近日,證監會發布(bu)《區域性(xing)股權市(shi)場信(xin)息報送(song)指(zhi)引(試行)》,自7月1日起施行。
《指(zhi)(zhi)引(yin)》共19條,6張附(fu)表(biao),主要內容(rong)(rong)包(bao)括:一、報(bao)(bao)(bao)送(song)(song)內容(rong)(rong)。《指(zhi)(zhi)引(yin)》明(ming)確(que)采取分類(lei)報(bao)(bao)(bao)送(song)(song)的(de)(de)方(fang)(fang)(fang)式(shi),規定了日常備(bei)案、定期報(bao)(bao)(bao)送(song)(song)、重大事(shi)件報(bao)(bao)(bao)告(gao)的(de)(de)內容(rong)(rong),并要求(qiu)一次性(xing)(xing)報(bao)(bao)(bao)送(song)(song)區域性(xing)(xing)股權(quan)市(shi)場(chang)運(yun)(yun)營(ying)(ying)機(ji)(ji)(ji)(ji)構(gou)、辦理(li)登(deng)記(ji)結算(suan)業務機(ji)(ji)(ji)(ji)構(gou)、中(zhong)介機(ji)(ji)(ji)(ji)構(gou)基本信(xin)(xin)(xin)息以(yi)及運(yun)(yun)營(ying)(ying)機(ji)(ji)(ji)(ji)構(gou)業務操(cao)作(zuo)細則、自律管理(li)規則等。二、報(bao)(bao)(bao)送(song)(song)方(fang)(fang)(fang)式(shi)。《指(zhi)(zhi)引(yin)》明(ming)確(que)采用電(dian)子報(bao)(bao)(bao)送(song)(song)和書(shu)面報(bao)(bao)(bao)送(song)(song)兩種方(fang)(fang)(fang)式(shi)。日常備(bei)案信(xin)(xin)(xin)息、定期報(bao)(bao)(bao)送(song)(song)信(xin)(xin)(xin)息、運(yun)(yun)營(ying)(ying)基本信(xin)(xin)(xin)息通過證監(jian)(jian)會中(zhong)央監(jian)(jian)管信(xin)(xin)(xin)息平臺報(bao)(bao)(bao)送(song)(song),重大事(shi)件立即(ji)以(yi)書(shu)面等形式(shi)報(bao)(bao)(bao)告(gao),其他事(shi)項以(yi)書(shu)面等方(fang)(fang)(fang)式(shi)報(bao)(bao)(bao)送(song)(song)。三、報(bao)(bao)(bao)送(song)(song)要求(qiu)。《指(zhi)(zhi)引(yin)》明(ming)確(que)區域性(xing)(xing)股權(quan)市(shi)場(chang)運(yun)(yun)營(ying)(ying)機(ji)(ji)(ji)(ji)構(gou)應當真實、準確(que)、完整報(bao)(bao)(bao)送(song)(song)信(xin)(xin)(xin)息并建立信(xin)(xin)(xin)息報(bao)(bao)(bao)送(song)(song)管理(li)制度,證監(jian)(jian)會派出機(ji)(ji)(ji)(ji)構(gou)將(jiang)運(yun)(yun)營(ying)(ying)機(ji)(ji)(ji)(ji)構(gou)信(xin)(xin)(xin)息報(bao)(bao)(bao)送(song)(song)情況納(na)入對區域性(xing)(xing)股權(quan)市(shi)場(chang)的(de)(de)監(jian)(jian)測(ce)評估范圍。四、監(jian)(jian)督(du)管理(li)。《指(zhi)(zhi)引(yin)》明(ming)確(que)地方(fang)(fang)(fang)金融監(jian)(jian)管部門負責督(du)促運(yun)(yun)營(ying)(ying)機(ji)(ji)(ji)(ji)構(gou)報(bao)(bao)(bao)送(song)(song)信(xin)(xin)(xin)息,查(cha)看并及時處理(li)發現(xian)的(de)(de)問題(ti);證監(jian)(jian)會派出機(ji)(ji)(ji)(ji)構(gou)發現(xian)問題(ti)的(de)(de)應提示地方(fang)(fang)(fang)金融監(jian)(jian)管部門督(du)促運(yun)(yun)營(ying)(ying)機(ji)(ji)(ji)(ji)構(gou)處理(li),并予以(yi)指(zhi)(zhi)導、協(xie)調和監(jian)(jian)督(du)。
證監會(hui)新聞發言人高(gao)莉表(biao)示,規范區(qu)域性(xing)股權(quan)(quan)市場(chang)信息(xi)報送(song)是加強區(qu)域性(xing)股權(quan)(quan)市場(chang)監管的(de)一項基礎性(xing)工作(zuo),也是重要的(de)監管工具箱。在《指引》施行(xing)前(qian),證監會(hui)將抓緊落實區(qu)域性(xing)股權(quan)(quan)市場(chang)信息(xi)報送(song)系統的(de)開發、測試工作(zuo),做好相關業(ye)務(wu)培訓(xun),并適時啟動(dong)區(qu)域性(xing)股權(quan)(quan)市場(chang)信息(xi)的(de)試報送(song)工作(zuo)。
中(zhong)(zhong)證(zheng)(zheng)網(wang)(wang)聲明(ming)(ming)(ming):凡本網(wang)(wang)注明(ming)(ming)(ming)“來源:中(zhong)(zhong)國(guo)證(zheng)(zheng)券報(bao)·中(zhong)(zhong)證(zheng)(zheng)網(wang)(wang)”的(de)所有作(zuo)(zuo)品,版權(quan)均(jun)屬于中(zhong)(zhong)國(guo)證(zheng)(zheng)券報(bao)、中(zhong)(zhong)證(zheng)(zheng)網(wang)(wang)。中(zhong)(zhong)國(guo)證(zheng)(zheng)券報(bao)·中(zhong)(zhong)證(zheng)(zheng)網(wang)(wang)與作(zuo)(zuo)品作(zuo)(zuo)者聯合聲明(ming)(ming)(ming),任(ren)何組織未經中(zhong)(zhong)國(guo)證(zheng)(zheng)券報(bao)、中(zhong)(zhong)證(zheng)(zheng)網(wang)(wang)以及作(zuo)(zuo)者書面(mian)授權(quan)不得轉載、摘編或利用(yong)(yong)其它(ta)方式使用(yong)(yong)上述作(zuo)(zuo)品。凡本網(wang)(wang)注明(ming)(ming)(ming)來源非中(zhong)(zhong)國(guo)證(zheng)(zheng)券報(bao)·中(zhong)(zhong)證(zheng)(zheng)網(wang)(wang)的(de)作(zuo)(zuo)品,均(jun)轉載自其它(ta)媒體,轉載目的(de)在于更好服務讀(du)者、傳遞信息之需,并不代表本網(wang)(wang)贊同其觀點(dian),本網(wang)(wang)亦(yi)不對其真實性負責,持異議者應與原(yuan)出處單位主張權(quan)利。
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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(xu)可證編號:京B2-20180749 京公網安備0-1
Copyright 2001-2018 China Securities Journal. All Rights Reserved