上(shang)證(zheng)報中國(guo)證(zheng)券網訊 據上(shang)海(hai)市(shi)人民(min)政(zheng)府(fu)11月(yue)20日消息，上(shang)海(hai)市(shi)人民(min)政(zheng)府(fu)印發《關(guan)于(yu)推動提高上(shang)海(hai)上(shang)市(shi)公(gong)(gong)司(si)質(zhi)量的若干措施(shi)》，從提高上(shang)市(shi)公(gong)(gong)司(si)治理水(shui)平(ping)、支持上(shang)市(shi)公(gong)(gong)司(si)做(zuo)(zuo)優做(zuo)(zuo)強(qiang)、健(jian)全上(shang)市(shi)公(gong)(gong)司(si)退出(chu)機制、解決上(shang)市(shi)公(gong)(gong)司(si)突出(chu)問題等(deng)方面(mian)，提出(chu)了十(shi)七條措施(shi)。自2020年(nian)12月(yue)1日起施(shi)行。

　　全文如下

　　一、明確總(zong)體目標(biao)

　　以習近平新時代中(zhong)(zhong)國特(te)色社(she)會主義思想(xiang)為指導，全(quan)面貫徹黨的(de)十九大和十九屆二中(zhong)(zhong)、三中(zhong)(zhong)、四(si)(si)中(zhong)(zhong)、五中(zhong)(zhong)全(quan)會精神，踐行(xing)新發(fa)(fa)(fa)展(zhan)理念，深化金融供給(gei)側結構(gou)性改革，充分發(fa)(fa)(fa)揮各方合(he)力，使本(ben)市(shi)上市(shi)公司(si)治理及運作更(geng)加規范(fan)，信息披露(lu)更(geng)加真實有效(xiao)，主營業(ye)務更(geng)加突出(chu)，投(tou)資者回報機制持續(xu)優(you)化，突出(chu)問題(ti)得到有效(xiao)解決(jue)，可持續(xu)發(fa)(fa)(fa)展(zhan)能力和整體質量顯(xian)著提升(sheng)(sheng)，在本(ben)市(shi)建(jian)設(she)“五個中(zhong)(zhong)心”、強化“四(si)(si)大功能”、實施三項新的(de)重大任務、打響“四(si)(si)大品牌”等方面發(fa)(fa)(fa)揮更(geng)大作用，為促進本(ben)市(shi)產(chan)業(ye)結構(gou)升(sheng)(sheng)級(ji)、推動經濟社(she)會高質量發(fa)(fa)(fa)展(zhan)作出(chu)更(geng)大貢(gong)獻。

　　二(er)、提高上(shang)市公(gong)司治理水(shui)平

　　（一）規(gui)(gui)(gui)范(fan)(fan)公(gong)(gong)(gong)(gong)司(si)治(zhi)(zhi)理(li)和(he)內(nei)(nei)部(bu)(bu)控(kong)制(zhi)(zhi)。加強對上(shang)(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)董監高、控(kong)股(gu)(gu)股(gu)(gu)東(dong)及實際控(kong)制(zhi)(zhi)人(ren)(ren)行為規(gui)(gui)(gui)范(fan)(fan)的指(zhi)引(yin)。定期發布本(ben)市(shi)(shi)(shi)上(shang)(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)治(zhi)(zhi)理(li)和(he)內(nei)(nei)部(bu)(bu)控(kong)制(zhi)(zhi)最佳實踐和(he)警示案例(li)。增強內(nei)(nei)部(bu)(bu)控(kong)制(zhi)(zhi)有效性，探索試(shi)點上(shang)(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)按(an)照(zhao)公(gong)(gong)(gong)(gong)司(si)章程規(gui)(gui)(gui)定設(she)立內(nei)(nei)控(kong)合規(gui)(gui)(gui)機構(gou)。支持(chi)投(tou)資(zi)(zi)(zi)者(zhe)(zhe)(zhe)保護機構(gou)、戰略投(tou)資(zi)(zi)(zi)者(zhe)(zhe)(zhe)、機構(gou)投(tou)資(zi)(zi)(zi)者(zhe)(zhe)(zhe)和(he)中(zhong)小投(tou)資(zi)(zi)(zi)者(zhe)(zhe)(zhe)參(can)與(yu)公(gong)(gong)(gong)(gong)司(si)治(zhi)(zhi)理(li)。規(gui)(gui)(gui)范(fan)(fan)上(shang)(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)承諾履行、關(guan)(guan)(guan)聯交易，推(tui)動解決歷史(shi)遺留、同業(ye)競爭等問題(ti)。細化落實獨立董事相(xiang)關(guan)(guan)(guan)履職指(zhi)引(yin)，建立本(ben)市(shi)(shi)(shi)上(shang)(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)獨立董事人(ren)(ren)才庫。支持(chi)上(shang)(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)實施更為靈活(huo)規(gui)(gui)(gui)范(fan)(fan)有效的股(gu)(gu)權(quan)激勵(li)、員工持(chi)股(gu)(gu)計劃，擴(kuo)大國有控(kong)股(gu)(gu)上(shang)(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)員工持(chi)股(gu)(gu)計劃試(shi)點范(fan)(fan)圍。科(ke)學界定國有控(kong)股(gu)(gu)上(shang)(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)治(zhi)(zhi)理(li)相(xiang)關(guan)(guan)(guan)方的權(quan)責，健(jian)全國有控(kong)股(gu)(gu)上(shang)(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)治(zhi)(zhi)理(li)機制(zhi)(zhi)，探索將公(gong)(gong)(gong)(gong)司(si)治(zhi)(zhi)理(li)、內(nei)(nei)部(bu)(bu)控(kong)制(zhi)(zhi)、信息(xi)披露納入國資(zi)(zi)(zi)考核指(zhi)標(biao)。鼓(gu)勵(li)現金分紅，支持(chi)和(he)規(gui)(gui)(gui)范(fan)(fan)上(shang)(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)股(gu)(gu)份回購，加強庫存股(gu)(gu)的規(gui)(gui)(gui)范(fan)(fan)管理(li)。

