香港证监会首九月暂停65宗上市申请审核 保荐人缺失成主要原因 个别涉欺诈被转介警方
据亚洲第一线（asiafirst）10月19日报道，香港证券及期货事务监察委员会（证监会）在今年首九个月暂停了65宗上市申请的审核工作，主要原因是负责保荐人的执业缺失与不当行为。报道指，证监会近期加强对新股保荐工作的监管，其中一项联合行动中，证监会与廉政公署、会计及财务汇报局及警方采取行动，冻结两个集团逾46.6亿港元资产，是历来最高金额的限制通知；初步调查显示，涉事集团涉嫌在首次公开招股中串谋诈骗，其中包括一家近日停牌的内地茶饮连锁企业。证监会并已将个别怀疑涉及欺诈的个案转介警方跟进。证监会近年多次指出，部分保荐人在尽职审查、申报文件素质等方面未达标准，强调保荐人须为上市文件的准确性把关；若发现保荐工作存在严重缺失，证监会可暂停相关上市申请的审核，直至问题获纠正。（GSM 据 asiafirst 报道整理）
Hong Kong's SFC Suspended Vetting of 65 Listing Applications in First Nine Months Over Sponsor Failings; Some Cases Referred to Police
Hong Kong's Securities and Futures Commission (SFC) suspended vetting of 65 listing applications during the first nine months of 2026, mainly because of deficiencies and misconduct by their sponsors, asiafirst reported on Oct. 19. The report said the regulator has stepped up scrutiny of IPO sponsor work. In a recent joint operation with the Independent Commission Against Corruption, the Accounting and Financial Reporting Council and the police, the SFC froze more than HK$4.66 billion in assets of two groups — the largest restriction notice on record — amid suspected conspiracy to defraud in initial public offerings, including a mainland tea-drink chain recently suspended from trading. Some suspected fraud cases have been referred to the police. The SFC has repeatedly warned that some sponsors fall short on due diligence and filing quality, and that it may halt vetting of a listing application where sponsor work is seriously deficient until the problems are rectified. (GSM, compiled from asiafirst reporting)
来源：GSM·美国（原文链接）
图片来源：图：证监会办事处所在的港岛东中心（资料图）。Wastslandone 摄，CC BY-SA 3.0，取自维基共享资源。Photo: One Island East in Quarry Bay, home to the SFC's offices (file photo). By Wastslandone, CC BY-SA 3.0, via Wikimedia Commons.
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