香港特别行政区市场失当行为审裁处关于格林柯尔科技控股有限公司及其上市证券（股份代号：8056）相关事宜的送达公告

To:GUCHUJUN,ZHANGXIHAN,HUXIAOHUI,LIUCONGMENG,XUWANPINGandFANJIAYAN,formerdirectorsofGreencoolTechnologyHoldingsLimitedwhoselastknownresidentialandofficeaddressesarelocatedinBeijing,thePeoplesRepublicofChina.

TAKENOTICEthat:-

1)aNoticetotheMarketMisconductTribunaloftheHongKongSpecialAdministrativeRegion(theTribunal),thatmarketmisconductwithinthemeaningofsection277ofPartXIIIoftheSecuritiesandFuturesOrdinance,Chapter571oftheLawsofHongKong(theOrdinance),hasormayhavetakenplaceinrelationtothesecuritiesofGreencoolTechnologyHoldingsLimited,hasbeenissuedagainsteachofyoubytheHongKongSecuritiesandFuturesCommission(theCommission)on17June2014andtheTribunalhasbeenaskedtoconductproceedingsanddetermine(a)whetheranymarketmisconducthastakenplace,(b)theidentityofeachperson,ifany,whohasengagedinthemarketmisconductand(c)theamountofanyprofitgainedorlossavoidedasaresultofthemarketmisconduct(theNotice).Thesubstantivehearingofmatters(a)and(b)asstatedintheNoticewasheldbetween14September2015and1December2015andthehearingofclosingsubmissionswasheldon18February2016.Thehearingofmatter(c)asstatedintheNoticewasheldon29April2017(thePartIIHearing).

2)On30December2016,theTribunalhandeddownaReportdated29December2016whichmadeafindingwithrespecttomatters(a)and(b)oftheNotice,including;

i)EachofGuChujun(1stSpecifiedPerson),ZhangXihan(2ndSpecifiedPerson),HuXiaohui(3rdSpecifiedPerson)andXuWanping(5thSpecifiedPerson)knewthattheauditedaccountstogetherwiththecombinedfinalresultsofGreencoolanditssubsidiariesforthefinancialyearsended31December2000,2001,2002,2003and2004werefalseormisleadingastomaterialfactsorthroughtheomissionofmaterialfactsandaretherebyculpableofmarketmisconductpursuanttosection277(1)oftheOrdinance.

ii)MokHenryWingKai(9thSpecifiedPerson)wasnegligentastowhethertheauditedaccountstogetherwiththecombinedfinalresultsofGreencoolanditssubsidiariesforthefinancialyearsended31December2000,2001,2002,2003and2004werefalseormisleadingastomaterialfactsorthroughtheomissionofmaterialfactsandisthereforeculpableofmarketmisconductpursuanttosection277(1)oftheOrdinance.(3)ByaReportdated23June2017,theTribunaldeterminedmatter(c)oftheNoticeandordered,amongstothers,pursuanttosection257(1)(f)(i)oftheOrdinance:-

i)EachofGu,Zhang,HuandXushallpaytotheCommission23.75ofHK$10,700,000;and

ii)MokshallpaytotheCommission5ofHK$10,700,000,

beingthecostsandexpensesreasonablyincurredbytheCommissioninrelationto,orincidentalto,theproceedings.

4)Byitslettersdated30June2017and5July2017(theCommissionsWrittenSubmissions),theCommissionrequestedtheTribunaltovarytheorder(ormakeafurtherorder)itimposedontheculpableSpecifiedPersonsundersection257(1)(f)(i)oftheOrdinancebyincluding(i)thecostsincurredbytheCommissionsAssistantPresentingOfficersonandafterthefilingdateoftheSubmissionsforthePartIIHearing(inclusiveoftheattendanceatthePartIIHearing)and(ii)MrPeterDuncanSC(PresentingOfficer)andMsDeannaLaws(AssistantPresentingOfficer)feesincurredforallthepreparationworkdoneforandattendanceatthePartIIHearinginthetotalsumofHK$429,933(theApplication);

5)On20July2017,theTribunaldirectedthat(i)eachoftheSpecifiedPersonstofiletheirwrittensubmissionsinrelationtotheApplicationwithin21daysfromthedateofthisnotice;and(ii)theCommissionmayrespondtothewrittensubmissionstobefiledbytheSpecifiedPersons(ifany)within7daysfromthedateoftheSpecifiedPersonswrittensubmissions;

6)iftheTribunaldoesnothearfromyouonorbefore29August2017,theTribunalmayproceedtomakesuchorder(s)againstanypersoninrelationtotheApplicationasitdeemsappropriate.

AcopyoftheCommissionsWrittenSubmissionsmaybeobtainedfromtheLegalServicesDivisionoftheSecuritiesandFuturesCommissionofwhichtheofficesareonthe35thFloor,CheungKongCenter,2QueensRoadCentral,HongKong.

Datedthisthe1stdayofAugust2017.

EricYung

AssistantPresentingOfficer

oftheSecuritiesandFuturesCommission

35thFloor,CheungKongCenter,

2QueensRoadCentral,

HongKong.

Fax:-(852)22934015

852)25217884

Email:-eyung@sfc.hk

Ref:-122/LG/1000/0013

香港特别行政区市场失当行为审裁处

送达公告

香港特别行政区市场失当行为审裁处

关于格林柯尔科技控股有限公司及其上市证券（股份代号：8056）

相关事宜的送达公告

Englishtranslation

INTHEMARKETMISCONDUCTTRIBUNALOF

THEHONGKONGSPECIALADMINISTRATIVEREGION

ANDINTHEMATTEROFGREENCOOLTECHNOLOGYHOLDINGSLIMITED

ANDITSLISTEDSECURITIES(STOCKCODE8056)

致：格林柯尔科技控股有限公司的前董事顾雏军、张细汉、胡晓辉、刘从梦、徐万平及樊家言（前述各人最后为人所知的居住及办公地址为中华人民共和国北京）。

请注意：

1)香港证券及期货事务监察委员会（“本会”）已于2014年6月17日针对你们各人向香港特别行政区市场失当行为审裁处（“审裁处”）发出通知，该通知指格林柯尔科技控股有限公司股票涉及曾发生或可能曾发生香港法例第571章《证券及期货条例》（“该条例”）第XIII部第277条所指的市场失当行为，并请求审裁处进行研讯并裁定：(a)是否曾发生市场失当行为；(b)每名曾从事该失当行为的人（如有）的身分；及(c)因该失当行为而获取的任何利润或避免的损失的金额（“该通知”）。有关该通知所述的(a)及(b)事宜已于2015年9月14日至2015年12月1日进行正式聆讯，并于2016年2月18日听取结案陈词。有关该通知所述的(c)事宜已于2017年4月29日进行聆讯（“第二部分聆讯”）。

2)于2016年12月30日，审裁处颁下日期为2016年12月29日的研讯报告书，该报告书就该通知的(a)及(b)事宜作出裁定，包括：

i)顾雏军（第一指明人士）、张细汉（第二指明人士）、胡晓辉（第三指明人士）、及徐万平（第五指明人士）各知道格林柯尔及其附属公司在截至2000年、2001年、2002年、2003年及2004年12月31日的财政年度的经审核帐目连同综合终期业绩在某事关重要的事实方面属虚假或具误导性，或因遗漏某事关重要的事实而

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