中國(guo)證券(quan)(quan)業協會16日發(fa)布《公(gong)司債券(quan)(quan)承銷業務(wu)規范》和《公(gong)司債券(quan)(quan)承銷業務(wu)盡職調(diao)查指引》，規范公(gong)司債承銷業務(wu)。

　　《公(gong)(gong)(gong)(gong)司(si)(si)債券承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)業(ye)(ye)務規(gui)(gui)范》明(ming)(ming)確，發行(xing)公(gong)(gong)(gong)(gong)司(si)(si)債券應(ying)(ying)當(dang)(dang)(dang)由(you)具有證券承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)業(ye)(ye)務資格的(de)證券公(gong)(gong)(gong)(gong)司(si)(si)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)。取得(de)證券承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)業(ye)(ye)務資格的(de)證券公(gong)(gong)(gong)(gong)司(si)(si)及證監會認可(ke)的(de)其(qi)他機構(gou)(gou)非公(gong)(gong)(gong)(gong)開發行(xing)公(gong)(gong)(gong)(gong)司(si)(si)債券可(ke)以自行(xing)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)售。主(zhu)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)商應(ying)(ying)當(dang)(dang)(dang)與發行(xing)人簽(qian)訂(ding)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)協(xie)議(yi)，在承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)協(xie)議(yi)中界定雙方的(de)權(quan)利義(yi)務關系，約定明(ming)(ming)確的(de)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)基數。采用(yong)包(bao)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)方式的(de)，應(ying)(ying)當(dang)(dang)(dang)明(ming)(ming)確包(bao)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)責任(ren)(ren)。公(gong)(gong)(gong)(gong)開發行(xing)公(gong)(gong)(gong)(gong)司(si)(si)債券依(yi)照法律(lv)、行(xing)政法規(gui)(gui)的(de)規(gui)(gui)定應(ying)(ying)當(dang)(dang)(dang)由(you)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)團(tuan)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)的(de)，組(zu)(zu)成承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)團(tuan)的(de)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)機構(gou)(gou)應(ying)(ying)當(dang)(dang)(dang)簽(qian)訂(ding)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)團(tuan)協(xie)議(yi)，由(you)主(zhu)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)商負(fu)責組(zu)(zu)織承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)工作(zuo)。公(gong)(gong)(gong)(gong)司(si)(si)債券發行(xing)由(you)兩家以上(shang)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)機構(gou)(gou)聯合主(zhu)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)的(de)，所(suo)有擔任(ren)(ren)主(zhu)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)商的(de)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)機構(gou)(gou)應(ying)(ying)當(dang)(dang)(dang)共同承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)擔主(zhu)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)責任(ren)(ren)，履行(xing)相關義(yi)務。承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)團(tuan)由(you)三家以上(shang)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)機構(gou)(gou)組(zu)(zu)成的(de)，可(ke)以設副主(zhu)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)商，協(xie)助主(zhu)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)商組(zu)(zu)織承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)(xiao)活動。

　　在定(ding)價(jia)與配售(shou)方(fang)(fang)面，業(ye)務規范(fan)明確(que)，承(cheng)銷(xiao)機構(gou)應當(dang)建立集(ji)體決策(ce)(ce)制(zhi)度，對公(gong)(gong)司(si)債(zhai)券定(ding)價(jia)和配售(shou)等重要環節進(jin)行(xing)決策(ce)(ce)，參(can)與決策(ce)(ce)的(de)人數不得少于三名。公(gong)(gong)司(si)債(zhai)券公(gong)(gong)開(kai)發(fa)(fa)行(xing)的(de)價(jia)格或利率以詢(xun)價(jia)或公(gong)(gong)開(kai)招標等市場化方(fang)(fang)式確(que)定(ding)。公(gong)(gong)開(kai)發(fa)(fa)行(xing)公(gong)(gong)司(si)債(zhai)券可以采用(yong)網(wang)(wang)下詢(xun)價(jia)配售(shou)、網(wang)(wang)上定(ding)價(jia)發(fa)(fa)行(xing)，以及網(wang)(wang)上網(wang)(wang)下相(xiang)結合(he)的(de)方(fang)(fang)式。相(xiang)關法(fa)律(lv)法(fa)規、規章制(zhi)度、自律(lv)規則另有規定(ding)的(de)，從(cong)其規定(ding)。非公(gong)(gong)開(kai)發(fa)(fa)行(xing)公(gong)(gong)司(si)債(zhai)券的(de)定(ding)價(jia)發(fa)(fa)行(xing)方(fang)(fang)式，由承(cheng)銷(xiao)機構(gou)和發(fa)(fa)行(xing)人協商確(que)定(ding)。

　　《公(gong)司債券承(cheng)銷(xiao)業務(wu)盡職調查(cha)指引》提出(chu)，承(cheng)銷(xiao)機(ji)構應當(dang)查(cha)閱(yue)發行(xing)人(ren)最(zui)近(jin)三(san)(san)年(nian)及(ji)(ji)一期的資產負(fu)債表(biao)(biao)、利潤表(biao)(biao)及(ji)(ji)現金(jin)流量(liang)表(biao)(biao)，發行(xing)人(ren)編制合并(bing)財(cai)(cai)務(wu)報(bao)表(biao)(biao)的，承(cheng)銷(xiao)機(ji)構應當(dang)查(cha)閱(yue)合并(bing)財(cai)(cai)務(wu)報(bao)表(biao)(biao)和母公(gong)司財(cai)(cai)務(wu)報(bao)表(biao)(biao)。最(zui)近(jin)三(san)(san)年(nian)及(ji)(ji)一期合并(bing)財(cai)(cai)務(wu)報(bao)表(biao)(biao)范(fan)圍發生重大(da)變化的，承(cheng)銷(xiao)機(ji)構應當(dang)調查(cha)合并(bing)財(cai)(cai)務(wu)報(bao)表(biao)(biao)范(fan)圍的具體變化情況、變化原因(yin)及(ji)(ji)其影響(xiang)。

　　《公(gong)司(si)債券承(cheng)(cheng)(cheng)(cheng)銷業(ye)(ye)務(wu)規范》和《公(gong)司(si)債券承(cheng)(cheng)(cheng)(cheng)銷業(ye)(ye)務(wu)盡(jin)職調查(cha)指(zhi)引》自發布之日起實(shi)施。《證券公(gong)司(si)開展中(zhong)小(xiao)企業(ye)(ye)私(si)募債券承(cheng)(cheng)(cheng)(cheng)銷業(ye)(ye)務(wu)試點辦(ban)法(fa)》（中(zhong)證協(xie)(xie)發[2012]120號）、《證券公(gong)司(si)中(zhong)小(xiao)企業(ye)(ye)私(si)募債券承(cheng)(cheng)(cheng)(cheng)銷業(ye)(ye)務(wu)盡(jin)職調查(cha)指(zhi)引》（中(zhong)證協(xie)(xie)發[2013]2號）同時廢止。