券融資就其保薦人相關業務具備足夠的監控措施和程序以確保其遵循相關法律及監管規定為止,期限以兩者較長為準。
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