中證(zheng)網(wang)訊（記者 昝秀麗）證(zheng)監(jian)(jian)會(hui)11月26日消息，證(zheng)監(jian)(jian)會(hui)會(hui)同滬(hu)深證(zheng)券(quan)交(jiao)(jiao)易(yi)所開(kai)展了上(shang)市(shi)公司監(jian)(jian)管(guan)法規(gui)體系整(zheng)合(he)工作，這(zhe)是(shi)資本市(shi)場(chang)上(shang)市(shi)公司監(jian)(jian)管(guan)法規(gui)體系30年來的(de)首次(ci)全面整(zheng)合(he)修(xiu)訂。證(zheng)監(jian)(jian)會(hui)現行關于(yu)上(shang)市(shi)公司監(jian)(jian)管(guan)的(de)部門(men)規(gui)章以下層級規(gui)則(ze)、滬(hu)深交(jiao)(jiao)易(yi)所現行關于(yu)上(shang)市(shi)公司監(jian)(jian)管(guan)的(de)自律(lv)監(jian)(jian)管(guan)規(gui)則(ze)將(jiang)歸并(bing)整(zheng)合(he)為182件(jian)，數量壓縮60%。證(zheng)監(jian)(jian)會(hui)就整(zheng)合(he)涉及證(zheng)監(jian)(jian)會(hui)的(de)27件(jian)規(gui)范性(xing)文件(jian)（合(he)并(bing)后制定規(gui)則(ze)6件(jian)、修(xiu)改17件(jian)、廢止4件(jian)）向(xiang)社(she)會(hui)公開(kai)征求(qiu)意見。

　　證監(jian)會指出，經(jing)過多年發展，我國資本市(shi)場初步建立了包括法律、行政法規(gui)(gui)、部門規(gui)(gui)章(zhang)、規(gui)(gui)范性(xing)文件、交易(yi)所自(zi)律規(gui)(gui)則(ze)(ze)在(zai)內(nei)的(de)一整(zheng)套上市(shi)公(gong)司(si)(si)監(jian)管法規(gui)(gui)體(ti)系(xi)。整(zheng)體(ti)來看，現行法規(gui)(gui)涉(she)及領域(yu)廣泛、數量(liang)眾(zhong)多，上市(shi)公(gong)司(si)(si)監(jian)管各方(fang)面工(gong)作實現了有(you)(you)法可依(yi)，法制供給取得階段性(xing)成果(guo)。隨著規(gui)(gui)則(ze)(ze)數量(liang)增加和(he)上市(shi)公(gong)司(si)(si)監(jian)管實踐的(de)發展變化，優化規(gui)(gui)則(ze)(ze)體(ti)系(xi)、完(wan)善規(gui)(gui)則(ze)(ze)內(nei)容及精簡(jian)規(gui)(gui)則(ze)(ze)數量(liang)的(de)重要性(xing)日益凸顯。本次法規(gui)(gui)整(zheng)合，旨在(zai)現有(you)(you)基(ji)礎上進一步強化上市(shi)公(gong)司(si)(si)監(jian)管法規(gui)(gui)的(de)科學(xue)性(xing)、體(ti)系(xi)性(xing)、規(gui)(gui)范性(xing)，方(fang)便市(shi)場主體(ti)查(cha)找(zhao)使用(yong)，助推提(ti)升上市(shi)公(gong)司(si)(si)質量(liang)。

　　由于證監(jian)(jian)會(hui)(hui)部門規(gui)(gui)章及(ji)(ji)以上(shang)(shang)層級(ji)規(gui)(gui)則(ze)層次較為分明，本次整(zheng)(zheng)合(he)范圍為上(shang)(shang)市公司(si)監(jian)(jian)管領(ling)域(yu)規(gui)(gui)范性文件及(ji)(ji)以下層級(ji)的(de)(de)監(jian)(jian)管法(fa)規(gui)(gui)，證監(jian)(jian)會(hui)(hui)和滬深(shen)交(jiao)易所(suo)“一體(ti)(ti)(ti)行(xing)動”，涉及(ji)(ji)規(gui)(gui)則(ze)體(ti)(ti)(ti)系(xi)多(duo)、數量大。在整(zheng)(zheng)合(he)思路上(shang)(shang)，堅持市場化、法(fa)治化方向，把握“搭(da)好體(ti)(ti)(ti)系(xi)框架，避(bi)免內容大改”原(yuan)則(ze)，聚焦構建科學簡明的(de)(de)上(shang)(shang)市公司(si)監(jian)(jian)管法(fa)規(gui)(gui)體(ti)(ti)(ti)系(xi)，對于實踐(jian)證明行(xing)之有(you)效的(de)(de)內容在整(zheng)(zheng)合(he)后繼續適用。在具體(ti)(ti)(ti)方法(fa)上(shang)(shang)，注重(zhong)強(qiang)化持續監(jian)(jian)管與(yu)(yu)發行(xing)、再融(rong)資、并購重(zhong)組(zu)、退市等業(ye)務領(ling)域(yu)的(de)(de)有(you)機(ji)聯系(xi)，注重(zhong)強(qiang)化證監(jian)(jian)會(hui)(hui)與(yu)(yu)滬深(shen)交(jiao)易所(suo)規(gui)(gui)則(ze)的(de)(de)功能互補和滬深(shen)交(jiao)易所(suo)之間市場規(gui)(gui)則(ze)的(de)(de)協調一致。