　　（二）提升信(xin)(xin)息(xi)(xi)(xi)披(pi)(pi)(pi)(pi)露(lu)(lu)質量(liang)。上(shang)市公(gong)(gong)司(si)(si)及其(qi)他(ta)信(xin)(xin)息(xi)(xi)(xi)披(pi)(pi)(pi)(pi)露(lu)(lu)義務(wu)人要以(yi)投(tou)資(zi)(zi)者需求為導(dao)向，充分披(pi)(pi)(pi)(pi)露(lu)(lu)投(tou)資(zi)(zi)者作出價(jia)值判斷和投(tou)資(zi)(zi)決(jue)策(ce)所(suo)必需的(de)信(xin)(xin)息(xi)(xi)(xi)。自愿信(xin)(xin)息(xi)(xi)(xi)披(pi)(pi)(pi)(pi)露(lu)(lu)必須堅(jian)持(chi)(chi)(chi)一致性(xing)、持(chi)(chi)(chi)續(xu)性(xing)原則(ze)，不得與(yu)依(yi)(yi)法披(pi)(pi)(pi)(pi)露(lu)(lu)的(de)信(xin)(xin)息(xi)(xi)(xi)相(xiang)沖突，不得選擇性(xing)披(pi)(pi)(pi)(pi)露(lu)(lu)，不得誤導(dao)投(tou)資(zi)(zi)者。業(ye)務(wu)與(yu)技術(shu)、經營(ying)與(yu)行業(ye)風險等信(xin)(xin)息(xi)(xi)(xi)披(pi)(pi)(pi)(pi)露(lu)(lu)應(ying)重(zhong)(zhong)點突出、簡明易(yi)懂，避免(mian)(mian)過度(du)使(shi)用(yong)大量(liang)專業(ye)術(shu)語或行業(ye)術(shu)語，避免(mian)(mian)模糊、模板化(hua)和冗余重(zhong)(zhong)復的(de)信(xin)(xin)息(xi)(xi)(xi)。優化(hua)上(shang)市公(gong)(gong)司(si)(si)信(xin)(xin)息(xi)(xi)(xi)披(pi)(pi)(pi)(pi)露(lu)(lu)評價(jia)機(ji)制(zhi)，強(qiang)化(hua)評價(jia)結果運用(yong)。強(qiang)化(hua)會(hui)計(ji)從業(ye)人員管理，完善(shan)注(zhu)冊(ce)會(hui)計(ji)師后(hou)續(xu)教育機(ji)制(zhi)，加強(qiang)上(shang)市公(gong)(gong)司(si)(si)會(hui)計(ji)基礎建(jian)設。加強(qiang)對上(shang)市公(gong)(gong)司(si)(si)執行會(hui)計(ji)準則(ze)共性(xing)問題的(de)指(zhi)導(dao)，加強(qiang)會(hui)計(ji)審計(ji)風險提示，提升財務(wu)信(xin)(xin)息(xi)(xi)(xi)質量(liang)。嚴厲打擊說(shuo)假(jia)話、做假(jia)賬，禁止編報(bao)虛假(jia)財務(wu)會(hui)計(ji)信(xin)(xin)息(xi)(xi)(xi)。強(qiang)化(hua)內幕(mu)信(xin)(xin)息(xi)(xi)(xi)管理主(zhu)體責任。推動(dong)上(shang)市公(gong)(gong)司(si)(si)建(jian)立健全環境、社會(hui)和公(gong)(gong)司(si)(si)治理（ESG）信(xin)(xin)息(xi)(xi)(xi)披(pi)(pi)(pi)(pi)露(lu)(lu)制(zhi)度(du)。相(xiang)關(guan)行業(ye)主(zhu)管部門和機(ji)構要按照(zhao)資(zi)(zi)本市場規則(ze)，支持(chi)(chi)(chi)、配合、督(du)促上(shang)市公(gong)(gong)司(si)(si)依(yi)(yi)法披(pi)(pi)(pi)(pi)露(lu)(lu)相(xiang)關(guan)信(xin)(xin)息(xi)(xi)(xi)。

