UBS与渣打银行遭香港证监会起诉
针对与一家中资企业首次公开招股(IPO)有关的市场不当行为，香港证券监管机构已向瑞银(UBS)、渣打银行(Standard Chartered)和毕马威(KPMG)发起法律诉讼。这家中资企业后来遭到了清盘。
The lawsuit comes as the Securities and Futures Commission steps up its enforcement efforts in the city, where complaints about “problematic” companies have risen sharply in recent years.
提出这一法律诉讼之际，香港证券及期货事务监察委员会(Securities and Futures Commission，简称证监会)正加大在香港的执法力度。近年来，香港对“问题”企业的投诉已急剧增多。
UBS and Standard Chartered were co-sponsors for the IPO of China Forestry Holdings in 2009 and had previously warned over upcoming regulatory actions. KPMG was the auditor for the IPO. All three groups declined to comment on the matter.
瑞银和渣打是2009年中国森林控股有限公司(China Forestry Holdings) IPO交易的联合担保人。此前，两家银行曾就即将遭遇的监管举措提出警告。毕马威则是这次IPO交易的审计方。三家机构都拒绝置评此事。
UBS said in October that it could face a temporary ban in Hong Kong from providing corporate finance services because of an investigation into its role as an IPO sponsor in the country. Just days later, StanChart warned that an SFC action against it could have “financial consequences”.
今年10月，瑞银曾表示，由于作为中国一宗IPO交易担保人的角色受到调查，该行在香港可能会面临禁止提供企业融资服务的暂时禁令。而就在几天之后，渣打也警告称，香港证监会针对该行的举措可能会产生“财务上的影响”。
The SFC lawsuit concerned “market misconduct” connected to the prospectus for China Forestry’s IPO and to its annual and interim results announcements in 2009 and 2010, according to a writ of summons filed in the Hong Kong High Court.
根据香港高等法院(Hong Kong High Court)发出的传票，香港证监会的诉讼关心的“市场不当行为”，与中国森林IPO招股说明书及该公司2009年和2010年年度财报和中期财报有关。
China Forestry raised $216m from its IPO, according to Dealogic. But its listing was suspended in 2011 and KPMG later resigned after discovering irregularities in the group’s accounting records. China Forestry is at present being liquidated.
根据Dealogic的说法，中国森林通过IPO交易筹集了2.16亿美元。然而，2011年该集团被停牌。之后，毕马威因发现该集团账目中的不合规而退出。目前，中国森林正在办理清盘。
Since 2013 banks sponsoring IPOs in Hong Kong have been legally liable for claims made in prospectuses and the Hong Kong Securities and Futures Commission has previously warned investment bankers that they must improve due diligence on companies when preparing for a float.
自2013年起，香港IPO交易的担保人要为招股说明书中的声明承担法律责任。此前，香港证监会曾警告投行人士，在为企业筹备上市时必须加强尽职调查。
The lawsuit was also filed against China Forestry, its chairman Li Kwok Cheung and its chief executive Li Han Chun.
这一诉讼的被告方还包括中国森林、中国森林董事长李国昌(Li Kwok Cheung)及首席执行官李寒春。
The Hong Kong Exchange has been the world’s leading listings venue for the past two years, raising $25bn in 2016, according to Dealogic.
根据Dealogic的数据，过去两年香港的交易所一直是全球第一的上市场所，2016年筹集了250亿美元。
However, late last year the SFC warned it was dealing with a sharp rise in complaints about what it called “problematic” companies. Probes by the regulator into governance, disclosure, insider dealing and market manipulation issues have doubled during the past five years. They in turn have produced a 50 per cent increase in the launching of formal proceedings.
然而，去年底香港证监会曾警告称，该机构正在处理对其所谓“问题”公司的投诉急剧增加的问题。过去五年，这家监管机构对公司治理、信息披露、内幕交易和市场操纵问题的调查活动已增加了一倍。这些调查活动又导致发起的正式诉讼增加了50%。
The Hong Kong Exchange and SFC have come under fire following cases of suspected manipulation, unexplained volatility and a lack of transparency on ultimate ownership of some companies, many of which are based in mainland China.
在多起涉嫌操纵市场、无法解释的波动及缺乏最终所有权透明度的案子爆出之后，香港交易所和证监会受到了强烈抨击。在这些涉案企业中，许多企业的总部位于中国内地。
Cases such as Hanergy Thin Film, whose market capitalisation soared to $40bn before nearly halving in half an hour with no explanation, have shaken investor confidence in some of the city’s stocks.
类似汉能薄膜(Hanergy Thin Film)这样的案子，已动摇了投资者对香港部分股票的信心。汉能薄膜的市值曾激增至400亿美元，之后又无法解释地在半小时内缩水近一半。