　　據介紹(shao)，整合(he)(he)后(hou)，上市公司(si)(si)監管(guan)(guan)(guan)法規(gui)(gui)(gui)主要呈現(xian)以(yi)下(xia)(xia)特點：一是(shi)體(ti)系化繁為(wei)簡。業(ye)務(wu)分(fen)類包含信息披露(lu)、公司(si)(si)治理(li)、并(bing)(bing)購(gou)重組、監管(guan)(guan)(guan)職責四大類；在(zai)層次上，證監會層面構(gou)建基礎規(gui)(gui)(gui)則(ze)、監管(guan)(guan)(guan)指引、規(gui)(gui)(gui)則(ze)適用(yong)意(yi)見3個層次，交易所(suo)(suo)層面構(gou)建自律(lv)監管(guan)(guan)(guan)規(gui)(gui)(gui)則(ze)、自律(lv)監管(guan)(guan)(guan)指引、自律(lv)監管(guan)(guan)(guan)指南(nan)3個層次，行政監管(guan)(guan)(guan)與自律(lv)監管(guan)(guan)(guan)實現(xian)有效銜接。二(er)是(shi)內(nei)(nei)容更(geng)為(wei)規(gui)(gui)(gui)范合(he)(he)理(li)。在(zai)“避免實體(ti)內(nei)(nei)容大修(xiu)大改(gai)”的前提下(xia)(xia)，優化上下(xia)(xia)位(wei)規(gui)(gui)(gui)則(ze)關系，盡(jin)量(liang)“找平”滬深交易所(suo)(suo)規(gui)(gui)(gui)則(ze)的章節體(ti)例(li)并(bing)(bing)維(wei)持兩所(suo)(suo)規(gui)(gui)(gui)則(ze)內(nei)(nei)容上的合(he)(he)理(li)差異，技(ji)術(shu)上合(he)(he)并(bing)(bing)同一事項(xiang)規(gui)(gui)(gui)則(ze)、修(xiu)改(gai)廢止不符合(he)(he)實踐或存在(zai)矛盾(dun)的規(gui)(gui)(gui)則(ze)，統一文字表述(shu)和格式體(ti)例(li)。三是(shi)數(shu)量(liang)顯著減少。整合(he)(he)后(hou)證監會規(gui)(gui)(gui)則(ze)94件，滬深交易所(suo)(suo)規(gui)(gui)(gui)則(ze)88件，更(geng)為(wei)簡明、清晰、友(you)好。