　　三、支持上市公司做(zuo)優(you)做(zuo)強

　　（三）支(zhi)(zhi)持(chi)(chi)(chi)優(you)質(zhi)(zhi)企(qi)(qi)(qi)(qi)業(ye)(ye)上(shang)(shang)(shang)市(shi)(shi)(shi)。依托“浦江(jiang)之(zhi)光”行(xing)動(dong)，加大對科(ke)創(chuang)(chuang)(chuang)企(qi)(qi)(qi)(qi)業(ye)(ye)政(zheng)策支(zhi)(zhi)持(chi)(chi)(chi)力度，持(chi)(chi)(chi)續推進“浦江(jiang)之(zhi)光”科(ke)創(chuang)(chuang)(chuang)企(qi)(qi)(qi)(qi)業(ye)(ye)庫建設，充分利用大數(shu)據技術，匯聚相(xiang)關公共數(shu)據開展企(qi)(qi)(qi)(qi)業(ye)(ye)經營行(xing)為分析，持(chi)(chi)(chi)續推進科(ke)創(chuang)(chuang)(chuang)企(qi)(qi)(qi)(qi)業(ye)(ye)孵化培育，提供精(jing)準(zhun)服務與(yu)輔(fu)導提升(sheng)擬上(shang)(shang)(shang)市(shi)(shi)(shi)企(qi)(qi)(qi)(qi)業(ye)(ye)規范化水平。推動(dong)集成電(dian)路、人工智能(neng)、生(sheng)物醫(yi)藥和(he)電(dian)子信息、新能(neng)源汽車、高(gao)端裝備、先進材料(liao)、生(sheng)命健康(kang)等更(geng)多(duo)重點(dian)領(ling)域企(qi)(qi)(qi)(qi)業(ye)(ye)，以及新經濟代(dai)表性企(qi)(qi)(qi)(qi)業(ye)(ye)、數(shu)字(zi)化轉(zhuan)型的傳統企(qi)(qi)(qi)(qi)業(ye)(ye)上(shang)(shang)(shang)市(shi)(shi)(shi)發展。支(zhi)(zhi)持(chi)(chi)(chi)臨港新片區(qu)、張(zhang)江(jiang)國(guo)(guo)家自主創(chuang)(chuang)(chuang)新示(shi)范區(qu)等承(cheng)接國(guo)(guo)家和(he)本市(shi)(shi)(shi)重要(yao)戰略任務的區(qu)域內的科(ke)創(chuang)(chuang)(chuang)企(qi)(qi)(qi)(qi)業(ye)(ye)在(zai)科(ke)創(chuang)(chuang)(chuang)板上(shang)(shang)(shang)市(shi)(shi)(shi)，鼓勵優(you)質(zhi)(zhi)紅籌企(qi)(qi)(qi)(qi)業(ye)(ye)回歸。推出與(yu)上(shang)(shang)(shang)海(hai)國(guo)(guo)際金融中心、科(ke)技創(chuang)(chuang)(chuang)新中心地位相(xiang)匹配的“張(zhang)江(jiang)指數(shu)”。鼓勵和(he)支(zhi)(zhi)持(chi)(chi)(chi)混合所(suo)有(you)(you)制改革試(shi)點(dian)企(qi)(qi)(qi)(qi)業(ye)(ye)上(shang)(shang)(shang)市(shi)(shi)(shi)。支(zhi)(zhi)持(chi)(chi)(chi)政(zheng)府引導基(ji)金、風(feng)險投(tou)資(zi)(zi)(zi)(zi)基(ji)金、創(chuang)(chuang)(chuang)業(ye)(ye)投(tou)資(zi)(zi)(zi)(zi)基(ji)金、私(si)募(mu)股權投(tou)資(zi)(zi)(zi)(zi)基(ji)金、產業(ye)(ye)投(tou)資(zi)(zi)(zi)(zi)基(ji)金、國(guo)(guo)有(you)(you)資(zi)(zi)(zi)(zi)本投(tou)資(zi)(zi)(zi)(zi)布(bu)局科(ke)技創(chuang)(chuang)(chuang)新產業(ye)(ye)，擴大國(guo)(guo)有(you)(you)創(chuang)(chuang)(chuang)投(tou)企(qi)(qi)(qi)(qi)業(ye)(ye)市(shi)(shi)(shi)場(chang)化運作(zuo)試(shi)點(dian)范圍(wei)。發揮上(shang)(shang)(shang)海(hai)股權托管交易中心在(zai)培育企(qi)(qi)(qi)(qi)業(ye)(ye)上(shang)(shang)(shang)市(shi)(shi)(shi)和(he)融資(zi)(zi)(zi)(zi)中的積極作(zuo)用。

