聯交所刊發有關檢討紀律處分權力及制裁諮詢文件
港交所(00388.HK)旗下全資附屬聯交所今天(7日)就建議修訂聯交所的紀律機制刊發諮詢文件。諮詢文件對《上市規則》第二A章項下聯交所的紀律處分權力及制裁措施作出多方面的檢討,以確保有關紀律機制持續穩健及有效。
諮詢文件就多項建議及加強措施徵詢市場意見,當中著重加強聯交所對個別人士的失當及違反《上市規則》的行為的追究權力,以及施加適當的制裁,其中包括:建議擴大聲譽性制裁的範圍,以及確保可對更多個別人士採取紀律處分行動,包括本身並非董事、但屬導致違反《上市規則》或在知情的情況下參與違反《上市規則》的高級管理層成員。
對現行紀律機制的主要建議及加強措施包括降低現時對個人發出公開聲明的門檻;加強對個人發出公開聲明後的跟進行動;取消現行禁止上市發行人使用市場設施的門檻;增設針對個別人士的董事不適合性聲明;加強受到公開制裁的董事及高級管理層成員的披露規定;引入違反《上市規則》的間接責任;及將紀律機制的覆蓋範圍擴大,將例如結構性產品的擔保人、與聯交所簽訂協議或承諾的有關各方也包括在內。
港交所上市主管陳翊庭表示,聯交所跟據《上市規則》設立的紀律機制已有一段時間未有作出重大的修改。透過是次諮詢,希望全面檢討有關機制使其切合所需,繼續維持市場質素,符合持份者的期望並與國際最佳常規一致,目標是令聯交所有權運用一系列的紀律制裁措施,保障投資大眾及聯交所轄下市場的持正操作,促進良好企業管治,並對失當行為起阻嚇作用。
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