中(zhong)證網訊（記者 昝秀麗）海南證監局有關負責(ze)人日前在接受中(zhong)國(guo)證券報(bao)記者采訪(fang)時(shi)表示，推動提高上市(shi)(shi)公(gong)司質量，給(gei)投資者一個(ge)真(zhen)實透明、治(zhi)理規范、內控有效的上市(shi)(shi)公(gong)司，是(shi)資本市(shi)(shi)場有效運行(xing)的基(ji)礎，也(ye)是(shi)保護投資者合(he)法權益的根本手段(duan)。

　　近年來(lai)，海(hai)南(nan)證(zheng)(zheng)(zheng)監(jian)局始終將推(tui)動提(ti)高上(shang)市(shi)公(gong)司質量(liang)作為轄區落實全面深化資本(ben)市(shi)場改革工作的(de)(de)重中之重，緊(jin)緊(jin)圍繞證(zheng)(zheng)(zheng)監(jian)會(hui)《推(tui)動提(ti)高上(shang)市(shi)公(gong)司質量(liang)行動計劃》要(yao)求，多(duo)點著力，堅持(chi)地方政府支持(chi)、海(hai)南(nan)證(zheng)(zheng)(zheng)監(jian)局推(tui)動、行業協(xie)會(hui)引導、上(shang)市(shi)公(gong)司承擔和上(shang)市(shi)公(gong)司控股股東、實際控制人(ren)協(xie)同的(de)(de)推(tui)動路徑，多(duo)方位(wei)推(tui)進提(ti)高上(shang)市(shi)公(gong)司質量(liang)各項工作。

　　海(hai)(hai)(hai)南(nan)證監(jian)(jian)局有關負(fu)責人指(zhi)出，首先，制(zhi)(zhi)定(ding)行(xing)(xing)動(dong)(dong)方(fang)案，發布行(xing)(xing)動(dong)(dong)倡議。具體(ti)(ti)行(xing)(xing)動(dong)(dong)方(fang)案是實現(xian)推動(dong)(dong)提高上(shang)(shang)市(shi)(shi)(shi)(shi)公(gong)(gong)司(si)(si)(si)(si)(si)質量工作(zuo)落地(di)的(de)(de)重要保障(zhang)。海(hai)(hai)(hai)南(nan)證監(jian)(jian)局結合轄區(qu)(qu)實際，在深入(ru)分(fen)析研(yan)究(jiu)轄區(qu)(qu)上(shang)(shang)市(shi)(shi)(shi)(shi)公(gong)(gong)司(si)(si)(si)(si)(si)質量現(xian)狀(zhuang)和(he)(he)(he)問題成(cheng)因的(de)(de)基礎上(shang)(shang)，制(zhi)(zhi)定(ding)印發《推動(dong)(dong)提高海(hai)(hai)(hai)南(nan)上(shang)(shang)市(shi)(shi)(shi)(shi)公(gong)(gong)司(si)(si)(si)(si)(si)質量的(de)(de)行(xing)(xing)動(dong)(dong)方(fang)案（2020-2022）》，按照“優化增量、調整(zheng)存量，抓兩(liang)頭(tou)、帶中(zhong)間，分(fen)類推動(dong)(dong)、逐個落實”的(de)(de)思路，明確加(jia)強公(gong)(gong)司(si)(si)(si)(si)(si)治理和(he)(he)(he)內(nei)部控制(zhi)(zhi)監(jian)(jian)管等(deng)五個方(fang)面主要任(ren)務和(he)(he)(he)保障(zhang)措施，爭取(qu)通過(guo)3年左右(you)的(de)(de)時(shi)間，推動(dong)(dong)海(hai)(hai)(hai)南(nan)上(shang)(shang)市(shi)(shi)(shi)(shi)公(gong)(gong)司(si)(si)(si)(si)(si)整(zheng)體(ti)(ti)面貌顯著改善。同時(shi)積極發揮行(xing)(xing)業協會(hui)自(zi)律組織作(zuo)用(yong)，指(zhi)導(dao)海(hai)(hai)(hai)南(nan)上(shang)(shang)市(shi)(shi)(shi)(shi)公(gong)(gong)司(si)(si)(si)(si)(si)協會(hui)發布《提高海(hai)(hai)(hai)南(nan)上(shang)(shang)市(shi)(shi)(shi)(shi)公(gong)(gong)司(si)(si)(si)(si)(si)質量倡議書(shu)》，引導(dao)轄區(qu)(qu)上(shang)(shang)市(shi)(shi)(shi)(shi)公(gong)(gong)司(si)(si)(si)(si)(si)堅持(chi)“四個敬畏”，堅守(shou)“四條底(di)線(xian)”，從完(wan)善公(gong)(gong)司(si)(si)(si)(si)(si)治理、規范(fan)信息披露、防范(fan)化解風險等(deng)方(fang)面全(quan)面提升上(shang)(shang)市(shi)(shi)(shi)(shi)公(gong)(gong)司(si)(si)(si)(si)(si)質量。

