中(zhong)(zhong)(zhong)(zhong)證網(wang)訊（記(ji)者(zhe) 徐昭(zhao) 昝秀麗）3月(yue)25日晚間(jian)，證監會(hui)發(fa)(fa)(fa)(fa)布《首發(fa)(fa)(fa)(fa)業務若干(gan)問題解答》稱，發(fa)(fa)(fa)(fa)行(xing)(xing)(xing)人(ren)(ren)在新三(san)(san)(san)板掛(gua)牌期間(jian)形成契(qi)約性基金(jin)(jin)、信(xin)(xin)托計劃、資產(chan)管理(li)計劃等“三(san)(san)(san)類(lei)股(gu)(gu)(gu)東(dong)(dong)(dong)”持有(you)發(fa)(fa)(fa)(fa)行(xing)(xing)(xing)人(ren)(ren)股(gu)(gu)(gu)份的，中(zhong)(zhong)(zhong)(zhong)介(jie)機(ji)(ji)(ji)構和發(fa)(fa)(fa)(fa)行(xing)(xing)(xing)人(ren)(ren)應(ying)(ying)從以下(xia)方面核(he)(he)查(cha)披(pi)露(lu)相關(guan)信(xin)(xin)息(xi)(xi)：一是中(zhong)(zhong)(zhong)(zhong)介(jie)機(ji)(ji)(ji)構應(ying)(ying)核(he)(he)查(cha)確(que)認(ren)公司控(kong)(kong)股(gu)(gu)(gu)股(gu)(gu)(gu)東(dong)(dong)(dong)、實(shi)際控(kong)(kong)制人(ren)(ren)、第一大股(gu)(gu)(gu)東(dong)(dong)(dong)不屬于(yu)“三(san)(san)(san)類(lei)股(gu)(gu)(gu)東(dong)(dong)(dong)”。二是中(zhong)(zhong)(zhong)(zhong)介(jie)機(ji)(ji)(ji)構應(ying)(ying)核(he)(he)查(cha)確(que)認(ren)發(fa)(fa)(fa)(fa)行(xing)(xing)(xing)人(ren)(ren)的“三(san)(san)(san)類(lei)股(gu)(gu)(gu)東(dong)(dong)(dong)”依法(fa)(fa)設立(li)并(bing)有(you)效存續，已納入(ru)國(guo)家(jia)金(jin)(jin)融監管部門有(you)效監管，并(bing)已按照規(gui)(gui)定(ding)履行(xing)(xing)(xing)審批、備案(an)或(huo)報告程序，其管理(li)人(ren)(ren)也已依法(fa)(fa)注(zhu)冊登記(ji)。三(san)(san)(san)是發(fa)(fa)(fa)(fa)行(xing)(xing)(xing)人(ren)(ren)應(ying)(ying)根據《關(guan)于(yu)規(gui)(gui)范金(jin)(jin)融機(ji)(ji)(ji)構資產(chan)管理(li)業務的指(zhi)導意見》披(pi)露(lu)“三(san)(san)(san)類(lei)股(gu)(gu)(gu)東(dong)(dong)(dong)”相關(guan)過渡期安排(pai)，以及(ji)相關(guan)事項(xiang)對(dui)發(fa)(fa)(fa)(fa)行(xing)(xing)(xing)人(ren)(ren)持續經(jing)營的影響。中(zhong)(zhong)(zhong)(zhong)介(jie)機(ji)(ji)(ji)構應(ying)(ying)當對(dui)前述(shu)事項(xiang)核(he)(he)查(cha)并(bing)發(fa)(fa)(fa)(fa)表明確(que)意見。四是發(fa)(fa)(fa)(fa)行(xing)(xing)(xing)人(ren)(ren)應(ying)(ying)當按照首發(fa)(fa)(fa)(fa)信(xin)(xin)息(xi)(xi)披(pi)露(lu)準則的要(yao)求對(dui)“三(san)(san)(san)類(lei)股(gu)(gu)(gu)東(dong)(dong)(dong)”進行(xing)(xing)(xing)信(xin)(xin)息(xi)(xi)披(pi)露(lu)。中(zhong)(zhong)(zhong)(zhong)介(jie)機(ji)(ji)(ji)構應(ying)(ying)對(dui)控(kong)(kong)股(gu)(gu)(gu)股(gu)(gu)(gu)東(dong)(dong)(dong)、實(shi)際控(kong)(kong)制人(ren)(ren)，董事、監事、高級管理(li)人(ren)(ren)員及(ji)其近親(qin)屬，本(ben)次發(fa)(fa)(fa)(fa)行(xing)(xing)(xing)的中(zhong)(zhong)(zhong)(zhong)介(jie)機(ji)(ji)(ji)構及(ji)其簽(qian)字人(ren)(ren)員是否直接(jie)或(huo)間(jian)接(jie)在“三(san)(san)(san)類(lei)股(gu)(gu)(gu)東(dong)(dong)(dong)”中(zhong)(zhong)(zhong)(zhong)持有(you)權益進行(xing)(xing)(xing)核(he)(he)查(cha)并(bing)發(fa)(fa)(fa)(fa)表明確(que)意見。五是中(zhong)(zhong)(zhong)(zhong)介(jie)機(ji)(ji)(ji)構應(ying)(ying)核(he)(he)查(cha)確(que)認(ren)“三(san)(san)(san)類(lei)股(gu)(gu)(gu)東(dong)(dong)(dong)”已作(zuo)出合(he)理(li)安排(pai)，可確(que)保符合(he)現行(xing)(xing)(xing)鎖定(ding)期和減持規(gui)(gui)則要(yao)求。