證監會(hui)網站29日發(fa)布《關(guan)于政協十二(er)屆全國委員會(hui)第五次會(hui)議第4168號(經(jing)濟(ji)(ji)發(fa)展(zhan)類258號)提(ti)案(an)的答復》稱,近年來,證監會(hui)堅決貫(guan)徹黨(dang)中央、國務(wu)院關(guan)于資本(ben)市(shi)(shi)(shi)(shi)場的決策部署,立足服(fu)務(wu)實(shi)體(ti)經(jing)濟(ji)(ji)的根本(ben)宗(zong)旨,緊扣供(gong)給側結構性改革和創新驅動發(fa)展(zhan)戰略,深(shen)化(hua)多層次資本(ben)市(shi)(shi)(shi)(shi)場改革,堅持依(yi)法全面從嚴監管,加(jia)大(da)股票和債券融資力(li)度,提(ti)高直接融資比重(zhong),支持不同(tong)類型企業(ye)通過股票市(shi)(shi)(shi)(shi)場和交易所債券市(shi)(shi)(shi)(shi)場發(fa)展(zhan)壯大(da),對疏(shu)通實(shi)體(ti)經(jing)濟(ji)(ji)發(fa)展(zhan)“血(xue)脈”發(fa)揮著(zhu)積極作(zuo)用。
一是(shi)健全(quan)(quan)新(xin)(xin)(xin)股發(fa)(fa)行(xing)常(chang)態化機制,支持(chi)符(fu)合條件的企(qi)業發(fa)(fa)行(xing)上市(shi)。證監會保持(chi)定力(li),適(shi)當加快(kuai)新(xin)(xin)(xin)股發(fa)(fa)行(xing)節奏,不斷健全(quan)(quan)新(xin)(xin)(xin)股發(fa)(fa)行(xing)常(chang)態化機制,著(zhu)力(li)化解(jie)存(cun)量(liang)。2016年全(quan)(quan)年共(gong)(gong)核(he)準280家(jia)企(qi)業首發(fa)(fa)上市(shi)(IPO),創近5年新(xin)(xin)(xin)高(gao)(gao)。2017年1月至10月,共(gong)(gong)核(he)準359家(jia)企(qi)業IPO,籌資1800多(duo)億元(yuan)。同(tong)時(shi),注重與市(shi)場和媒體(ti)(ti)溝(gou)通(tong),明確新(xin)(xin)(xin)股發(fa)(fa)行(xing)常(chang)態化預期,在穩定市(shi)場、防范(fan)風險基礎上,努力(li)提高(gao)(gao)直接融資比重,支持(chi)實體(ti)(ti)經濟發(fa)(fa)展。
二(er)是規(gui)范(fan)再融(rong)資(zi)(zi)(zi)(zi)(zi),防止募(mu)集(ji)資(zi)(zi)(zi)(zi)(zi)金(jin)(jin)(jin)“脫實(shi)(shi)向虛”。要求除了專(zhuan)門的(de)投(tou)資(zi)(zi)(zi)(zi)(zi)公(gong)(gong)司(si)(si)外,上(shang)市公(gong)(gong)司(si)(si)原(yuan)則上(shang)不能將募(mu)集(ji)資(zi)(zi)(zi)(zi)(zi)金(jin)(jin)(jin)投(tou)資(zi)(zi)(zi)(zi)(zi)于類金(jin)(jin)(jin)融(rong)業(ye)務(wu)。優化(hua)再融(rong)資(zi)(zi)(zi)(zi)(zi)制(zhi)(zhi)度,修訂《上(shang)市公(gong)(gong)司(si)(si)非公(gong)(gong)開發行(xing)(xing)股票實(shi)(shi)施細則》,發布配套發行(xing)(xing)監管問答,引(yin)導(dao)規(gui)范(fan)上(shang)市公(gong)(gong)司(si)(si)融(rong)資(zi)(zi)(zi)(zi)(zi)行(xing)(xing)為(wei)。上(shang)市公(gong)(gong)司(si)(si)申請再融(rong)資(zi)(zi)(zi)(zi)(zi)時,除金(jin)(jin)(jin)融(rong)類企業(ye)外,原(yuan)則上(shang)最(zui)近一期(qi)末(mo)不得存在持(chi)有(you)(you)金(jin)(jin)(jin)額(e)較大、期(qi)限較長(chang)的(de)交易性(xing)金(jin)(jin)(jin)融(rong)資(zi)(zi)(zi)(zi)(zi)產和(he)可供出售的(de)金(jin)(jin)(jin)融(rong)資(zi)(zi)(zi)(zi)(zi)產、借(jie)予他人款項、委托(tuo)理財等(deng)財務(wu)性(xing)投(tou)資(zi)(zi)(zi)(zi)(zi)的(de)情形(xing),有(you)(you)效(xiao)抑制(zhi)(zhi)通過募(mu)集(ji)資(zi)(zi)(zi)(zi)(zi)金(jin)(jin)(jin)進行(xing)(xing)財務(wu)性(xing)投(tou)資(zi)(zi)(zi)(zi)(zi)的(de)情形(xing),引(yin)導(dao)資(zi)(zi)(zi)(zi)(zi)金(jin)(jin)(jin)流入(ru)實(shi)(shi)體(ti)經(jing)濟最(zui)需要的(de)地(di)方。