《關(guan)于大力發展證(zheng)券市場(chang)信(xin)用評級機構的建議》收悉。經認真研究(jiu),現就有關(guan)問題答(da)復如下:
一(yi)、關于建立公開透明(ming)的信用評級市(shi)場(chang)準入政策方面(mian)
《證(zheng)(zheng)券(quan)(quan)法》第一百六十九條規定(ding),“資(zi)信評(ping)級(ji)(ji)機(ji)(ji)構從事證(zheng)(zheng)券(quan)(quan)服務(wu)業(ye),必須經國(guo)務(wu)院(yuan)證(zheng)(zheng)券(quan)(quan)監(jian)(jian)督(du)管(guan)(guan)理(li)機(ji)(ji)構和(he)有關(guan)主(zhu)管(guan)(guan)部門批(pi)準”。資(zi)信評(ping)級(ji)(ji)機(ji)(ji)構從事證(zheng)(zheng)券(quan)(quan)業(ye)務(wu)的(de)(de)(de)審批(pi)管(guan)(guan)理(li)辦(ban)(ban)法,由國(guo)務(wu)院(yuan)證(zheng)(zheng)券(quan)(quan)監(jian)(jian)督(du)管(guan)(guan)理(li)機(ji)(ji)構和(he)有關(guan)主(zhu)管(guan)(guan)部門制定(ding)。2007年(nian),我(wo)會(hui)(hui)發布《證(zheng)(zheng)券(quan)(quan)市場資(zi)信評(ping)級(ji)(ji)業(ye)務(wu)管(guan)(guan)理(li)暫行(xing)(xing)(xing)辦(ban)(ban)法》(以下稱《暫行(xing)(xing)(xing)辦(ban)(ban)法》),明確(que)規定(ding)了(le)證(zheng)(zheng)券(quan)(quan)市場資(zi)信評(ping)級(ji)(ji)的(de)(de)(de)業(ye)務(wu)許(xu)(xu)可(ke)、業(ye)務(wu)規則、監(jian)(jian)督(du)管(guan)(guan)理(li)、法律(lv)責(ze)任(ren)等(deng)基本(ben)要(yao)(yao)求。《暫行(xing)(xing)(xing)辦(ban)(ban)法》中對申(shen)請證(zheng)(zheng)券(quan)(quan)評(ping)級(ji)(ji)業(ye)務(wu)許(xu)(xu)可(ke)的(de)(de)(de)資(zi)信評(ping)級(ji)(ji)機(ji)(ji)構應當(dang)具備(bei)(bei)的(de)(de)(de)條件、評(ping)級(ji)(ji)機(ji)(ji)構負責(ze)評(ping)級(ji)(ji)業(ye)務(wu)的(de)(de)(de)高(gao)級(ji)(ji)管(guan)(guan)理(li)人員應當(dang)具備(bei)(bei)的(de)(de)(de)條件以及(ji)需要(yao)(yao)提(ti)(ti)交(jiao)的(de)(de)(de)材(cai)料等(deng)作(zuo)出(chu)(chu)了(le)明確(que)的(de)(de)(de)規定(ding),滿(man)足《暫行(xing)(xing)(xing)辦(ban)(ban)法》規定(ding)條件的(de)(de)(de)機(ji)(ji)構均(jun)可(ke)向我(wo)會(hui)(hui)申(shen)請證(zheng)(zheng)券(quan)(quan)評(ping)級(ji)(ji)業(ye)務(wu)許(xu)(xu)可(ke)。具體流程包括:公(gong)司(si)提(ti)(ti)交(jiao)申(shen)請材(cai)料、證(zheng)(zheng)監(jian)(jian)會(hui)(hui)作(zuo)出(chu)(chu)受理(li)決(jue)定(ding)、證(zheng)(zheng)監(jian)(jian)會(hui)(hui)發出(chu)(chu)反(fan)(fan)饋意見、公(gong)司(si)提(ti)(ti)交(jiao)反(fan)(fan)饋意見回復、現場核查、內(nei)(nei)部審核會(hui)(hui)審議(yi)等(deng)。按照法律(lv)法規,剔除公(gong)司(si)反(fan)(fan)饋意見時限(xian)外,應在(zai)20日(ri)內(nei)(nei)作(zuo)出(chu)(chu)行(xing)(xing)(xing)政許(xu)(xu)可(ke)決(jue)定(ding);20日(ri)內(nei)(nei)不能作(zuo)出(chu)(chu)決(jue)定(ding)的(de)(de)(de),按規定(ding)程序經批(pi)準,可(ke)以延長(chang)10日(ri)。