　　（四）發(fa)(fa)(fa)(fa)揮(hui)產(chan)(chan)業(ye)(ye)(ye)引(yin)領作(zuo)用(yong)(yong)。為上(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)提(ti)供(gong)要素(su)配(pei)置、財政稅收(shou)等政策支(zhi)(zhi)持(chi)，引(yin)導(dao)上(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)帶動就業(ye)(ye)(ye)、生(sheng)產(chan)(chan)、生(sheng)態改善(shan)(shan)(shan)和履行社會(hui)責任，推(tui)動上(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)形成產(chan)(chan)業(ye)(ye)(ye)集群，在(zai)完(wan)善(shan)(shan)(shan)產(chan)(chan)業(ye)(ye)(ye)鏈、引(yin)領科(ke)(ke)技創(chuang)新(xin)等方(fang)面(mian)發(fa)(fa)(fa)(fa)揮(hui)更大作(zuo)用(yong)(yong)。研究完(wan)善(shan)(shan)(shan)上(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)穩(wen)妥參與(yu)(yu)期貨等金(jin)融衍生(sheng)品交(jiao)易(yi)的(de)(de)政策支(zhi)(zhi)持(chi)，豐(feng)富風(feng)(feng)險(xian)管(guan)理(li)工具，鼓勵(li)上(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)開展(zhan)與(yu)(yu)主業(ye)(ye)(ye)相關(guan)的(de)(de)風(feng)(feng)險(xian)管(guan)理(li)。充分發(fa)(fa)(fa)(fa)揮(hui)上(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)在(zai)促進(jin)上(shang)(shang)(shang)海國際金(jin)融中心和科(ke)(ke)技創(chuang)新(xin)中心建(jian)設聯(lian)動發(fa)(fa)(fa)(fa)展(zhan)，推(tui)動自貿試(shi)驗區臨(lin)港新(xin)片區建(jian)設，落(luo)實(shi)長三角(jiao)區域一體(ti)化發(fa)(fa)(fa)(fa)展(zhan)戰(zhan)略等方(fang)面(mian)的(de)(de)作(zuo)用(yong)(yong)。支(zhi)(zhi)持(chi)上(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)大力發(fa)(fa)(fa)(fa)展(zhan)旗下“老字號”品牌，鼓勵(li)相關(guan)企業(ye)(ye)(ye)依托資本(ben)市(shi)(shi)(shi)場優化股(gu)權(quan)結(jie)構、整合(he)資產(chan)(chan)，發(fa)(fa)(fa)(fa)揮(hui)打響上(shang)(shang)(shang)海“四大品牌”的(de)(de)先行者作(zuo)用(yong)(yong)。完(wan)善(shan)(shan)(shan)知識產(chan)(chan)權(quan)保護(hu)，依法落(luo)實(shi)侵(qin)權(quan)懲罰性賠償制度，優化科(ke)(ke)技成果(guo)分享機(ji)制。健全高端技術人(ren)員職業(ye)(ye)(ye)教育與(yu)(yu)職業(ye)(ye)(ye)培訓體(ti)系，支(zhi)(zhi)持(chi)上(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)引(yin)進(jin)境內外優秀人(ren)才(cai)，為上(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)發(fa)(fa)(fa)(fa)展(zhan)提(ti)供(gong)人(ren)才(cai)智(zhi)庫保障。

　　（五）支(zhi)持(chi)市(shi)(shi)(shi)場化并購(gou)(gou)重(zhong)組(zu)。支(zhi)持(chi)上(shang)市(shi)(shi)(shi)公司(si)(si)通過(guo)資(zi)產重(zhong)組(zu)、收(shou)購(gou)(gou)境內(nei)外資(zi)產和境內(nei)外分拆上(shang)市(shi)(shi)(shi)等(deng)(deng)方式加快產業(ye)(ye)(ye)升(sheng)級，做優(you)做強(qiang)。允許更多符合條件的外國投(tou)資(zi)者對境內(nei)上(shang)市(shi)(shi)(shi)公司(si)(si)進行戰略投(tou)資(zi)。為(wei)戰略新興產業(ye)(ye)(ye)、科技創(chuang)新產業(ye)(ye)(ye)的優(you)質企(qi)業(ye)(ye)(ye)提供(gong)個性化綜合服務。推動本(ben)市(shi)(shi)(shi)國資(zi)國企(qi)改(gai)革，發揮證券市(shi)(shi)(shi)場價格、估值、資(zi)產評估結果在國有資(zi)產交易定價中的作用(yong)，依托資(zi)本(ben)市(shi)(shi)(shi)場開展混(hun)合所有制改(gai)革。發揮本(ben)市(shi)(shi)(shi)國資(zi)持(chi)股(gu)平臺作用(yong)，優(you)化國資(zi)國企(qi)戰略布局，提高國有資(zi)本(ben)管理效率(lv)。支(zhi)持(chi)并購(gou)(gou)基金、私募股(gu)權投(tou)資(zi)基金及銀行并購(gou)(gou)貸款等(deng)(deng)參與上(shang)市(shi)(shi)(shi)公司(si)(si)并購(gou)(gou)重(zhong)組(zu)。