　　本次(ci)規則(ze)(ze)(ze)整合(he)具體內容(rong)(rong)(rong)如下(xia)：一是合(he)并監(jian)管(guan)(guan)事項(xiang)相(xiang)同但分(fen)散各處的(de)(de)規則(ze)(ze)(ze)，并修(xiu)改過(guo)時、重復、矛盾之(zhi)處，形成統一、明確(que)的(de)(de)專項(xiang)規則(ze)(ze)(ze)。如《上(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)回購社會公(gong)(gong)(gong)(gong)(gong)眾股份(fen)管(guan)(guan)理辦法（試(shi)行）》《關(guan)(guan)(guan)(guan)于(yu)上(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)以(yi)集(ji)中(zhong)競(jing)價交易方式回購股份(fen)的(de)(de)補(bu)充(chong)規定(ding)(ding)》等(deng)數項(xiang)規范(fan)性文件(jian)合(he)并為(wei)(wei)《上(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)股份(fen)回購管(guan)(guan)理規則(ze)(ze)(ze)》；規范(fan)境(jing)(jing)內分(fen)拆(chai)的(de)(de)《上(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)分(fen)拆(chai)所屬子公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)境(jing)(jing)內上(shang)(shang)(shang)(shang)市(shi)(shi)(shi)試(shi)點若(ruo)干(gan)規定(ding)(ding)》和規范(fan)境(jing)(jing)外(wai)分(fen)拆(chai)的(de)(de)《關(guan)(guan)(guan)(guan)于(yu)規范(fan)境(jing)(jing)內上(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)所屬企業到(dao)境(jing)(jing)外(wai)上(shang)(shang)(shang)(shang)市(shi)(shi)(shi)有關(guan)(guan)(guan)(guan)問題的(de)(de)通知(zhi)》合(he)并為(wei)(wei)《上(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)分(fen)拆(chai)規則(ze)(ze)(ze)（試(shi)行）》；以(yi)《關(guan)(guan)(guan)(guan)于(yu)規范(fan)上(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)與關(guan)(guan)(guan)(guan)聯方資(zi)(zi)金(jin)往來(lai)(lai)及上(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)對外(wai)擔(dan)保(bao)若(ruo)干(gan)問題的(de)(de)通知(zhi)》和《關(guan)(guan)(guan)(guan)于(yu)規范(fan)上(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)對外(wai)擔(dan)保(bao)行為(wei)(wei)的(de)(de)通知(zhi)》為(wei)(wei)基礎，吸納《關(guan)(guan)(guan)(guan)于(yu)集(ji)中(zhong)解(jie)決上(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)資(zi)(zi)金(jin)被占用(yong)和違(wei)規擔(dan)保(bao)問題的(de)(de)通知(zhi)》等(deng)數項(xiang)涉及資(zi)(zi)金(jin)往來(lai)(lai)、對外(wai)擔(dan)保(bao)規定(ding)(ding)的(de)(de)相(xiang)關(guan)(guan)(guan)(guan)內容(rong)(rong)(rong)，合(he)并為(wei)(wei)《上(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)監(jian)管(guan)(guan)指(zhi)引第8號——上(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)資(zi)(zi)金(jin)往來(lai)(lai)、對外(wai)擔(dan)保(bao)的(de)(de)監(jian)管(guan)(guan)要求》；《關(guan)(guan)(guan)(guan)于(yu)加強社會公(gong)(gong)(gong)(gong)(gong)眾股股東權益保(bao)護的(de)(de)若(ruo)干(gan)規定(ding)(ding)》的(de)(de)相(xiang)關(guan)(guan)(guan)(guan)內容(rong)(rong)(rong)分(fen)門(men)別類整合(he)至《上(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)章(zhang)程(cheng)指(zhi)引》《上(shang)(shang)(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)股東大(da)會規則(ze)(ze)(ze)》等(deng)規則(ze)(ze)(ze)。

