<p>作者：Selena Li</p>
<p>香港，1 月 30 日（路透社）- 香港证券监管机构周五表示，已发现首次公开募股（IPO）上市申请存在 “严重缺陷”，并将加强审查，暂停部分申请的审核，并要求银行审查其程序。</p>
<p>证券及期货事务监察委员会（SFC）和香港证券交易所已要求 13 家上市保荐人进行全面审查，并暂停了 16 份被认为未达到标准的上市申请的审核。</p>
<p>SFC 和交易所于 12 月向上市保荐人发出了一封信，路透社此前报道，这在业内被视为对申请未达标的罕见警告。</p>
<p>SFC 周五表示，已要求收到信件的银行及其他几家银行在三个月内完成对其程序的 “全面审查”。</p>
<p>它没有透露这些银行的名称。</p>
<p>香港在去年全球融资中心排名中名列前茅，但面临着上市激增的挑战，而银行的能力已被压得很薄，无法承担这些任务。</p>
<p>SFC 首席执行官梁凤仪在一份声明中表示：“保荐人在上市过程中的把关角色对维护香港资本市场的质量至关重要……这一角色可能在他们急于追求交易量的过程中受到侵蚀。”</p>
<p>SFC 警告称，可能会限制其认为工作持续不满意的保荐人的业务范围，</p>
<p>以及他们可以处理的活跃申请数量。</p>
<p>梁凤仪敦促保荐人和外部专业方在准备上市申请时避免 “过度承诺”。</p>
<p>SFC 告知那些指定任何其负责人同时处理六个或更多活跃上市申请的保荐人，需提供 “整改和资源计划”。</p>
<p>它表示，所有参与 IPO 保荐工作的个人现在都将受到更严格的审查要求，因为发现一些银行允许不合格的员工参与此项工作。</p>

恒生指数

<p>香港证券监管机构发现首次公开募股（IPO）上市申请存在严重缺陷，导致对部分申请的审查加强并暂停审核。证券及期货事务监察委员会（SFC）已要求 13 家上市保荐人对其程序进行全面审查，并暂停了 16 份未达标的申请。SFC 警告称，可能会限制工作表现不佳的保荐人的业务范围，并强调在上市激增的情况下保持资本市场质量的重要性</p>

<p>By Selena Li</p>
<div class="lb-trans"><p>作者：Selena Li</p>
</div><p>HONG KONG, Jan 30 (Reuters) - Hong Kong’s securities regulator said on Friday it had identified “serious deficiencies” in IPO listing applications and was stepping up scrutiny, calling a halt to the vetting of some and telling banks to review their procedures.</p>
<div class="lb-trans"><p>香港，1 月 30 日（路透社）- 香港证券监管机构周五表示，已发现首次公开募股（IPO）上市申请存在 “严重缺陷”，并将加强审查，暂停部分申请的审核，并要求银行审查其程序。</p>
</div><p>The Securities and Futures Commission (SFC) and the Hong Kong stock exchange have asked 13 listing sponsors to conduct a comprehensive review and suspended the vetting of 16 listing applications deemed to have not met the required standard.</p>
<div class="lb-trans"><p>证券及期货事务监察委员会（SFC）和香港证券交易所已要求 13 家上市保荐人进行全面审查，并暂停了 16 份被认为未达到标准的上市申请的审核。</p>
</div><p>The SFC and bourse issued a letter to listing sponsors in December, Reuters previously reported, in what the sector views as a rare warning over applications not being up to standard.</p>
<div class="lb-trans"><p>SFC 和交易所于 12 月向上市保荐人发出了一封信，路透社此前报道，这在业内被视为对申请未达标的罕见警告。</p>
</div><p>The SFC said on Friday it had requested that the banks which received the letters and a few others complete a “comprehensive review” of their procedures within three months.</p>
<div class="lb-trans"><p>SFC 周五表示，已要求收到信件的银行及其他几家银行在三个月内完成对其程序的 “全面审查”。</p>
</div><p>It did not name the banks.</p>
<div class="lb-trans"><p>它没有透露这些银行的名称。</p>
</div><p>Hong Kong, which topped the rankings of fundraising hubs globally last year, faced the challenge of a surge in listings while banks have been stretched too thin to take up the tasks.</p>
<div class="lb-trans"><p>香港在去年全球融资中心排名中名列前茅，但面临着上市激增的挑战，而银行的能力已被压得很薄，无法承担这些任务。</p>
</div><p>“The gatekeeping role of sponsors in the listing process is critical to maintaining the quality of Hong Kong’s capital market … That role may have been eroded in their eager pursuit of deal volume,” SFC CEO Julia Leung said in a statement.</p>
<div class="lb-trans"><p>SFC 首席执行官梁凤仪在一份声明中表示：“保荐人在上市过程中的把关角色对维护香港资本市场的质量至关重要……这一角色可能在他们急于追求交易量的过程中受到侵蚀。”</p>
</div><p>The SFC warned that it may restrict the business scope of sponsors whose work it views as continuing to be unsatisfactory,</p>
<div class="lb-trans"><p>SFC 警告称，可能会限制其认为工作持续不满意的保荐人的业务范围，</p>
</div><p>as well as the number of active applications they can handle.</p>
<div class="lb-trans"><p>以及他们可以处理的活跃申请数量。</p>
</div><p>Leung urged sponsors and external professional parties to avoid “over-commitment” in preparing listing applications.</p>
<div class="lb-trans"><p>梁凤仪敦促保荐人和外部专业方在准备上市申请时避免 “过度承诺”。</p>
</div><p>The SFC told sponsors that have designated any of their principals to simultaneously work on six or more active listing applications to provide a “rectification and resource plan”.</p>
<div class="lb-trans"><p>SFC 告知那些指定任何其负责人同时处理六个或更多活跃上市申请的保荐人，需提供 “整改和资源计划”。</p>
</div><p>It said all individuals engaging in IPO sponsor work would now be subject to tightened examination requirements, as some banks were found to have allowed ineligible staff to do so.</p>
<div class="lb-trans"><p>它表示，所有参与 IPO 保荐工作的个人现在都将受到更严格的审查要求，因为发现一些银行允许不合格的员工参与此项工作。</p>
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香港监管机构指出首次公开募股（IPO）申请中的不足，并加强了审查力度