2017年1月至10月,共核準上(shang)市公(gong)(gong)司(si)(si)再融(rong)資(zi)(zi)(zi)(zi)(zi)234家,募(mu)集(ji)資(zi)(zi)(zi)(zi)(zi)金(jin)(jin)(jin)5638.11億元。
三(san)(san)(san)是(shi)不斷(duan)提(ti)升(sheng)全國(guo)中(zhong)小(xiao)(xiao)企業(ye)(ye)股(gu)份(fen)轉(zhuan)讓系統(tong)(新(xin)(xin)(xin)三(san)(san)(san)板(ban)(ban))對(dui)中(zhong)小(xiao)(xiao)微(wei)企業(ye)(ye)的(de)支(zhi)持(chi)力度(du)(du)。新(xin)(xin)(xin)三(san)(san)(san)板(ban)(ban)是(shi)多層次(ci)資(zi)(zi)本市(shi)場體(ti)系的(de)重(zhong)(zhong)要(yao)(yao)組成(cheng)(cheng)部分(fen),定位于(yu)服(fu)務(wu)(wu)創新(xin)(xin)(xin)型(xing)、創業(ye)(ye)型(xing)、成(cheng)(cheng)長(chang)型(xing)中(zhong)小(xiao)(xiao)微(wei)企業(ye)(ye),是(shi)資(zi)(zi)本市(shi)場支(zhi)持(chi)中(zhong)小(xiao)(xiao)企業(ye)(ye)融(rong)資(zi)(zi)發(fa)(fa)(fa)(fa)展(zhan)的(de)重(zhong)(zhong)要(yao)(yao)平臺。近年(nian)來(lai)(lai),證(zheng)監會積極拓展(zhan)新(xin)(xin)(xin)三(san)(san)(san)板(ban)(ban)服(fu)務(wu)(wu)范圍,不斷(duan)創新(xin)(xin)(xin)融(rong)資(zi)(zi)品種,逐步(bu)完(wan)善制度(du)(du)規則(ze)體(ti)系,實施掛(gua)牌公(gong)司(si)(si)分(fen)層,強(qiang)化金融(rong)類企業(ye)(ye)掛(gua)牌融(rong)資(zi)(zi)監管,推(tui)進新(xin)(xin)(xin)三(san)(san)(san)板(ban)(ban)穩步(bu)健(jian)康發(fa)(fa)(fa)(fa)展(zhan),助力中(zhong)小(xiao)(xiao)微(wei)企業(ye)(ye)充(chong)分(fen)利用新(xin)(xin)(xin)三(san)(san)(san)板(ban)(ban)市(shi)場發(fa)(fa)(fa)(fa)展(zhan)壯大。截至10月(yue)底,新(xin)(xin)(xin)三(san)(san)(san)板(ban)(ban)掛(gua)牌公(gong)司(si)(si)達11619家(jia),中(zhong)小(xiao)(xiao)微(wei)企業(ye)(ye)占比(bi)九成(cheng)(cheng)以上。目前,新(xin)(xin)(xin)三(san)(san)(san)板(ban)(ban)市(shi)場建(jian)立了(le)以“小(xiao)(xiao)額、快速、靈活、多元(yuan)”融(rong)資(zi)(zi)為主(zhu)要(yao)(yao)特點的(de)掛(gua)牌公(gong)司(si)(si)定向(xiang)發(fa)(fa)(fa)(fa)行(xing)(xing)制度(du)(du),并制定了(le)《股(gu)票(piao)發(fa)(fa)(fa)(fa)行(xing)(xing)業(ye)(ye)務(wu)(wu)細則(ze)(試行(xing)(xing))》等規則(ze),定向(xiang)發(fa)(fa)(fa)(fa)行(xing)(xing)制度(du)(du)對(dui)于(yu)發(fa)(fa)(fa)(fa)揮新(xin)(xin)(xin)三(san)(san)(san)板(ban)(ban)市(shi)場的(de)融(rong)資(zi)(zi)功能起到了(le)重(zhong)(zhong)要(yao)(yao)作用。