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證監會取得針對第一信用前執董何筱敏取消資格令 為期七年
阿思達克 07-21 17:46
證監會在原訟法庭取得針對第一信用金融集團有限公司(第一信用)前執行董事何筱敏(女)的取消資格令。 何未經法庭許可,不得擔任香港任何上市或非上市法團的董事,亦不得參與該等法團的管理,為期七年。她被取消資格的期限反映了其失當行為的嚴重性。何亦被命令繳付證監會在有關法律程序中的訟費。 證監會經調查後對何採取上述法律行動。調查發現,在2015年12月至2017年6月期間,曹貴子(男)以第一信用的事實董事的身分行事,參與該公司業務或事務的管理,及作出屬董事性質的決定。雖然曹是第一信用的事實董事,但他以承配人的身分參與第一信用所籌組的股份配售,並與其兄長認購第一信用所發行的供股股份中未獲認購的供股股份。然而,第一信用在就完成該配售及該供股而發出的公布中,錯誤地表示所有承配人及認購人均為獨立第三方。 何承認她曾違反其受信責任,及/或沒有以其身為該公司董事而須具備的謹慎、技巧及勤勉盡責的態度來行事,因為她:理應知悉曹為該公司的事實董事,但卻沒有確保該公司刊發公布以披露曹的角色; 疏忽地安排該公司在該配售的公布中,就承配人的獨立性作出虛假及/或具誤導性的陳述;罔顧實情地安排該公司在該供股的公布中,就未獲認購的供股股份的認購人的獨立性作出虛假及/或具誤導性的陳述;及在批准該配售之前,沒有考慮該配售對股東的攤薄影響。 證監會針對第一信用另外四名前董事及一名前事實董事的法律程序仍在進行中。 第一信用的股份自2011年12月13日起在創業板上市。2017年11月24日,證監會依據《證券及期貨(在證券市場上市)規則》第8(1)條暫停第一信用股份的交易。何在2010年4月9日至2017年9月22日期間擔任第一信用的執行董事。
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