　　（六）拓(tuo)寬(kuan)多元(yuan)(yuan)融(rong)(rong)(rong)資(zi)(zi)(zi)(zi)(zi)(zi)渠(qu)道。支持(chi)上市(shi)公司開展(zhan)多元(yuan)(yuan)化(hua)債券和資(zi)(zi)(zi)(zi)(zi)(zi)產(chan)支持(chi)證(zheng)券融(rong)(rong)(rong)資(zi)(zi)(zi)(zi)(zi)(zi)，鼓勵符合條件(jian)的企業通(tong)過(guo)優(you)(you)先股、永續債、可轉債、REITs等創(chuang)新(xin)(xin)(xin)融(rong)(rong)(rong)資(zi)(zi)(zi)(zi)(zi)(zi)工(gong)具豐富融(rong)(rong)(rong)資(zi)(zi)(zi)(zi)(zi)(zi)手段。推動自(zi)(zi)(zi)貿試驗區臨港(gang)新(xin)(xin)(xin)片(pian)區、張江(jiang)國家自(zi)(zi)(zi)主創(chuang)新(xin)(xin)(xin)示范區、虹橋商務(wu)區、G60科創(chuang)走廊(lang)、大學(xue)科技(ji)園等雙創(chuang)集聚區及(ji)長(chang)(chang)三(san)角一體(ti)化(hua)示范區內相(xiang)關(guan)公司在證(zheng)券市(shi)場(chang)發(fa)(fa)(fa)行各(ge)類新(xin)(xin)(xin)型債券等適用融(rong)(rong)(rong)資(zi)(zi)(zi)(zi)(zi)(zi)工(gong)具。充分(fen)發(fa)(fa)(fa)揮(hui)自(zi)(zi)(zi)貿試驗區臨港(gang)新(xin)(xin)(xin)片(pian)區制度(du)創(chuang)新(xin)(xin)(xin)優(you)(you)勢，為上市(shi)公司跨境融(rong)(rong)(rong)資(zi)(zi)(zi)(zi)(zi)(zi)提供(gong)便利。鼓勵金融(rong)(rong)(rong)機(ji)(ji)構通(tong)過(guo)多種(zhong)方式對戰略(lve)新(xin)(xin)(xin)興產(chan)業、高新(xin)(xin)(xin)技(ji)術上市(shi)公司予以融(rong)(rong)(rong)資(zi)(zi)(zi)(zi)(zi)(zi)支持(chi)。支持(chi)優(you)(you)質科創(chuang)企業開展(zhan)知識產(chan)權質押貸(dai)款等融(rong)(rong)(rong)資(zi)(zi)(zi)(zi)(zi)(zi)，探索(suo)研(yan)發(fa)(fa)(fa)貸(dai)款、投(tou)貸(dai)聯動等創(chuang)新(xin)(xin)(xin)金融(rong)(rong)(rong)服(fu)務(wu)。研(yan)究(jiu)建(jian)立對機(ji)(ji)構投(tou)資(zi)(zi)(zi)(zi)(zi)(zi)者的長(chang)(chang)周期(qi)考(kao)核機(ji)(ji)制，吸引更多中(zhong)(zhong)長(chang)(chang)期(qi)資(zi)(zi)(zi)(zi)(zi)(zi)金入(ru)市(shi)。集中(zhong)(zhong)力量(liang)解決已上市(shi)中(zhong)(zhong)小企業融(rong)(rong)(rong)資(zi)(zi)(zi)(zi)(zi)(zi)難融(rong)(rong)(rong)資(zi)(zi)(zi)(zi)(zi)(zi)貴問題，加大信貸(dai)投(tou)放力度(du)，實施(shi)差別化(hua)貨幣信貸(dai)支持(chi)政策。充分(fen)發(fa)(fa)(fa)揮(hui)非銀行金融(rong)(rong)(rong)機(ji)(ji)構作用，拓(tuo)寬(kuan)融(rong)(rong)(rong)資(zi)(zi)(zi)(zi)(zi)(zi)渠(qu)道。

　　四(si)、健全(quan)上(shang)市公司(si)退出機制

　　（七）暢通(tong)退(tui)出(chu)(chu)渠道。支持上(shang)(shang)市(shi)公(gong)(gong)司通(tong)過主動(dong)退(tui)市(shi)、企業合(he)并、重組上(shang)(shang)市(shi)、破(po)產重整等多元化渠道依法退(tui)出(chu)(chu)、出(chu)(chu)清，實現優勝劣汰。打造本市(shi)上(shang)(shang)市(shi)公(gong)(gong)司市(shi)場化退(tui)出(chu)(chu)的典型案例，形成“上(shang)(shang)海(hai)經驗(yan)”。完善上(shang)(shang)市(shi)公(gong)(gong)司破(po)產重整制度，簡化破(po)產重整程序，優化流程。

　　（八）做(zuo)好退(tui)(tui)市(shi)(shi)(shi)處(chu)置工作(zuo)。落實《中華人民共(gong)和國證券法》規定，加大退(tui)(tui)市(shi)(shi)(shi)監(jian)管力度，強化上市(shi)(shi)(shi)公司觸及(ji)強制(zhi)(zhi)(zhi)退(tui)(tui)市(shi)(shi)(shi)條件的主體責任，對(dui)嚴重(zhong)損害市(shi)(shi)(shi)場(chang)秩(zhi)序、觸及(ji)強制(zhi)(zhi)(zhi)退(tui)(tui)市(shi)(shi)(shi)標準的上市(shi)(shi)(shi)公司堅(jian)決予以(yi)退(tui)(tui)市(shi)(shi)(shi)，做(zuo)好強制(zhi)(zhi)(zhi)退(tui)(tui)市(shi)(shi)(shi)后續安排(pai)。嚴厲打擊通過財務造假、利益輸(shu)送、操縱(zong)市(shi)(shi)(shi)場(chang)等方式惡意規避(bi)退(tui)(tui)市(shi)(shi)(shi)行為。健(jian)全退(tui)(tui)市(shi)(shi)(shi)風險監(jian)測、預警及(ji)信息共(gong)享機制(zhi)(zhi)(zhi)。完善退(tui)(tui)市(shi)(shi)(shi)風險聯合防控工作(zuo)機制(zhi)(zhi)(zhi)，制(zhi)(zhi)(zhi)定退(tui)(tui)市(shi)(shi)(shi)風險處(chu)置預案，保(bao)障上市(shi)(shi)(shi)公司平(ping)穩退(tui)(tui)市(shi)(shi)(shi)。