近(jin)年(nian)來,我(wo)會不斷優化(hua)(hua)證券市(shi)場資(zi)(zi)(zi)信(xin)(xin)評(ping)(ping)(ping)(ping)級(ji)(ji)(ji)機(ji)構(gou)(gou)的(de)行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)許可(ke)制(zhi)(zhi)度(du)和流程(cheng)。一是根(gen)據相關法律法規(gui)細(xi)化(hua)(hua)原資(zi)(zi)(zi)信(xin)(xin)評(ping)(ping)(ping)(ping)級(ji)(ji)(ji)機(ji)構(gou)(gou)行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)許可(ke)工(gong)作制(zhi)(zhi)度(du),重點落(luo)實行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)許可(ke)雙崗雙責制(zhi)(zhi)度(du),在(zai)不增加申請(qing)人負擔的(de)前提下,提高審(shen)(shen)核(he)效率和透明(ming)度(du)。二是修訂《資(zi)(zi)(zi)信(xin)(xin)評(ping)(ping)(ping)(ping)級(ji)(ji)(ji)機(ji)構(gou)(gou)行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)許可(ke)工(gong)作指南(nan)》和《資(zi)(zi)(zi)信(xin)(xin)評(ping)(ping)(ping)(ping)級(ji)(ji)(ji)機(ji)構(gou)(gou)行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)許可(ke)審(shen)(shen)核(he)工(gong)作制(zhi)(zhi)度(du)》,對(dui)《資(zi)(zi)(zi)信(xin)(xin)評(ping)(ping)(ping)(ping)級(ji)(ji)(ji)機(ji)構(gou)(gou)行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)許可(ke)工(gong)作流程(cheng)圖》進(jin)行(xing)(xing)(xing)(xing)簡化(hua)(hua),方便申請(qing)人在(zai)行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)許可(ke)過程(cheng)中查(cha)詢進(jin)度(du),進(jin)一步規(gui)范(fan)行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)許可(ke)工(gong)作。三是制(zhi)(zhi)定《資(zi)(zi)(zi)信(xin)(xin)評(ping)(ping)(ping)(ping)級(ji)(ji)(ji)機(ji)構(gou)(gou)行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)許可(ke)申請(qing)受理(li)及(ji)審(shen)(shen)核(he)情況公(gong)示規(gui)程(cheng)》,對(dui)證券市(shi)場資(zi)(zi)(zi)信(xin)(xin)評(ping)(ping)(ping)(ping)級(ji)(ji)(ji)機(ji)構(gou)(gou)行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)許可(ke)申請(qing)受理(li)及(ji)審(shen)(shen)核(he)過程(cheng)中的(de)公(gong)示時(shi)間、內容、要求等作出規(gui)定。四是首次對(dui)修訂后的(de)《資(zi)(zi)(zi)信(xin)(xin)評(ping)(ping)(ping)(ping)級(ji)(ji)(ji)機(ji)構(gou)(gou)行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)許可(ke)事項(xiang)申報材(cai)料目錄及(ji)要求》進(jin)行(xing)(xing)(xing)(xing)公(gong)示。從2013年(nian)12月開始,每周五在(zai)官方網站上公(gong)示資(zi)(zi)(zi)信(xin)(xin)評(ping)(ping)(ping)(ping)級(ji)(ji)(ji)機(ji)構(gou)(gou)行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)許可(ke)受理(li)進(jin)度(du)及(ji)結果,并定期公(gong)示有關證券評(ping)(ping)(ping)(ping)級(ji)(ji)(ji)業務行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)許可(ke)的(de)監(jian)管問答。
