又下黑手!百度等5家中概股被美列入“預摘牌名單”
美國證券交易委員會3月30日依據《外國公司問責法》(HFCAA)再將5家中概股公司加入有摘牌風險的發行人臨時名單。第三批公司包括百度、愛奇藝、富途控股、凱信遠達醫藥(CASI Pharmaceuticals)、從事漁業養殖的Nocera Inc.,這也是三月以來第三批被納入名單的中概股。
根據SEC的說法,這五家公司需要於4月20日前向SEC提供證據,證明自己不具備被摘牌的條件。若無法證明,則會被列入“確定摘牌名單”。
此前,百濟神州、百勝中國、再鼎醫藥、盛美半導體、和黃醫藥於3月8日被列入“預摘牌名單”,它們需要於3月29日向 SEC 提供不具備被摘牌的證據。SEC將第一批名單中的這五家中概股公司轉入確定名單(Conclusive list)。
而在3月23日,美國SEC向其“預摘牌名單”新增了微博公司,使其成爲名單中的第六家公司,微博需要於4月13日前向SEC提供證據,證明自己不具備被摘牌的條件。若無法證明,則會被列入“確定摘牌名單”。
按照美國SEC公佈的《外國公司問責法案》實施細則,被列入“確定摘牌名單”的公司需要在(自披露第一份年報開始計算、且2021年當做第一年)三年內提交SEC需要的文件。如果“確定摘牌名單”中的公司沒有提交或提交的文件不符合SEC要求,理論上將會在披露2023年年報後(2024年初)面臨立即退市。
中信證券在3月30日發佈的點評中也表示,綜合考慮交易面、基本面、融資需求等因素,預計法案對於已經或有條件回港上市的企業影響相對較小,而未來美股中概的逐步迴歸將帶動交易體量轉移至港交所,港股通南向投資渠道若打開亦有望對港股市場提供增量流動性支撐。
在3月中旬舉行的國務院金融穩定發展委員會專題會議上,也曾對這一問題作出明確表態。金融委表示,關於中概股,目前中美雙方監管機構保持了良好溝通,已取得積極進展,正在致力於形成具體合作方案。中國政府繼續支持各類企業到境外上市。
但是,美國證監會主席Gensler30號接受採訪時平息了關於中美可能達成協議、以避免中國公司退市的猜測,稱中國當局面臨“艱難的選擇”,只有完全遵守美國審計規則纔可以避免退市。
曾在數個重大拐點前準確預測到中國股票走向的交銀國際研究部主管洪灝認爲,在美國交易的中概股終將面臨摘牌,最好和最差情境的唯一區別可能只是時間問題,而當下已很低的估值也可以更低。
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