　　五(wu)、解決上(shang)市公司突出(chu)問題

　　（九）化解股票(piao)(piao)質(zhi)(zhi)(zhi)押(ya)(ya)和(he)債券違約風險(xian)。加強上市公司股票(piao)(piao)質(zhi)(zhi)(zhi)押(ya)(ya)風險(xian)防控，壓(ya)實大股東(dong)(dong)、實際控制人主體(ti)責任。完善股票(piao)(piao)質(zhi)(zhi)(zhi)押(ya)(ya)風險(xian)處置區域協(xie)調(diao)機(ji)制，發揮(hui)金融(rong)穩定發展委員會辦公室地方協(xie)調(diao)機(ji)制（上海市）作用，建立全口(kou)徑(jing)股票(piao)(piao)質(zhi)(zhi)(zhi)押(ya)(ya)數據庫，規范、完善金融(rong)機(ji)構參(can)與(yu)股票(piao)(piao)質(zhi)(zhi)(zhi)押(ya)(ya)的(de)行為標(biao)準和(he)場(chang)內外(wai)質(zhi)(zhi)(zhi)押(ya)(ya)監管標(biao)準。嚴格控制限(xian)售(shou)股質(zhi)(zhi)(zhi)押(ya)(ya)，上市公司大股東(dong)(dong)質(zhi)(zhi)(zhi)押(ya)(ya)限(xian)售(shou)期(qi)股票(piao)(piao)應嚴格遵守相關規范要求及有關承諾。支(zhi)(zhi)持(chi)各類金融(rong)機(ji)構以市場(chang)化方式(shi)參(can)與(yu)上市公司股票(piao)(piao)質(zhi)(zhi)(zhi)押(ya)(ya)風險(xian)化解。支(zhi)(zhi)持(chi)各類資本依(yi)法參(can)與(yu)市場(chang)化債轉股，加強對各類信用風險(xian)到期(qi)和(he)回售(shou)風險(xian)的(de)聯合監測，完善違約風險(xian)處置的(de)統籌協(xie)調(diao)機(ji)制。

　　（十）嚴肅處置資(zi)金占(zhan)用、違(wei)規(gui)擔(dan)保問題。防范新(xin)(xin)增資(zi)金占(zhan)用，加強上(shang)(shang)(shang)市(shi)公(gong)司關聯(lian)資(zi)金混同風險防控。對利用關聯(lian)方(fang)進行(xing)無商業實質(zhi)的(de)(de)購銷業務或票據交換、對外投資(zi)、支付工程款等新(xin)(xin)型資(zi)金占(zhan)用行(xing)為加大打擊力(li)度(du)。著力(li)解(jie)決現有資(zi)金占(zhan)用問題，逐家(jia)限(xian)期(qi)清(qing)償(chang)或化解(jie)。嚴厲打擊限(xian)期(qi)未清(qing)償(chang)、整改(gai)或新(xin)(xin)發生的(de)(de)資(zi)金占(zhan)用和違(wei)規(gui)擔(dan)保行(xing)為，強化行(xing)政責(ze)任(ren)(ren)，對涉嫌犯(fan)罪的(de)(de)責(ze)任(ren)(ren)人及時移送公(gong)安、司法(fa)機(ji)關，依法(fa)從快從嚴追(zhui)究刑(xing)事責(ze)任(ren)(ren)。上(shang)(shang)(shang)市(shi)公(gong)司實施(shi)破產重整的(de)(de)，要提(ti)出解(jie)決資(zi)金占(zhan)用、違(wei)規(gui)擔(dan)保問題的(de)(de)切實可(ke)行(xing)方(fang)案，有效保護上(shang)(shang)(shang)市(shi)公(gong)司及中小股東的(de)(de)合法(fa)權益(yi)。

　　（十一）加強(qiang)應對重(zhong)大突發(fa)事(shi)件的政(zheng)(zheng)策支持力度。發(fa)生(sheng)自然災害、公(gong)共衛生(sheng)等(deng)重(zhong)大突發(fa)事(shi)件，對上市(shi)公(gong)司正常生(sheng)產(chan)經營造成嚴(yan)重(zhong)影響(xiang)的，有關部門要依托中央宏(hong)觀政(zheng)(zheng)策、金融穩(wen)定(ding)等(deng)協(xie)調機制，加強(qiang)協(xie)作聯動，落實本市(shi)產(chan)業、金融、財稅等(deng)方(fang)面政(zheng)(zheng)策；及時采取措施(shi)，維(wei)護勞務用工、生(sheng)產(chan)資料、公(gong)用事(shi)業品供(gong)應和物(wu)流運輸(shu)渠道，支持上市(shi)公(gong)司盡(jin)快恢復正常生(sheng)產(chan)經營。

　　六、加大違(wei)法(fa)違(wei)規懲(cheng)處力度(du)