從(cong)融(rong)資(zi)(zi)情(qing)況來(lai)(lai)看,2017年(nian)1月(yue)至10月(yue),掛(gua)牌公(gong)司(si)(si)共完(wan)成(cheng)(cheng)發(fa)(fa)(fa)(fa)行(xing)(xing)2307次(ci),累計發(fa)(fa)(fa)(fa)行(xing)(xing)176.12億股(gu),累計募集金額1067.17億元(yuan);共有10家(jia)公(gong)司(si)(si)完(wan)成(cheng)(cheng)11次(ci)優先(xian)股(gu)發(fa)(fa)(fa)(fa)行(xing)(xing),融(rong)資(zi)(zi)21.69億元(yuan),新(xin)(xin)(xin)三(san)(san)(san)板(ban)(ban)市(shi)場服(fu)務(wu)(wu)實體(ti)經(jing)濟的(de)效(xiao)應逐步(bu)顯(xian)現。
四是(shi)推動區(qu)(qu)域(yu)性(xing)(xing)(xing)股(gu)(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)場(chang)規范發展。區(qu)(qu)域(yu)性(xing)(xing)(xing)股(gu)(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)場(chang)是(shi)多(duo)層次資(zi)本市(shi)(shi)場(chang)體系的(de)重要組成部分,是(shi)金(jin)融(rong)(rong)服務中小(xiao)微企(qi)(qi)業(ye)的(de)重要平臺(tai)。2017年1月(yue),《國(guo)務院辦(ban)公廳關(guan)于規范發展區(qu)(qu)域(yu)性(xing)(xing)(xing)股(gu)(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)場(chang)的(de)通知》(國(guo)辦(ban)發〔2017〕11號,以(yi)下簡稱《通知》)對區(qu)(qu)域(yu)性(xing)(xing)(xing)股(gu)(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)場(chang)作(zuo)出專門制度安排(pai)。為落實《通知》要求,統一區(qu)(qu)域(yu)性(xing)(xing)(xing)股(gu)(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)場(chang)業(ye)務及監(jian)管規則,5月(yue),證監(jian)會(hui)發布《區(qu)(qu)域(yu)性(xing)(xing)(xing)股(gu)(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)場(chang)監(jian)督(du)管理(li)試行(xing)辦(ban)法(fa)》(證監(jian)會(hui)令第132號),自7月(yue)1日起施行(xing)。截(jie)至10月(yue)底(di),全國(guo)共設立(li)40家(jia)區(qu)(qu)域(yu)性(xing)(xing)(xing)股(gu)(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)場(chang),共有掛牌企(qi)(qi)業(ye)2萬多(duo)家(jia);累計為企(qi)(qi)業(ye)實現(xian)各(ge)類融(rong)(rong)資(zi)8700多(duo)億元。目前區(qu)(qu)域(yu)性(xing)(xing)(xing)股(gu)(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)場(chang)總體運行(xing)規范,在服務中小(xiao)微企(qi)(qi)業(ye)融(rong)(rong)資(zi)、股(gu)(gu)(gu)(gu)權(quan)(quan)轉讓等方面發揮了積極作(zuo)用。
