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就董事提出建议

易周律师行就由以下规定引起的矿业公司董事责任提供意见:

  1. 《香港联合交易所有限公司证券上市规则》 (「上市规则」),包括《公司管治常规守则》(「守则」)及 《上市发行人董事进行证券交易之标准守则》 的有关规定;
  2. 普通法和适用的法规,包括《公司条例》《证券及期货条例》(「SFO」);
  3. 《公司收购、合并及股份购回守则》
  4. 呈交香港联合交易所有限公司(「联交所」)的《董事声明及承诺》;及
  5. 公司注册处编制的《有关董事责任的非法定指引》。

《上市规则》

按照《上市规则》 第三章 规定,发行人董事会董事共同对其管理和运营负责。联交所预期董事,共同与个别地履行诚信责任及应有技能、谨慎和勤勉行事的责任,而履行上述责任时,至少须符合香港法例所确定的标准。该等诚信责任包括:

  • 诚实及善意地以公司的整体利益为前提行事
  • 为适当目的行事
  • r对发行人资产的运用或滥用向发行人负责
  • 避免实际及潜在的利益和职务冲突
  • 全面及公正地披露其与发行人订立的合约中的权益
  • 以应有的技能、谨慎和勤勉行事,程度相当于别人合理地预期一名具备相同知识及经验,并担任发行人董事职务的人士所应有的程度

《上市规则》同时要求董事须积极关心发行人事务,并对发行人业务有全面理解,在发现任何欠妥事宜时亦必须跟进。董事可以将职能指派他人,但并不就此免除其职责或运用所需技能、谨慎和勤勉行事的责任。

更多有关董事责任的资料请查阅「香港联交所主板上市公司的董事责任」「香港联交所创业板上市公司的董事责任」

联交所「 董事手册 」规定了上市公司董事的责任与义务。

招股章程中的董事责任

上市申请人的董事就发布招股章程,特别是就不实陈述或遗漏重大信息,负有潜在的民事和刑事责任。该等责任是根据普通法以及具体的香港法例,如《公司条例》《证券及期货条例》《失实陈述条例》引发的。

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