香港

HK regulator suspends bank from advising on share sales
香港暂停一投行上市咨询牌照


新鸿基国际被指未能在中国生命集团上市之前妥善进行尽职调查

Hong Kong’s regulator has barred a boutique investment bank from advising companies on share sales and deals as part of a crackdown on sloppy work after a flood of problematic listings of Chinese groups.

香港监管当局禁止了一家精品投资银行就股份发行以及交易向企业提供咨询建议,作为打击投行不尽责行为的措施之一,此前大量内地企业在港上市的过程中存在问题。

The spate of listings led the Securities and Futures Commission in Hong Kong to overhaul its rules for the due diligence and preparation of companies for the stock market last year.

一连串有问题的上市促使香港证券及期货事务监察委员会(Securities and Futures Commission)于去年全面修订了有关尽职调查以及企业上市准备工作的监管规定。

Under the new regime investment bankers face jail if they help a fraudulent company to sell shares.

根据新的法规,投资银行家如果帮助一家欺诈不实的企业发售股票,将面临牢狱之灾。

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