上證(zheng)報中國證(zheng)券(quan)網訊 為落實(shi)2020年工作(zuo)要點(dian)總體部(bu)(bu)署，推動轄區掛(gua)牌(pai)公司提升合規意識(shi)和規范(fan)(fan)運作(zuo)水平(ping)，增強(qiang)精(jing)選層掛(gua)牌(pai)的(de)積(ji)極性，促進主辦(ban)(ban)(ban)券(quan)商發揮監(jian)(jian)管助手作(zuo)用，12月8日，天津證(zheng)監(jian)(jian)局聯(lian)合會公眾(zhong)公司部(bu)(bu)、全國股(gu)轉公司，面向轄區新三板掛(gua)牌(pai)公司、主辦(ban)(ban)(ban)券(quan)商，舉辦(ban)(ban)(ban)了(le)“防風險、促規范(fan)(fan)、助發展”暨新掛(gua)牌(pai)公司“監(jian)(jian)管第一課”專項(xiang)視頻(pin)培訓會。轄區掛(gua)牌(pai)公司高管人(ren)員(yuan)及主辦(ban)(ban)(ban)券(quan)商負(fu)責(ze)人(ren)員(yuan)等(deng)共計200余人(ren)參加(jia)培訓，天津證(zheng)監(jian)(jian)局聯(lian)合會公眾(zhong)公司部(bu)(bu)監(jian)(jian)管二處、全國股(gu)轉公司市(shi)場發展部(bu)(bu)有關(guan)同志授課，掛(gua)牌(pai)公司代表(biao)交(jiao)流了(le)融資經驗，天津證(zheng)監(jian)(jian)局通報了(le)近年來(lai)的(de)典型監(jian)(jian)管案例。

　　培訓會上，天津(jin)(jin)證(zheng)(zheng)監(jian)局聯合會公(gong)(gong)(gong)(gong)(gong)眾公(gong)(gong)(gong)(gong)(gong)司(si)部監(jian)管二(er)處(chu)(chu)負責(ze)同(tong)志結合監(jian)管經驗，深(shen)入淺(qian)出地(di)解讀了(le)(le)非上市公(gong)(gong)(gong)(gong)(gong)眾公(gong)(gong)(gong)(gong)(gong)司(si)監(jian)管體系、信息披露及公(gong)(gong)(gong)(gong)(gong)司(si)治理(li)的監(jian)管要求、持續督導的監(jian)管要求，并結合近(jin)年來監(jian)管處(chu)(chu)罰的典型案例進(jin)(jin)行了(le)(le)剖(pou)析(xi)；全國股(gu)轉公(gong)(gong)(gong)(gong)(gong)司(si)市場(chang)發(fa)展(zhan)部負責(ze)同(tong)志以(yi)(yi)深(shen)化新三板改革(ge)、服務(wu)中小企業發(fa)展(zhan)為主題，對新三板多元化特色(se)融(rong)資(zi)渠道、公(gong)(gong)(gong)(gong)(gong)開發(fa)行并進(jin)(jin)入精選層、定向發(fa)行等具(ju)體制度及新三板改革(ge)的重(zhong)點作(zuo)了(le)(le)全面宣講；轄(xia)區掛牌(pai)公(gong)(gong)(gong)(gong)(gong)司(si)代表民祥醫藥分(fen)享了(le)(le)近(jin)年來數次成功融(rong)資(zi)的經驗做法；天津(jin)(jin)證(zheng)(zheng)監(jian)局通報了(le)(le)近(jin)年來轄(xia)區掛牌(pai)公(gong)(gong)(gong)(gong)(gong)司(si)資(zi)金占用、違規擔保的監(jian)管案例，提醒(xing)參(can)會人員(yuan)引(yin)以(yi)(yi)為戒、合規運作(zuo)。

