澳大利亚证券监管机构拟对两名前高管处以罚款并申请董事资格禁令

美股速递
Mar 05

澳大利亚证券与投资委员会(ASIC)将向法院提起诉讼,要求对两名来自星娱集团(Star Entertainment Group)的前高级管理人员实施经济处罚,并在一段时间内禁止其担任公司管理职务。

该监管机构指控这两名前高管在任职期间存在不当行为,具体细节将在法庭审理过程中进一步披露。若法院支持ASIC的诉求,涉案人员除需承担财务处罚外,还将面临最高数年的企业管理资格限制。

此次法律行动是ASIC强化企业治理、追究高管责任的最新举措。近年来,澳大利亚监管机构持续加强对上市公司高管行为的监督,此次诉讼将进一步明确企业管理人员的合规责任边界。

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