6月19日(ri),全國(guo)股(gu)(gu)轉(zhuan)系(xi)統(tong)發布了修訂后的(de)(de)《全國(guo)中小(xiao)企業(ye)股(gu)(gu)份(fen)轉(zhuan)讓(rang)系(xi)統(tong)股(gu)(gu)票(piao)掛牌(pai)業(ye)務操作指(zhi)南(nan)(nan)(試行(xing))》(以下簡(jian)稱《指(zhi)南(nan)(nan)》),并于6月16日(ri)起(qi)實施。《指(zhi)南(nan)(nan)》增加了股(gu)(gu)票(piao)掛牌(pai)前重(zhong)(zhong)大事項的(de)(de)核查環節,即在(zai)申請掛牌(pai)公(gong)司股(gu)(gu)票(piao)掛牌(pai)前,主辦券商須(xu)對申請掛牌(pai)公(gong)司是否存(cun)在(zai)實際控制人或(huo)控股(gu)(gu)股(gu)(gu)東失聯,是否存(cun)有未(wei)在(zai)區(qu)域(yu)性股(gu)(gu)權轉(zhuan)讓(rang)市(shi)場摘牌(pai)等(deng)重(zhong)(zhong)大事項進(jin)行(xing)核查,未(wei)完(wan)成(cheng)核查的(de)(de),不能(neng)掛牌(pai)。
修(xiu)訂后(hou)的(de)《指南(nan)》,將滿足電(dian)子化操(cao)作流程的(de)要求,股(gu)票(piao)(piao)掛(gua)(gua)牌流程通過BPM系統實(shi)現電(dian)子化,申請掛(gua)(gua)牌公司(si)和(he)主辦券(quan)商可(ke)以(yi)在線上(shang)(shang)自助操(cao)作。為此,本次修(xiu)訂將股(gu)票(piao)(piao)掛(gua)(gua)牌原來的(de)線下操(cao)作調(diao)整為線上(shang)(shang)操(cao)作,同(tong)意(yi)掛(gua)(gua)牌函和(he)繳費通知單由(you)BPM系統向(xiang)主辦券(quan)商推送,主辦券(quan)商登錄后(hou)即可(ke)取得電(dian)子版文件,無(wu)需到現場領取。此外(wai),實(shi)現了股(gu)票(piao)(piao)掛(gua)(gua)牌相關環節的(de)自動化處理(li)(li),證券(quan)代碼由(you)BPM系統按照當日獲得同(tong)意(yi)掛(gua)(gua)牌函的(de)公司(si)的(de)受(shou)理(li)(li)編號順序自動生成,并(bing)對(dui)證券(quan)簡(jian)稱進行自動校驗。
《指南》還完(wan)(wan)善(shan)了信(xin)(xin)息(xi)(xi)披(pi)(pi)(pi)露(lu)(lu)(lu)(lu)的(de)通(tong)道,除(chu)掛(gua)(gua)(gua)牌(pai)(pai)前(qian)信(xin)(xin)息(xi)(xi)披(pi)(pi)(pi)露(lu)(lu)(lu)(lu)文件(jian)(jian)的(de)更(geng)正公(gong)告和新增臨時(shi)公(gong)告外,增加了補發公(gong)告和撤(che)銷(xiao)(xiao)公(gong)告。補發公(gong)告適用于掛(gua)(gua)(gua)牌(pai)(pai)前(qian)對首次信(xin)(xin)息(xi)(xi)披(pi)(pi)(pi)露(lu)(lu)(lu)(lu)和第二次信(xin)(xin)息(xi)(xi)披(pi)(pi)(pi)露(lu)(lu)(lu)(lu)的(de)漏披(pi)(pi)(pi)文件(jian)(jian)的(de)補充披(pi)(pi)(pi)露(lu)(lu)(lu)(lu);撤(che)銷(xiao)(xiao)公(gong)告適用于對掛(gua)(gua)(gua)牌(pai)(pai)前(qian)已(yi)披(pi)(pi)(pi)露(lu)(lu)(lu)(lu)文件(jian)(jian)的(de)撤(che)銷(xiao)(xiao)。自(zi)申請掛(gua)(gua)(gua)牌(pai)(pai)公(gong)司股票掛(gua)(gua)(gua)牌(pai)(pai)日起,已(yi)掛(gua)(gua)(gua)牌(pai)(pai)公(gong)司后續(xu)信(xin)(xin)息(xi)(xi)披(pi)(pi)(pi)露(lu)(lu)(lu)(lu)工作及對掛(gua)(gua)(gua)牌(pai)(pai)前(qian)信(xin)(xin)息(xi)(xi)披(pi)(pi)(pi)露(lu)(lu)(lu)(lu)文件(jian)(jian)的(de)更(geng)正均通(tong)過(guo)持續(xu)信(xin)(xin)息(xi)(xi)披(pi)(pi)(pi)露(lu)(lu)(lu)(lu)通(tong)道完(wan)(wan)成。
《指(zhi)南》還(huan)明確(que)了暫停(ting)掛(gua)牌(pai)(pai)和終(zhong)止掛(gua)牌(pai)(pai)的情(qing)形及操作手續。申請(qing)掛(gua)牌(pai)(pai)公(gong)司(si)取得同(tong)意(yi)掛(gua)牌(pai)(pai)函后,在辦理掛(gua)牌(pai)(pai)手續期間發(fa)生(sheng)高管(guan)未通(tong)過全國(guo)股(gu)轉(zhuan)公(gong)司(si)的培(pei)訓等情(qing)形時,對該(gai)公(gong)司(si)股(gu)票做暫停(ting)掛(gua)牌(pai)(pai)處理;申請(qing)掛(gua)牌(pai)(pai)公(gong)司(si)在掛(gua)牌(pai)(pai)前,可申請(qing)終(zhong)止掛(gua)牌(pai)(pai)程序。
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