annexure a - 首页...cayman islands on 26 june 2006it was registered as a non. -hong kong company...
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IN THE MATTER OF EVERGRANDE REAL ESTATE GROUP LIMITED
AND ITS LISTED SECURITIES (STOCK CODE: 3333)
NOTICE TO THE MARKET MISCONDUCT TRIBUNAL PURSUANT TO SECTION 252(2) AND SCHEDULE 9 OF THE
SECURITIES AND FUTURES ORDINANCE (CAP. 571) ("ORDINANCE")
Whereas it appears to the Securities and Futures Commission that market misconduct
within the meaning of section 277 of Part XIII of the Ordinance has or may have
taken place in relation to the securities of Evergrande Real Estate Group Limited
(Stock Code: 3333) listed on the Stock Exchange of Hong Kong Limited, the Market
Misconduct Tribunal is hereby required to conduct proceedings and determine:
(a) whether any market misconduct has taken place;
(b) the identity of any person who has engaged in the market misconduct; and
(c) the amount of any profit gained or loss avoided as a result of the market
misconduct.
Person Specified
Andrew Edward Left
(hereinafter called the “Specified Person”)
1. Evergrande Real Estate Group Limited (“Evergrande”) was incorporated in the
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Cayman Islands on 26 June 2006. It was registered as a non-Hong Kong
company in Hong Kong under Part XI of the Companies Ordinance.
2. On 5 November 2009, its shares were listed on the Stock Exchange of Hong
Kong Limited (“Exchange”) with a stock code of 3333. They remained so
listed on Thursday 21st June 2012.
3. On 21 June 2012, a trading day on the Exchange, at around 10.15 a.m., the
Specified Person disclosed, circulated or disseminated information or authorized
or was concerned in the disclosure, circulation or dissemination of information
pertaining to Evergrande by posting a report on the website of Citron Research
www.citronresearch.com (“Citron Report”).
4. The Citron Report pertained to Evergrande and was negative in the sense that it
stated, inter alia, that the company was insolvent and had consistently presented
fraudulent information to the investing public.
5. The information in the Citron Report (“Information”) was false or misleading
as to a material fact, or was false or misleading through the omission of a
material fact: the company was not insolvent and nor had it consistently
presented fraudulent information to the investing public.
6. The Information was likely to:
(a) induce another person to subscribe for securities, or deal in futures
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contracts, in Hong Kong; or
(b) induce the sale or purchase in Hong Kong of securities by another
person; or
(c) maintain, increase, reduce or stabilize the price of securities, or the price
for dealings in futures contracts, in Hong Kong.
7. On 21st June 2012, the turnover of Evergrande shares was exceptionally high
and the share price fell significantly.
8. The Specified Person knew that, or was reckless or negligent as to whether, the
Information was false or misleading as to a material fact, or was false or
misleading through the omission of a material fact.
9. By reason of the matters aforesaid, the Specified Person has or may have
contravened section 277(1) of the Ordinance and therefore has or may have
engaged in market misconduct.
Dated this 15th day of December 2014
Securities and Futures Commission
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Annexure "D"(Page 1 of 5)
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Annexure "E"(Page 1 of 8)
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