我會積(ji)極支持符合條件的地方性評(ping)(ping)(ping)級(ji)機構(gou)開(kai)(kai)展證券市場(chang)評(ping)(ping)(ping)級(ji)業務。截(jie)至(zhi)目(mu)前,共有9家評(ping)(ping)(ping)級(ji)機構(gou)獲得證券市場(chang)評(ping)(ping)(ping)級(ji)資(zi)質(zhi)許(xu)可,注冊地分別是北京(jing)、天津(jin)、上海、深(shen)圳。有4家評(ping)(ping)(ping)級(ji)機構(gou)的申請在(zai)審核(he)過程中,注冊地分別是北京(jing)、成都、貴陽。下一步,我會將(jiang)繼(ji)續依法依規對證券資(zi)信(xin)評(ping)(ping)(ping)級(ji)機構(gou)的市場(chang)準入進(jin)行(xing)監管(guan),深(shen)化(hua)行(xing)政審批改(gai)革。一是進(jin)一步完善(shan)行(xing)政許(xu)可工作(zuo)制度。簡化(hua)行(xing)政許(xu)可審批流程,提(ti)高行(xing)政許(xu)可工作(zuo)效率;通過發布監管(guan)問答(da)(da)等(deng)途徑,及時(shi)(shi)對行(xing)政許(xu)可審核(he)過程中申請機構(gou)普遍(bian)遇到的問題進(jin)行(xing)解釋答(da)(da)疑,提(ti)高審核(he)工作(zuo)的公開(kai)(kai)性和透明(ming)度。二是適時(shi)(shi)取(qu)消行(xing)政許(xu)可審核(he)。我會擬在(zai)修改(gai)《證券法》相關條款(kuan)后,適時(shi)(shi)取(qu)消行(xing)政許(xu)可,通過加(jia)(jia)強(qiang)事中事后監管(guan)、發揮自(zi)律組織作(zuo)用等(deng)手(shou)段,加(jia)(jia)強(qiang)評(ping)(ping)(ping)級(ji)機構(gou)監管(guan),切(qie)實提(ti)高評(ping)(ping)(ping)級(ji)機構(gou)執業質(zhi)量(liang)。
二、關于建(jian)立公平競爭和優勝劣汰的市(shi)場機(ji)制方面
我會(hui)高度重(zhong)視建設公平(ping)競爭和(he)優勝劣汰的(de)(de)市場(chang)(chang)機(ji)(ji)制(zhi)。為規范證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)評(ping)級(ji)(ji)(ji)機(ji)(ji)構(gou)(gou)從事證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)評(ping)級(ji)(ji)(ji)業(ye)(ye)(ye)(ye)務(wu)(wu)(wu)活動,提高證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)評(ping)級(ji)(ji)(ji)業(ye)(ye)(ye)(ye)務(wu)(wu)(wu)水(shui)平(ping),我會(hui)指(zhi)導中國(guo)證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)業(ye)(ye)(ye)(ye)協會(hui)分別于2012年和(he)2015年發布《證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)資(zi)信評(ping)級(ji)(ji)(ji)機(ji)(ji)構(gou)(gou)執(zhi)業(ye)(ye)(ye)(ye)行(xing)為準則(ze)》(以(yi)(yi)下(xia)稱《執(zhi)業(ye)(ye)(ye)(ye)準則(ze)》)和(he)《證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)市場(chang)(chang)資(zi)信評(ping)級(ji)(ji)(ji)機(ji)(ji)構(gou)(gou)評(ping)級(ji)(ji)(ji)業(ye)(ye)(ye)(ye)務(wu)(wu)(wu)實施(shi)細則(ze)》(以(yi)(yi)下(xia)稱《業(ye)(ye)(ye)(ye)務(wu)(wu)(wu)細則(ze)》)。2015年1月(yue),我會(hui)指(zhi)導中國(guo)證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)業(ye)(ye)(ye)(ye)協會(hui)、上海證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)交易(yi)所(suo)和(he)深圳證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)交易(yi)所(suo)聯合發布《關于進一(yi)步明確(que)債券(quan)(quan)(quan)(quan)評(ping)級(ji)(ji)(ji)信息披(pi)露規范的(de)(de)通知》(以(yi)(yi)下(xia)稱《披(pi)露規范》)。