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工銀國際涉寶龍IPO超常規保證金融資港證監重罰2500萬 @ 2014-05-22T12: Back Hot News
Keyword:證監 工銀國際 寶龍
Concept:罰款1250萬港元 , 證監譴責工銀國際寶龍上市
根據香港證監會的調查,承配人由寶龍介紹給工銀國際融資,再由工銀國際融資將承配人介紹給聯屬公司工銀國際證券,以開立認購發售股份的賬戶。工銀國際證券並無根據《操守准則》的規定進行「認識你的客戶」盡職審查,以確定承配人的財政狀況或確認承配人是獨立於寶龍,便接受承配人認購發售股份。
工銀國際是中國工商銀行在香港的全資子公司。這次香港證監會對工銀國際融資和工銀國際證券作出譴責及罰款。工銀國際融資當時是寶龍地產IPO聯席保薦人兼賬簿管理人之一,工銀國際證券是聯席牽頭經辦人之一。
香港證監會昨譴責工銀國際兩家子公司,包括工銀國際融資及工銀國際證券,指其在寶龍地產(1238) 2009年的IPO中,擔當的角色有缺失,決定重罰該兩間公司各1,250萬元,即合共2,500萬元。證監會稱,工銀國際未有對寶龍介紹的若干承配人作客戶盡職審查,即使在懷疑承配人缺乏獨立性,仍確保承配人獲提供保證金融資,令寶龍得以順利上市。今次證監會合共罰款額高達2,500萬元,是近年罕見的高額罰則。

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