　　二是修改(gai)現行規(gui)(gui)則(ze)中與實(shi)踐(jian)不相適(shi)應、與新(xin)發布規(gui)(gui)則(ze)或上(shang)位(wei)法(fa)沖突的(de)(de)規(gui)(gui)定(ding)(ding)，并統(tong)一規(gui)(gui)范(fan)文字表(biao)(biao)述。如刪除(chu)《〈上(shang)市(shi)(shi)(shi)公(gong)司(si)(si)(si)(si)(si)(si)(si)收購(gou)管(guan)理(li)(li)辦法(fa)〉第(di)(di)(di)六十二條有(you)關(guan)上(shang)市(shi)(shi)(shi)公(gong)司(si)(si)(si)(si)(si)(si)(si)嚴重(zhong)財務困難的(de)(de)適(shi)用(yong)(yong)(yong)意見——證(zheng)(zheng)券(quan)(quan)(quan)期貨法(fa)律適(shi)用(yong)(yong)(yong)意見第(di)(di)(di)7號(hao)(hao)》中“股(gu)票被暫(zan)停上(shang)市(shi)(shi)(shi)”的(de)(de)表(biao)(biao)述，原因(yin)是退市(shi)(shi)(shi)新(xin)規(gui)(gui)實(shi)施后(hou)不再有(you)“暫(zan)停上(shang)市(shi)(shi)(shi)”階段；“申請豁免(mian)要約(yue)收購(gou)義務”修改(gai)為(wei)“免(mian)于(yu)以要約(yue)方(fang)式增(zeng)持股(gu)份”，與《上(shang)市(shi)(shi)(shi)公(gong)司(si)(si)(si)(si)(si)(si)(si)收購(gou)管(guan)理(li)(li)辦法(fa)》保持一致。《〈上(shang)市(shi)(shi)(shi)公(gong)司(si)(si)(si)(si)(si)(si)(si)重(zhong)大資產(chan)(chan)(chan)重(zhong)組管(guan)理(li)(li)辦法(fa)〉第(di)(di)(di)三(san)條有(you)關(guan)擬購(gou)買(mai)資產(chan)(chan)(chan)存在資金占用(yong)(yong)(yong)問題(ti)的(de)(de)適(shi)用(yong)(yong)(yong)意見——證(zheng)(zheng)券(quan)(quan)(quan)期貨法(fa)律適(shi)用(yong)(yong)(yong)意見第(di)(di)(di)10號(hao)(hao)》中“擬購(gou)買(mai)資產(chan)(chan)(chan)”修改(gai)為(wei)“標的(de)(de)資產(chan)(chan)(chan)”，令其可(ke)適(shi)用(yong)(yong)(yong)于(yu)換股(gu)吸收合(he)并情形，增(zeng)強(qiang)法(fa)規(gui)(gui)實(shi)用(yong)(yong)(yong)性(xing)。《關(guan)于(yu)完善上(shang)市(shi)(shi)(shi)公(gong)司(si)(si)(si)(si)(si)(si)(si)股(gu)票停復牌制度的(de)(de)指(zhi)導意見》的(de)(de)行文方(fang)式由政策(ce)指(zhi)導性(xing)文件(jian)調整為(wei)規(gui)(gui)范(fan)的(de)(de)法(fa)律文件(jian)，名稱修改(gai)為(wei)《上(shang)市(shi)(shi)(shi)公(gong)司(si)(si)(si)(si)(si)(si)(si)股(gu)票停復牌規(gui)(gui)則(ze)》。《公(gong)開(kai)發行證(zheng)(zheng)券(quan)(quan)(quan)的(de)(de)公(gong)司(si)(si)(si)(si)(si)(si)(si)信息(xi)披(pi)(pi)露(lu)編(bian)報規(gui)(gui)則(ze)第(di)(di)(di)4號(hao)(hao)——保險公(gong)司(si)(si)(si)(si)(si)(si)(si)信息(xi)披(pi)(pi)露(lu)特(te)(te)別(bie)規(gui)(gui)定(ding)(ding)》《公(gong)開(kai)發行證(zheng)(zheng)券(quan)(quan)(quan)的(de)(de)公(gong)司(si)(si)(si)(si)(si)(si)(si)信息(xi)披(pi)(pi)露(lu)編(bian)報規(gui)(gui)則(ze)第(di)(di)(di)26號(hao)(hao)——商業銀(yin)行信息(xi)披(pi)(pi)露(lu)特(te)(te)別(bie)規(gui)(gui)定(ding)(ding)》（以下簡(jian)稱《第(di)(di)(di)26號(hao)(hao)編(bian)報規(gui)(gui)則(ze)》）按上(shang)位(wei)法(fa)新(xin)規(gui)(gui)進(jin)行更新(xin)，援(yuan)引的(de)(de)《證(zheng)(zheng)券(quan)(quan)(quan)法(fa)》第(di)(di)(di)193條修改(gai)為(wei)第(di)(di)(di)197條，援(yuan)引的(de)(de)《上(shang)市(shi)(shi)(shi)公(gong)司(si)(si)(si)(si)(si)(si)(si)信息(xi)披(pi)(pi)露(lu)管(guan)理(li)(li)辦法(fa)》第(di)(di)(di)六章(zhang)修改(gai)為(wei)第(di)(di)(di)五章(zhang)，考慮到(dao)《證(zheng)(zheng)券(quan)(quan)(quan)法(fa)》已有(you)規(gui)(gui)定(ding)(ding)，刪除(chu)《第(di)(di)(di)26號(hao)(hao)編(bian)報規(gui)(gui)則(ze)》關(guan)于(yu)定(ding)(ding)期報告(gao)范(fan)圍的(de)(de)規(gui)(gui)定(ding)(ding)。

　　三(san)是歸納總結實踐中已經(jing)普遍(bian)認同的(de)做(zuo)法(fa)，提升形(xing)成規(gui)則。如《上市公(gong)司(si)股(gu)(gu)東大會規(gui)則》依(yi)據新(xin)《證券法(fa)》增加股(gu)(gu)東違規(gui)買入的(de)股(gu)(gu)份在36個月內不(bu)得行使(shi)表(biao)(biao)決權，且不(bu)計入出席股(gu)(gu)東大會有表(biao)(biao)決權的(de)股(gu)(gu)份總數的(de)規(gui)定(ding)。結合前(qian)期監管(guan)實踐，《上市公(gong)司(si)監管(guan)指引第4號——上市公(gong)司(si)及其(qi)相關方承(cheng)諾(nuo)(nuo)》增加上市公(gong)司(si)董事、監事、高級管(guan)理人員、資(zi)產交易(yi)對方、破(po)產重(zhong)(zhong)整投資(zi)人等適用主(zhu)體和破(po)產重(zhong)(zhong)整事項，增加不(bu)得變更(geng)、豁免(mian)承(cheng)諾(nuo)(nuo)的(de)三(san)種情形(xing)，包括依(yi)據有關規(gui)定(ding)作出的(de)承(cheng)諾(nuo)(nuo)、重(zhong)(zhong)組(zu)業(ye)績承(cheng)諾(nuo)(nuo)和承(cheng)諾(nuo)(nuo)人已明確不(bu)可變更(geng)或撤銷(xiao)的(de)承(cheng)諾(nuo)(nuo)。