《證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)法》《暫行(xing)辦(ban)法》《執(zhi)業(ye)(ye)(ye)(ye)準則(ze)》《業(ye)(ye)(ye)(ye)務(wu)(wu)(wu)細則(ze)》《披(pi)露規范》和(he)其他相關自律(lv)規則(ze)等構(gou)(gou)成(cheng)了(le)證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)市場(chang)(chang)資(zi)信評(ping)級(ji)(ji)(ji)業(ye)(ye)(ye)(ye)務(wu)(wu)(wu)監管的(de)(de)法律(lv)體系。證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)評(ping)級(ji)(ji)(ji)機(ji)(ji)構(gou)(gou)出(chu)現違規行(xing)為的(de)(de),將依法依規予以(yi)(yi)處理(li);情節嚴重(zhong)的(de)(de),將依據《證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)法》責令關閉或者撤銷證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)服(fu)務(wu)(wu)(wu)業(ye)(ye)(ye)(ye)務(wu)(wu)(wu)許可。
下(xia)一(yi)步(bu),我會將繼續完(wan)善公平競爭和優勝劣汰的(de)市(shi)場(chang)機(ji)(ji)制(zhi)(zhi)。一(yi)是(shi)(shi)持續強(qiang)化評(ping)(ping)級(ji)(ji)機(ji)(ji)構監管(guan)。通過非現場(chang)檢查、年度(du)現場(chang)檢查等多種方式,加(jia)(jia)強(qiang)評(ping)(ping)級(ji)(ji)機(ji)(ji)構監管(guan),對發現的(de)違(wei)規行為(wei),及時采(cai)取監管(guan)措施。二是(shi)(shi)建立(li)和完(wan)善協(xie)同(tong)監管(guan)機(ji)(ji)制(zhi)(zhi)。加(jia)(jia)強(qiang)與發展改革委、人民(min)銀行等部門的(de)溝通,加(jia)(jia)強(qiang)對信(xin)用評(ping)(ping)級(ji)(ji)機(ji)(ji)構的(de)監管(guan)和信(xin)息共(gong)享。三(san)是(shi)(shi)推動建立(li)評(ping)(ping)級(ji)(ji)機(ji)(ji)構優勝劣汰的(de)良性機(ji)(ji)制(zhi)(zhi)。逐(zhu)步(bu)實(shi)現評(ping)(ping)級(ji)(ji)機(ji)(ji)構統一(yi)準入管(guan)理,允許符合條件(jian)的(de)信(xin)用評(ping)(ping)級(ji)(ji)機(ji)(ji)構進(jin)入證券市(shi)場(chang),建立(li)以投(tou)資者為(wei)主導的(de)定期市(shi)場(chang)化評(ping)(ping)價制(zhi)(zhi)度(du),引入評(ping)(ping)級(ji)(ji)機(ji)(ji)構強(qiang)制(zhi)(zhi)退(tui)出機(ji)(ji)制(zhi)(zhi)。
三(san)、關于進一步擴大信用評(ping)級機構的(de)服務范圍方面
《暫(zan)行(xing)(xing)辦(ban)法》第(di)二(er)條規(gui)定(ding)(ding)了證(zheng)(zheng)(zheng)券(quan)(quan)(quan)評(ping)級業(ye)務服務范圍:(一)中國(guo)證(zheng)(zheng)(zheng)監會依法核準發(fa)(fa)行(xing)(xing)的(de)(de)(de)債券(quan)(quan)(quan)、資(zi)產支持證(zheng)(zheng)(zheng)券(quan)(quan)(quan)以(yi)及其他(ta)固(gu)定(ding)(ding)收益或者債務型(xing)結構(gou)性融(rong)資(zi)證(zheng)(zheng)(zheng)券(quan)(quan)(quan);(二(er))在證(zheng)(zheng)(zheng)券(quan)(quan)(quan)交易(yi)所(suo)上市(shi)交易(yi)的(de)(de)(de)債券(quan)(quan)(quan)、資(zi)產支持證(zheng)(zheng)(zheng)券(quan)(quan)(quan)以(yi)及其他(ta)固(gu)定(ding)(ding)收益或者債務型(xing)結構(gou)性融(rong)資(zi)證(zheng)(zheng)(zheng)券(quan)(quan)(quan),國(guo)債除外;(三(san))本款第(di)(一)項(xiang)和第(di)(二(er))項(xiang)規(gui)定(ding)(ding)的(de)(de)(de)證(zheng)(zheng)(zheng)券(quan)(quan)(quan)的(de)(de)(de)發(fa)(fa)行(xing)(xing)人、上市(shi)公(gong)司、非上市(shi)公(gong)眾(zhong)公(gong)司、證(zheng)(zheng)(zheng)券(quan)(quan)(quan)公(gong)司、證(zheng)(zheng)(zheng)券(quan)(quan)(quan)投資(zi)基金管(guan)理(li)公(gong)司;(四)中國(guo)證(zheng)(zheng)(zheng)監會規(gui)定(ding)(ding)的(de)(de)(de)其他(ta)評(ping)級對象。