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新交所凯利板规则更新摘要-201109

时间:2012-01-16 16:23:54    下载该word文档

关于公众的定义

persons other than:—

(a) directors, chief executive officer, substantial shareholders, or controlling shareholders of the issuer or its subsidiary companies; and

(b) associates of the persons in paragraph (a)

a、董事、行政总裁、主要股东或控股股东的发行人或其子公司 以及

ba中所描述人员的关联方

促进公司形成有效地董事罢免机制

允许股东有权进行股本稀释

对于接管方的报价,每股不得低于0.20新元

规定各类财报公布前发行人相关人员禁止股票交易的时间

(18) A statement whether and how the issuer has complied with the following best practices on dealings in securities:

(a) A listed issuer should devise and adopt its own internal compliance code to provide guidance to its officers with regard to dealing by the listed issuer and its officer in its securities;

(b) An officer should not deal in his company's securities on short-term considerations; and

(c) A listed issuer and its officers should not deal in the listed issuer's securities during the period commencing two weeks before the announcement of the company's financial statements for each of the first three quarters of its financial year, or one month before half year or financial year, as the case may be, and ending on the date of announcement of the relevant results.

18 发行人是否和如何遵循以下关于证券交易的相关规则的声明:

a、 发行人必须设计和采用其内部可循的例子为其管理人员提供关于上市发行方证券交易方面的指导;

b、 职员不能在短期内对其所持有的公司的证券进行交易

c、 发行方和其职员不能在相关期间进行证券交易,该期间为每个财政年度的前三个季度公司的财务报表公布前开始的两个星期,或者半年度/财政年度前一个月,视情况而定,有关结果公布之日起结束。

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