　　四是廢(fei)止前(qian)期出臺的(de)暫時性(xing)規(gui)定、階(jie)段性(xing)安(an)排(pai)(pai)以(yi)及與(yu)現(xian)行規(gui)則矛盾的(de)規(gui)則。如《2008年(nian)深入推進上(shang)市(shi)公(gong)(gong)司治(zhi)理(li)專(zhuan)項(xiang)活動(dong)有關(guan)事(shi)項(xiang)公(gong)(gong)告》《關(guan)于開展加強(qiang)上(shang)市(shi)公(gong)(gong)司治(zhi)理(li)專(zhuan)項(xiang)活動(dong)有關(guan)事(shi)項(xiang)的(de)通(tong)知(zhi)》等(deng)階(jie)段性(xing)工(gong)作安(an)排(pai)(pai)的(de)通(tong)知(zhi)文件，其具體要求(qiu)已在監管(guan)實踐(jian)(jian)和其他(ta)規(gui)則中(zhong)予以(yi)落實；《關(guan)于規(gui)范上(shang)市(shi)公(gong)(gong)司信息披露及相關(guan)各方行為的(de)通(tong)知(zhi)》《關(guan)于上(shang)市(shi)公(gong)(gong)司立案稽(ji)查及信息披露有關(guan)事(shi)項(xiang)的(de)通(tong)知(zhi)》發(fa)布時間較早，與(yu)后(hou)續出臺的(de)新規(gui)則和實踐(jian)(jian)做法存在矛盾。

　　五是對于修訂不久或使用(yong)(yong)(yong)效果良(liang)好(hao)的(de)(de)部分規則(ze)，本次不修改內容，僅做編號等處理，便于市場查找使用(yong)(yong)(yong)。如《〈上(shang)(shang)市公(gong)司收購管理辦(ban)(ban)法(fa)(fa)(fa)〉第(di)(di)(di)六十二(er)條、第(di)(di)(di)六十三條及〈上(shang)(shang)市公(gong)司重大(da)資產重組管理辦(ban)(ban)法(fa)(fa)(fa)〉第(di)(di)(di)四(si)十六條有關(guan)(guan)限(xian)制股(gu)(gu)份轉(zhuan)讓的(de)(de)適用(yong)(yong)(yong)意(yi)見(jian)——證(zheng)券期貨(huo)(huo)法(fa)(fa)(fa)律適用(yong)(yong)(yong)意(yi)見(jian)第(di)(di)(di)4號》《〈上(shang)(shang)市公(gong)司收購管理辦(ban)(ban)法(fa)(fa)(fa)〉第(di)(di)(di)七(qi)十四(si)條有關(guan)(guan)通過集(ji)中競價交易方式增持上(shang)(shang)市公(gong)司股(gu)(gu)份的(de)(de)收購完成時點認(ren)定的(de)(de)適用(yong)(yong)(yong)意(yi)見(jian)——證(zheng)券期貨(huo)(huo)法(fa)(fa)(fa)律適用(yong)(yong)(yong)意(yi)見(jian)第(di)(di)(di)9號》等為(wei)近(jin)兩年新(xin)修訂規則(ze)；《上(shang)(shang)市公(gong)司董事(shi)長(chang)談(tan)話制度實(shi)(shi)施辦(ban)(ban)法(fa)(fa)(fa)》在實(shi)(shi)踐中適用(yong)(yong)(yong)情況良(liang)好(hao)，對其僅重新(xin)命名編號為(wei)《上(shang)(shang)市公(gong)司監管指引第(di)(di)(di)6號——上(shang)(shang)市公(gong)司董事(shi)長(chang)談(tan)話制度實(shi)(shi)施辦(ban)(ban)法(fa)(fa)(fa)》，內容保持不變。

　　證監會(hui)表示，歡迎社(she)會(hui)各界(jie)提出寶貴(gui)意見(jian)，將根據(ju)公開征求(qiu)意見(jian)的反饋情況，進一步修改(gai)并在履行程序后(hou)盡快發布實(shi)施。