目前,證(zheng)(zheng)(zheng)監會其他(ta)業(ye)務涉及的(de)(de)(de)調查研究(jiu)、政策評(ping)估、市(shi)場反饋等非行(xing)(xing)政審批事(shi)項(xiang)工作(zuo),主要(yao)由中證(zheng)(zheng)(zheng)資(zi)本市(shi)場運行(xing)(xing)統計監測中心、各(ge)交易(yi)所(suo)、各(ge)協(xie)會等會管(guan)單位承擔(dan)。
下一步,我(wo)會將適應(ying)市場需求,繼續推(tui)動(dong)評(ping)級(ji)(ji)業務創新,試(shi)點雙評(ping)級(ji)(ji)制(zhi)度(du),研究(jiu)再評(ping)級(ji)(ji)制(zhi)度(du),嘗試(shi)拓展評(ping)級(ji)(ji)機構(gou)(gou)業務服(fu)務范圍。同時,針對建(jian)議中(zhong)(zhong)提出的(de)“對非行政(zheng)審批(pi)事(shi)項(xiang)的(de)工(gong)作,均可通(tong)過政(zheng)府(fu)招標(biao)購買第三方(fang)服(fu)務的(de)方(fang)式,委(wei)托(tuo)評(ping)級(ji)(ji)機構(gou)(gou)開展”,我(wo)會將在未來的(de)工(gong)作中(zhong)(zhong)予以(yi)考慮(lv)。
中(zhong)(zhong)(zhong)(zhong)(zhong)證(zheng)網聲明(ming)(ming):凡(fan)本(ben)(ben)網注明(ming)(ming)“來(lai)源:中(zhong)(zhong)(zhong)(zhong)(zhong)國證(zheng)券(quan)報·中(zhong)(zhong)(zhong)(zhong)(zhong)證(zheng)網”的(de)所有(you)作(zuo)(zuo)品,版權均屬于中(zhong)(zhong)(zhong)(zhong)(zhong)國證(zheng)券(quan)報、中(zhong)(zhong)(zhong)(zhong)(zhong)證(zheng)網。中(zhong)(zhong)(zhong)(zhong)(zhong)國證(zheng)券(quan)報·中(zhong)(zhong)(zhong)(zhong)(zhong)證(zheng)網與(yu)作(zuo)(zuo)品作(zuo)(zuo)者(zhe)(zhe)聯合聲明(ming)(ming),任何組織(zhi)未經中(zhong)(zhong)(zhong)(zhong)(zhong)國證(zheng)券(quan)報、中(zhong)(zhong)(zhong)(zhong)(zhong)證(zheng)網以及作(zuo)(zuo)者(zhe)(zhe)書面授權不得(de)轉載(zai)、摘編或利用其(qi)它方式使用上述作(zuo)(zuo)品。凡(fan)本(ben)(ben)網注明(ming)(ming)來(lai)源非中(zhong)(zhong)(zhong)(zhong)(zhong)國證(zheng)券(quan)報·中(zhong)(zhong)(zhong)(zhong)(zhong)證(zheng)網的(de)作(zuo)(zuo)品,均轉載(zai)自(zi)其(qi)它媒體,轉載(zai)目的(de)在于更(geng)好服務讀者(zhe)(zhe)、傳遞信息(xi)之需,并不代表本(ben)(ben)網贊同其(qi)觀(guan)點,本(ben)(ben)網亦不對其(qi)真實(shi)性(xing)負責,持異議者(zhe)(zhe)應與(yu)原出處單(dan)位主張權利。
特別鏈接:政府部門交易機構證券期貨四所兩司新聞發布平臺友情鏈接版權聲明
關于報社關于本站廣告發布免責條款
中國證券報社版權所有,未經書面授權不得復制或建立鏡像 經營許可證編號:京B2-20180749 京公網安備0-1
Copyright 2001-2018 China Securities Journal. All Rights Reserved
中(zhong)國證(zheng)券(quan)報社(she)版(ban)權所有,未經書面授(shou)權不得復制或建立鏡像
經營許可證編(bian)號:京(jing)B2-20180749 京(jing)公網安備0-1
Copyright 2001-2018 China Securities Journal. All Rights Reserved