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財經地產- 工銀國際兩公司涉IPO圍飛各罰1250萬 @ 2014-05-23T02: 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
據香港東方日報報導,香港證監會[微博]又再嚴打保薦人。香港證監會公開譴責工銀國際融資及工銀國際證券(統稱工銀國際)並罰款合共2,500萬元,指其在寶龍地產(01238)2009年上市時,對承配人違規行為視而不見,更盡管懷疑承配人缺乏獨立性,仍然確保承配人會獲提供保證金融資,令寶龍得以順利上市。
據香港文匯報報導,香港證監會(下簡稱證監會)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。
證監會的調查發現,承配人乃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

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