五是支持(chi)(chi)符(fu)合條件的企業(ye)通過債(zhai)(zhai)(zhai)(zhai)券(quan)(quan)市場融(rong)資(zi)(zi)。近年來,證(zheng)(zheng)監會推進交(jiao)易(yi)所(suo)債(zhai)(zhai)(zhai)(zhai)券(quan)(quan)市場化改革,不斷完善債(zhai)(zhai)(zhai)(zhai)券(quan)(quan)市場體制(zhi)機制(zhi)。在此基礎上(shang),加大(da)債(zhai)(zhai)(zhai)(zhai)券(quan)(quan)品種創(chuang)新力度,試(shi)點推出(chu)可交(jiao)換公(gong)(gong)(gong)(gong)司(si)(si)債(zhai)(zhai)(zhai)(zhai)、熊貓公(gong)(gong)(gong)(gong)司(si)(si)債(zhai)(zhai)(zhai)(zhai)、可續期(qi)公(gong)(gong)(gong)(gong)司(si)(si)債(zhai)(zhai)(zhai)(zhai)、綠色(se)公(gong)(gong)(gong)(gong)司(si)(si)債(zhai)(zhai)(zhai)(zhai)、創(chuang)新創(chuang)業(ye)公(gong)(gong)(gong)(gong)司(si)(si)債(zhai)(zhai)(zhai)(zhai)、PPP項(xiang)目資(zi)(zi)產證(zheng)(zheng)券(quan)(quan)化等(deng)新品種,取(qu)得了較好效果。截至(zhi)10月底,交(jiao)易(yi)所(suo)債(zhai)(zhai)(zhai)(zhai)券(quan)(quan)市場托管(guan)面值9.14萬(wan)(wan)億(yi)(yi)元(yuan),其中非金(jin)融(rong)企業(ye)債(zhai)(zhai)(zhai)(zhai)券(quan)(quan)托管(guan)面值5.87萬(wan)(wan)億(yi)(yi);1月至(zhi)10月,創(chuang)新創(chuang)業(ye)債(zhai)(zhai)(zhai)(zhai)發(fa)(fa)行(xing)(xing)(xing)(xing)16單,發(fa)(fa)行(xing)(xing)(xing)(xing)金(jin)額(e)31.44億(yi)(yi)元(yuan);綠色(se)債(zhai)(zhai)(zhai)(zhai)券(quan)(quan)(含(han)綠色(se)資(zi)(zi)產證(zheng)(zheng)券(quan)(quan)化)發(fa)(fa)行(xing)(xing)(xing)(xing)24單,發(fa)(fa)行(xing)(xing)(xing)(xing)金(jin)額(e)272億(yi)(yi)元(yuan);可續期(qi)債(zhai)(zhai)(zhai)(zhai)券(quan)(quan)發(fa)(fa)行(xing)(xing)(xing)(xing)39單,發(fa)(fa)行(xing)(xing)(xing)(xing)金(jin)額(e)674億(yi)(yi)元(yuan);熊貓公(gong)(gong)(gong)(gong)司(si)(si)債(zhai)(zhai)(zhai)(zhai)券(quan)(quan)發(fa)(fa)行(xing)(xing)(xing)(xing)9單,發(fa)(fa)行(xing)(xing)(xing)(xing)金(jin)額(e)116億(yi)(yi)元(yuan)。1月至(zhi)10月,交(jiao)易(yi)所(suo)債(zhai)(zhai)(zhai)(zhai)券(quan)(quan)市場累計(ji)發(fa)(fa)行(xing)(xing)(xing)(xing)企業(ye)資(zi)(zi)產支持(chi)(chi)證(zheng)(zheng)券(quan)(quan)6745億(yi)(yi)元(yuan),同比增長79%。
證監會強調(diao),下一步將繼續深(shen)入貫徹(che)落實(shi)全國金融工(gong)作會議精神,堅持(chi)服務(wu)實(shi)體(ti)經(jing)濟的宗旨不動搖(yao),持(chi)續推進(jin)(jin)多(duo)層次(ci)資本市(shi)場體(ti)系(xi)建設,保持(chi)新(xin)股發(fa)行常(chang)態化(hua),不斷(duan)深(shen)化(hua)新(xin)三板改(gai)革,促進(jin)(jin)區域性(xing)股權(quan)市(shi)場健康(kang)穩(wen)定發(fa)展,進(jin)(jin)一步規范(fan)發(fa)展債券市(shi)場,提升(sheng)資本市(shi)場服務(wu)實(shi)體(ti)經(jing)濟的能力和水平。同時(shi),堅決(jue)推進(jin)(jin)依(yi)法全面從嚴監管(guan),遏制市(shi)場資金“脫實(shi)向(xiang)虛”,促進(jin)(jin)資本市(shi)場穩(wen)定健康(kang)發(fa)展。
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