未能及时披露买入推特股票 SEC对马斯克发起调查

智通财经网06-17

智通财经APP获悉，美国证券交易委员会(SEC)正在调查特斯拉(TSLA.US)CEO 马斯克在接管推特公司之前延迟披露其购买推特股票的行为。报道指出，埃隆·马斯克向美国证券交易委员会提供的证词显示，他和他的顾问忽视了一项规定，该规定要求他在推特的股份超过5%时披露自己的所有权。法庭文件显示，马斯克一直等到持股超过9%，并收到加入董事会的邀请后，才披露自己的持股情况。马斯克可能被指控违反了这一规则...

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马斯克在接管推特公司之前延迟披露其购买推特股票的行为。报道指出，埃隆·马斯克向美国证券交易委员会提供的证词显示，他和他的顾问忽视了一项规定，该规定要求他在推特的股份超过5%时披露自己的所有权。法庭文件显示，马斯克一直等到持股超过9%，并收到加入董事会的邀请后，才披露自己的持股情况。马斯克可能被指控违反了这一规则，以便他能保密自己的交易，并防止推特股价在他积累股份时上涨。SEC在法庭文件中表示，正在调查马斯克是否通过延迟披露或对市场误导其计划，犯下了民事欺诈行为。到目前为止，SEC尚未对马斯克关于推特股票交易采取任何执法行动。展望未来，如果SEC对马斯克提出正式的欺诈投诉，监管机构可能会要求法院禁止他在美国上市公司担任高级职员或董事。SEC此前曾因马斯克2018年关于将特斯拉私有化的“资金已到位”推文起诉过他。SEC还指控特斯拉未能建立必要的披露控制和程序，以关联马斯克的推文，特斯拉已同意和解这一指控。法律专家认为，SEC面临一场艰苦的战斗，因为即使故意规避强制披露计划，也不一定将监管违规转化为欺诈行为。马斯克预计将再次出现在SEC面前，回答有关他推特交易的问题。更多港股重磅资讯，下载智通财经app更多港股及海外理财资讯，请点击www.zhitongcaijing.com（搜索“智通财经”）；欲加入智通港股投资群，请加智通客服微信(ztcjkf)","kind":null,"is_publish_news":true,"is_publish_highlight":false,"is_publish_live":null,"is_publish_wemedia":null,"editions":null,"column":"","sentiment":"0","news_tag":"","news_rank":0,"symbols":[],"gpt_button":1},"commentList":[],"isCommentEnd":true,"newsSizeData":{"likeSize":0,"commentSize":0,"repostSize":0,"favoriteSize":0,"likeStatus":false,"favoriteStatus":false},"APP":{"userAgent":"Mozilla/5.0 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