　　（十二）加強違(wei)(wei)(wei)法(fa)(fa)(fa)違(wei)(wei)(wei)規(gui)行(xing)(xing)為查(cha)處(chu)(chu)。嚴厲打擊財務造假、侵占上市(shi)(shi)(shi)公(gong)司(si)資金、違(wei)(wei)(wei)規(gui)擔保、內幕交易(yi)、操縱(zong)市(shi)(shi)(shi)場(chang)等(deng)(deng)違(wei)(wei)(wei)法(fa)(fa)(fa)違(wei)(wei)(wei)規(gui)行(xing)(xing)為，用好用足自律監(jian)管、行(xing)(xing)政(zheng)罰款、市(shi)(shi)(shi)場(chang)禁入等(deng)(deng)各類自律及行(xing)(xing)政(zheng)懲戒措(cuo)施，進一步(bu)加大線(xian)索(suo)發現和刑(xing)事移送力(li)度，對達到刑(xing)事追(zhui)訴標準的，做(zuo)到應移盡移。推進上市(shi)(shi)(shi)公(gong)司(si)與控股(gu)股(gu)東、實際控制(zhi)人責(ze)(ze)任(ren)的差異化處(chu)(chu)理，突出對違(wei)(wei)(wei)法(fa)(fa)(fa)行(xing)(xing)為決策、主要責(ze)(ze)任(ren)人等(deng)(deng)“關鍵少數”的責(ze)(ze)任(ren)追(zhui)究。對涉案(an)證券(quan)公(gong)司(si)、證券(quan)服務機(ji)構(gou)等(deng)(deng)中介機(ji)構(gou)及從業(ye)人員一并(bing)查(cha)處(chu)(chu)。強化跨境執(zhi)法(fa)(fa)(fa)協作，積極穩(wen)妥處(chu)(chu)理上海證券(quan)市(shi)(shi)(shi)場(chang)與境外市(shi)(shi)(shi)場(chang)互聯(lian)互通過程(cheng)中發生的各類違(wei)(wei)(wei)法(fa)(fa)(fa)違(wei)(wei)(wei)規(gui)案(an)件。

　　（十三）完(wan)善聯(lian)(lian)合(he)懲戒(jie)機制。推進監(jian)管信(xin)息共(gong)享(xiang)，強化聯(lian)(lian)合(he)懲戒(jie)閉環工作機制，對在上市(shi)公(gong)司違(wei)法中負有責(ze)任(ren)的相關失信(xin)主體，在行(xing)業(ye)準入、金融服(fu)務(wu)、出境(jing)出行(xing)等方(fang)面依法予以(yi)限制，營造“褒揚誠信(xin)、懲戒(jie)失信(xin)”的市(shi)場(chang)環境(jing)。持續深(shen)化行(xing)政執法與刑事司法各環節銜接和聯(lian)(lian)動，通(tong)過(guo)聯(lian)(lian)合(he)辦案(an)、專業(ye)支(zhi)持、個案(an)會商、調查手段(duan)互補等方(fang)式優化工作流(liu)程，縮短(duan)辦案(an)周(zhou)期，快速打擊(ji)違(wei)法行(xing)為，及(ji)時回應市(shi)場(chang)關切。

　　七、營造良(liang)好市場生態

　　（十(shi)四）優(you)化營商環境。發揮(hui)上海公共(gong)數據和“一網通(tong)辦”作(zuo)用，促進(jin)全市(shi)(shi)公共(gong)數據的綜合應(ying)用，加(jia)(jia)強各區、各有關(guan)部門信(xin)息共(gong)享，優(you)化行政(zheng)辦事流程。推進(jin)上市(shi)(shi)公司監(jian)(jian)管(guan)(guan)大(da)數據平臺建設，優(you)化涉及上市(shi)(shi)公司的財政(zheng)、稅務、海關(guan)、金融(rong)、市(shi)(shi)場(chang)監(jian)(jian)管(guan)(guan)、行業(ye)監(jian)(jian)管(guan)(guan)、司法(fa)機關(guan)等(deng)信(xin)息查詢(xun)共(gong)享機制，提(ti)高監(jian)(jian)管(guan)(guan)執法(fa)效能。嚴格落實保障中(zhong)小企業(ye)款項支付相關(guan)規定，加(jia)(jia)大(da)力度解決已上市(shi)(shi)中(zhong)小企業(ye)應(ying)收(shou)賬款拖(tuo)欠問題。切實推動“放管(guan)(guan)服”改(gai)革，培育(yu)公平競爭的市(shi)(shi)場(chang)環境。

　　（十五）發(fa)揮中介(jie)(jie)機(ji)(ji)構(gou)(gou)作用。加大對保(bao)薦機(ji)(ji)構(gou)(gou)、會計師事(shi)務(wu)所、律師事(shi)務(wu)所、資產評估機(ji)(ji)構(gou)(gou)、資信評級機(ji)(ji)構(gou)(gou)等(deng)中介(jie)(jie)機(ji)(ji)構(gou)(gou)在上市公司相關(guan)業(ye)務(wu)中執業(ye)質量的(de)監管力度，壓實(shi)中介(jie)(jie)機(ji)(ji)構(gou)(gou)責(ze)任，充分發(fa)揮中介(jie)(jie)機(ji)(ji)構(gou)(gou)“看門人”作用。相關(guan)部門和機(ji)(ji)構(gou)(gou)應(ying)積極配(pei)合證(zheng)券服務(wu)機(ji)(ji)構(gou)(gou)開展(zhan)函證(zheng)、盡職(zhi)調查等(deng)業(ye)務(wu)。