　　其次，管(guan)(guan)(guan)住關(guan)鍵(jian)少(shao)數(shu)，緊(jin)守風(feng)險(xian)底(di)線。重視聚焦上(shang)市公司(si)控(kong)股(gu)股(gu)東、實(shi)際(ji)控(kong)制(zhi)(zhi)人(ren)、董(dong)監(jian)(jian)高(gao)(gao)等(deng)(deng)“關(guan)鍵(jian)少(shao)數(shu)”監(jian)(jian)管(guan)(guan)(guan)，組織召開轄區上(shang)市公司(si)規范(fan)運(yun)作(zuo)警示教(jiao)育培訓，督促實(shi)際(ji)控(kong)制(zhi)(zhi)人(ren)、董(dong)監(jian)(jian)高(gao)(gao)等(deng)(deng)“關(guan)鍵(jian)人(ren)”強化(hua)主體(ti)責(ze)任(ren)意識。開展新任(ren)董(dong)監(jian)(jian)高(gao)(gao)等(deng)(deng)“關(guan)鍵(jian)人(ren)”警示教(jiao)育，上(shang)好(hao)“監(jian)(jian)管(guan)(guan)(guan)第(di)一課”，增(zeng)強新任(ren)董(dong)監(jian)(jian)高(gao)(gao)、實(shi)際(ji)控(kong)制(zhi)(zhi)人(ren)規范(fan)意識，提升監(jian)(jian)管(guan)(guan)(guan)的(de)精準、有(you)效性。同時(shi)堅(jian)持(chi)管(guan)(guan)(guan)少(shao)管(guan)(guan)(guan)精才能管(guan)(guan)(guan)好(hao)的(de)原(yuan)則，緊(jin)盯(ding)重點領域風(feng)險(xian)，促進企業(ye)規范(fan)發展。專題(ti)研究，推(tui)動各(ge)方(fang)(fang)化(hua)解股(gu)票質押風(feng)險(xian)，推(tui)動公司(si)大股(gu)東和實(shi)際(ji)控(kong)制(zhi)(zhi)人(ren)積(ji)極通過歸還債務、國資入股(gu)、追加擔保、延期履(lv)約(yue)等(deng)(deng)方(fang)(fang)式，有(you)效降(jiang)低股(gu)票質押比例。推(tui)動地方(fang)(fang)金(jin)融監(jian)(jian)管(guan)(guan)(guan)部(bu)門建立上(shang)市公司(si)股(gu)票質押協調工(gong)作(zuo)機(ji)制(zhi)(zhi)，推(tui)動地方(fang)(fang)政(zheng)府(fu)組建紓(shu)(shu)困基金(jin)，省屬國有(you)企業(ye)已獲批20億元紓(shu)(shu)困債。多方(fang)(fang)協作(zuo)，積(ji)極爭(zheng)取(qu)證(zheng)監(jian)(jian)會相關(guan)部(bu)門的(de)指導(dao)和省政(zheng)府(fu)支持(chi)，通過多種方(fang)(fang)式傳遞(di)監(jian)(jian)管(guan)(guan)(guan)要求，壓實(shi)主體(ti)責(ze)任(ren)，防范(fan)風(feng)險(xian)傳導(dao)蔓延。

　　再者(zhe)，優化增量(liang)，調(diao)整存量(liang)。充分(fen)發(fa)(fa)揮資本市(shi)場并購(gou)重(zhong)組(zu)主渠(qu)道作(zuo)用(yong)，積極推動上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)司(si)(si)分(fen)類(lei)重(zhong)組(zu)，提(ti)高(gao)核心競(jing)爭(zheng)力(li)，2019年(nian)轄(xia)(xia)區上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)司(si)(si)共實(shi)(shi)施并購(gou)重(zhong)組(zu)交易(yi)49單，交易(yi)金額344.26億元。引(yin)導上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)司(si)(si)整合大(da)(da)股東控(kong)(kong)制的資產(chan)，提(ti)升上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)司(si)(si)盈(ying)利能力(li)。鼓勵主業(ye)突出的上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)司(si)(si)引(yin)進有實(shi)(shi)力(li)的戰略投(tou)資者(zhe)，加(jia)(jia)快(kuai)轉型(xing)升級擴(kuo)張壯大(da)(da)。同(tong)時，堅持優勝(sheng)劣汰(tai)，加(jia)(jia)大(da)(da)市(shi)場出清(qing)力(li)度，近(jin)2年(nian)轄(xia)(xia)區約有1/4上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)司(si)(si)引(yin)進有實(shi)(shi)力(li)的實(shi)(shi)際控(kong)(kong)制人實(shi)(shi)現控(kong)(kong)股權調(diao)整和資產(chan)重(zhong)組(zu)，逐步走出困境。增加(jia)(jia)優質上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)司(si)(si)供給，從源頭上(shang)(shang)(shang)提(ti)升公(gong)(gong)(gong)司(si)(si)質量(liang)，建立后(hou)備科(ke)創企(qi)(qi)業(ye)清(qing)單，走訪調(diao)研旅游類(lei)、科(ke)技(ji)創新型(xing)企(qi)(qi)業(ye)，協調(diao)解決企(qi)(qi)業(ye)發(fa)(fa)展(zhan)實(shi)(shi)際困難。聯合省金融局、上(shang)(shang)(shang)交所(suo)、深交所(suo)召開(kai)推動企(qi)(qi)業(ye)上(shang)(shang)(shang)市(shi)培訓(xun)會、座談會，將政(zheng)策知識送進后(hou)備上(shang)(shang)(shang)市(shi)企(qi)(qi)業(ye)。協調(diao)地方政(zheng)府(fu)及行業(ye)主管部(bu)門解決企(qi)(qi)業(ye)申請上(shang)(shang)(shang)市(shi)中的問題，推動后(hou)備企(qi)(qi)業(ye)加(jia)(jia)快(kuai)上(shang)(shang)(shang)市(shi)進程。2019年(nian)以來，轄(xia)(xia)區新增1家上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)司(si)(si)，1家在審(shen)企(qi)(qi)業(ye)，還有一些(xie)輔導備案(an)企(qi)(qi)業(ye)。

