聯交所刊發新「合作行爲指引說明」及更新「規則執行制裁聲明」
聯交所刊發新的《合作行爲指引說明》及經修訂的《規則執行制裁聲明》,並更新《規則執行政策聲明》,預料新指引可爲上市發行人就規則執行方面提高清晰度及透明度。
合作行爲指引說明列舉何謂持份者與聯交所合作的良好行爲例子以及可能帶來的好處,同時亦載有可被視爲不合作行爲的例子,例如遲交陳述或證據,及可能造成的後果。
經修訂的制裁聲明進一步講述聯交所對上市發行人監控環境的預期以及個別人士依靠他人代爲履行職責的限制。而制裁聲明亦加入聯交所於2021年7月經修訂「紀律處分權力及制裁」中的主要制裁,藉此加強透明度。
港交所(00388.HK)上市主管陳翊庭表示,規則執行在實踐聯交所監管目標方面扮演重要角色,相信新指引文件有助促進香港市場建立良好行爲和適當操守的文化,支持交易所繼續維持公平、高效及有秩序的市場。
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