　　（十六）健(jian)全投(tou)(tou)資(zi)者(zhe)(zhe)保(bao)(bao)護機(ji)制(zhi)(zhi)。強化上(shang)市(shi)公(gong)司(si)(si)(si)主體(ti)責任，督促上(shang)市(shi)公(gong)司(si)(si)(si)及(ji)相關(guan)方(fang)公(gong)平對待所(suo)有股(gu)東(dong)。加強投(tou)(tou)資(zi)者(zhe)(zhe)保(bao)(bao)護教(jiao)育(yu)(yu)，鼓勵(li)投(tou)(tou)資(zi)者(zhe)(zhe)積(ji)極行(xing)(xing)使股(gu)東(dong)權利。將投(tou)(tou)資(zi)者(zhe)(zhe)教(jiao)育(yu)(yu)納入國民(min)(min)(min)(min)教(jiao)育(yu)(yu)體(ti)系，倡(chang)導理性投(tou)(tou)資(zi)、價值投(tou)(tou)資(zi)、長期投(tou)(tou)資(zi)理念，強化投(tou)(tou)資(zi)風險(xian)(xian)防范意識(shi)。充分發(fa)揮投(tou)(tou)資(zi)者(zhe)(zhe)保(bao)(bao)護機(ji)構對投(tou)(tou)資(zi)者(zhe)(zhe)行(xing)(xing)權維權的(de)示(shi)范引(yin)導作(zuo)用，支持其開(kai)展投(tou)(tou)票權征集(ji)，發(fa)揮上(shang)海金融審(shen)判專(zhuan)業(ye)(ye)優勢，支持落實證(zheng)(zheng)(zheng)券(quan)民(min)(min)(min)(min)事(shi)賠償(chang)訴(su)(su)訟的(de)代表人訴(su)(su)訟制(zhi)(zhi)度(du)，推動中國特色證(zheng)(zheng)(zheng)券(quan)集(ji)體(ti)訴(su)(su)訟制(zhi)(zhi)度(du)在本市(shi)開(kai)展有益實踐。鼓勵(li)倡(chang)導上(shang)市(shi)公(gong)司(si)(si)(si)控(kong)股(gu)股(gu)東(dong)、實際控(kong)制(zhi)(zhi)人及(ji)相關(guan)的(de)證(zheng)(zheng)(zheng)券(quan)公(gong)司(si)(si)(si)根(gen)據《中華人民(min)(min)(min)(min)共和國證(zheng)(zheng)(zheng)券(quan)法》對投(tou)(tou)資(zi)者(zhe)(zhe)承擔先(xian)行(xing)(xing)賠償(chang)責任，提(ti)高賠付效(xiao)率。支持投(tou)(tou)資(zi)者(zhe)(zhe)保(bao)(bao)護機(ji)構對上(shang)市(shi)公(gong)司(si)(si)(si)相關(guan)主體(ti)侵犯(fan)公(gong)司(si)(si)(si)合法權益給公(gong)司(si)(si)(si)造成損失的(de)相關(guan)行(xing)(xing)為提(ti)起股(gu)東(dong)代位訴(su)(su)訟。研究探(tan)索在本市(shi)建立上(shang)市(shi)公(gong)司(si)(si)(si)違規風險(xian)(xian)準備金制(zhi)(zhi)度(du)。發(fa)揮證(zheng)(zheng)(zheng)券(quan)、基金、期貨業(ye)(ye)糾紛(fen)聯合人民(min)(min)(min)(min)調解委(wei)員會等(deng)證(zheng)(zheng)(zheng)券(quan)期貨專(zhuan)業(ye)(ye)調解組織作(zuo)用。研究探(tan)索檢察機(ji)關(guan)提(ti)起證(zheng)(zheng)(zheng)券(quan)公(gong)益民(min)(min)(min)(min)事(shi)訴(su)(su)訟和投(tou)(tou)資(zi)者(zhe)(zhe)就上(shang)市(shi)公(gong)司(si)(si)(si)虛假陳述(shu)民(min)(min)(min)(min)事(shi)糾紛(fen)申請仲裁裁決(jue)制(zhi)(zhi)度(du)等(deng)多元(yuan)化糾紛(fen)化解機(ji)制(zhi)(zhi)。

　　（十七）營造(zao)良好輿論生(sheng)態。進一步(bu)健全監管部門與(yu)(yu)本市(shi)主要新(xin)聞媒(mei)體在上(shang)市(shi)公司輿情監測、媒(mei)體通報等方面的(de)協(xie)作(zuo)機制，支持各(ge)類媒(mei)體加強政(zheng)策解(jie)讀與(yu)(yu)宣傳(chuan)，發揮輿論監督作(zuo)用(yong)，營造(zao)良好的(de)資(zi)本市(shi)場輿論環境。規(gui)范各(ge)類主體對利(li)益相關(guan)上(shang)市(shi)公司的(de)報道(dao)評論，防(fang)范利(li)益沖(chong)突(tu)，加大對編(bian)造(zao)、傳(chuan)播虛假(jia)信(xin)息或者(zhe)誤(wu)導(dao)性信(xin)息行為的(de)打(da)擊力度，規(gui)范信(xin)息傳(chuan)播秩序。強化上(shang)市(shi)公司、董監高及(ji)實(shi)際控(kong)制人的(de)社(she)會責任(ren)意識，弘揚企(qi)業家(jia)精(jing)神，堅(jian)決防(fang)范道(dao)德風險，宣傳(chuan)誠信(xin)經營理念。