　　天津(jin)證(zheng)監局王新(xin)寧副局長提(ti)出(chu)三點(dian)意見。一要(yao)依(yi)法(fa)合規(gui)(gui)，堅守底線。各(ge)(ge)掛(gua)牌(pai)(pai)(pai)公(gong)(gong)司(si)要(yao)加強(qiang)對證(zheng)券法(fa)等(deng)法(fa)律法(fa)規(gui)(gui)的(de)學習(xi)掌握(wo)，嚴守底線、合規(gui)(gui)發展(zhan)；二要(yao)勤勉(mian)盡責，加強(qiang)督導(dao)(dao)。各(ge)(ge)主(zhu)辦券商既要(yao)主(zhu)動挖(wa)掘培育優質企(qi)業，助推(tui)改(gai)革進程，又要(yao)切實履(lv)行持續督導(dao)(dao)責任，對掛(gua)牌(pai)(pai)(pai)公(gong)(gong)司(si)的(de)信息(xi)披露、公(gong)(gong)司(si)治理、財(cai)務規(gui)(gui)范、募(mu)集資金使用(yong)(yong)等(deng)進行全(quan)面審視和(he)規(gui)(gui)范；三要(yao)進檔升層，用(yong)(yong)好市場(chang)。各(ge)(ge)掛(gua)牌(pai)(pai)(pai)公(gong)(gong)司(si)要(yao)關注改(gai)革、搶抓機遇(yu)、主(zhu)動謀劃，符合條件的(de)優質公(gong)(gong)司(si)要(yao)更加積極(ji)參與(yu)精(jing)選層公(gong)(gong)開發行，用(yong)(yong)好用(yong)(yong)足創新(xin)層、基礎層定向發行等(deng)各(ge)(ge)項工具，支持企(qi)業健康發展(zhan)。

　　今年以來，天津證(zheng)監局(ju)大(da)力(li)推進新三板改革(ge)措施落地，在(zai)做好輔導(dao)驗收的同時(shi)，引導(dao)轄區掛(gua)(gua)(gua)牌(pai)(pai)公司(si)充分運用定向發行(xing)等(deng)(deng)融(rong)資工具。截至目前，已(yi)聯(lian)合(he)(he)天津證(zheng)監局(ju)聯(lian)合(he)(he)會公眾(zhong)公司(si)部(bu)、全國(guo)股轉公司(si)、市金融(rong)局(ju)等(deng)(deng)舉辦(ban)新三板改革(ge)、證(zheng)券法等(deng)(deng)掛(gua)(gua)(gua)牌(pai)(pai)公司(si)專項培訓6次，邁(mai)達(da)科(ke)技、易景環境(jing)2家公司(si)擬(ni)向不特定合(he)(he)格投資者公開發行(xing)股票并在(zai)精選層(ceng)掛(gua)(gua)(gua)牌(pai)(pai)申請已(yi)被全國(guo)股轉公司(si)受理，轄區掛(gua)(gua)(gua)牌(pai)(pai)公司(si)年內累計發行(xing)融(rong)資1.66億(yi)元。據(ju)悉，下一(yi)(yi)步，天津證(zheng)監局(ju)將堅持“四個敬(jing)畏、一(yi)(yi)個合(he)(he)力(li)”的理念(nian)，對掛(gua)(gua)(gua)牌(pai)(pai)公司(si)資金占(zhan)用、違規擔保、信披違規等(deng)(deng)行(xing)為“零容忍”，發現(xian)一(yi)(yi)起、查(cha)(cha)處一(yi)(yi)起，“一(yi)(yi)案雙查(cha)(cha)”延伸(shen)查(cha)(cha)處主辦(ban)券商及中介(jie)服務機構的責(ze)任(ren)。同時(shi)，聯(lian)合(he)(he)市金融(rong)局(ju)等(deng)(deng)部(bu)門打通上市、掛(gua)(gua)(gua)牌(pai)(pai)后(hou)備資源庫壁(bi)壘，實現(xian)信息共享(xiang)和(he)聯(lian)合(he)(he)培育，形(xing)成推動(dong)上市、掛(gua)(gua)(gua)牌(pai)(pai)的強大(da)合(he)(he)力(li)。（胡焱）