　　同時，爭取各方支持(chi)，構建(jian)多邊協(xie)作合力。資本市(shi)(shi)(shi)(shi)(shi)場(chang)(chang)改革發(fa)(fa)展穩(wen)定離不開地方黨委政(zheng)府(fu)的支持(chi)，為(wei)促進(jin)資本市(shi)(shi)(shi)(shi)(shi)場(chang)(chang)高(gao)(gao)質(zhi)量(liang)發(fa)(fa)展，充分發(fa)(fa)揮資本市(shi)(shi)(shi)(shi)(shi)場(chang)(chang)在建(jian)設海南自貿(mao)港中(zhong)的作用，海南證(zheng)監局(ju)(ju)及時向(xiang)海南省(sheng)政(zheng)府(fu)報(bao)送(song)專項報(bao)告，提出工(gong)作建(jian)議(yi)，獲得海南省(sheng)政(zheng)府(fu)領導批示肯定。加強與(yu)省(sheng)內各級政(zheng)府(fu)、部門溝通協(xie)作。與(yu)海口、三亞舉行(xing)工(gong)作會談，就協(xie)調(diao)推(tui)動(dong)(dong)上(shang)市(shi)(shi)(shi)(shi)(shi)公司(si)(si)提高(gao)(gao)質(zhi)量(liang)等問題(ti)進(jin)行(xing)研(yan)究。積(ji)極推(tui)動(dong)(dong)地方政(zheng)府(fu)出臺發(fa)(fa)展資本市(shi)(shi)(shi)(shi)(shi)場(chang)(chang)及推(tui)動(dong)(dong)提高(gao)(gao)上(shang)市(shi)(shi)(shi)(shi)(shi)公司(si)(si)質(zhi)量(liang)的相(xiang)(xiang)關政(zheng)策(ce)和(he)文(wen)件。配合推(tui)動(dong)(dong)交(jiao)易所與(yu)海南省(sheng)政(zheng)府(fu)座談交(jiao)流、簽(qian)署戰略合作框架協(xie)議(yi)、調(diao)研(yan)走訪(fang)企業，為(wei)企業上(shang)市(shi)(shi)(shi)(shi)(shi)和(he)上(shang)市(shi)(shi)(shi)(shi)(shi)企業發(fa)(fa)展提供(gong)支持(chi)。近期，海南證(zheng)監局(ju)(ju)聯合海南省(sheng)相(xiang)(xiang)關廳局(ju)(ju)對轄區上(shang)市(shi)(shi)(shi)(shi)(shi)公司(si)(si)開展全面調(diao)研(yan)，為(wei)一(yi)司(si)(si)一(yi)策(ce)推(tui)動(dong)(dong)提高(gao)(gao)上(shang)市(shi)(shi)(shi)(shi)(shi)公司(si)(si)質(zhi)量(liang)提供(gong)有力支持(chi)。

　　海南(nan)(nan)證監(jian)局(ju)有關負責人表(biao)示，下(xia)一(yi)步(bu)，海南(nan)(nan)證監(jian)局(ju)將繼續(xu)按(an)照證監(jian)會“四個(ge)敬(jing)畏，一(yi)個(ge)合力(li)”監(jian)管(guan)(guan)理念，立(li)足海南(nan)(nan)實際，堅持監(jian)管(guan)(guan)與服務(wu)并舉(ju)，把提(ti)高上市公司(si)質量工作(zuo)融入到加快推動和服務(wu)海南(nan)(nan)自貿港建(jian)設的(de)(de)大局(ju)上來(lai)，推動海南(nan)(nan)上市公司(si)不斷提(ti)升(sheng)質量，努力(li)做(zuo)守底線、負責任、有擔當、受尊(zun)敬(jing)的(de)(de)企業。