中(zhong)證(zheng)網訊（記者 昝(zan)秀麗）2月17日，中(zhong)國(guo)證(zheng)監會(hui)發(fa)布(bu)全面(mian)實行(xing)股(gu)票發(fa)行(xing)注(zhu)冊(ce)制相關制度規則，自公布(bu)之日起(qi)施行(xing)。證(zheng)券交易所、全國(guo)股(gu)轉公司、中(zhong)國(guo)結算(suan)、中(zhong)證(zheng)金融、證(zheng)券業協會(hui)配套制度規則同步發(fa)布(bu)實施。

　　全(quan)面實(shi)(shi)行注(zhu)冊(ce)(ce)制(zhi)(zhi)是涉(she)及資本(ben)市場(chang)全(quan)局(ju)的重(zhong)大改(gai)革。在(zai)各方共同努力(li)下，科創板、創業板和(he)(he)北交所試點(dian)注(zhu)冊(ce)(ce)制(zhi)(zhi)總體上是成功的，主要制(zhi)(zhi)度(du)規則經受住了市場(chang)檢驗(yan)，改(gai)革成效得到了市場(chang)認可。這次(ci)全(quan)面實(shi)(shi)行注(zhu)冊(ce)(ce)制(zhi)(zhi)制(zhi)(zhi)度(du)規則的發布(bu)實(shi)(shi)施，標志著注(zhu)冊(ce)(ce)制(zhi)(zhi)的制(zhi)(zhi)度(du)安排(pai)基本(ben)定型，標志著注(zhu)冊(ce)(ce)制(zhi)(zhi)推廣到全(quan)市場(chang)和(he)(he)各類公(gong)開發行股票行為，在(zai)中國(guo)資本(ben)市場(chang)改(gai)革發展進程中具有里(li)程碑意義。

　　此次發布的(de)(de)制(zhi)(zhi)度規(gui)則(ze)(ze)共(gong)165部，其中證(zheng)監(jian)(jian)(jian)(jian)會(hui)(hui)(hui)發布的(de)(de)制(zhi)(zhi)度規(gui)則(ze)(ze)57部，證(zheng)券(quan)交(jiao)易(yi)所(suo)(suo)、全國(guo)股(gu)轉(zhuan)公(gong)司、中國(guo)結算等發布的(de)(de)配套制(zhi)(zhi)度規(gui)則(ze)(ze)108部。內容(rong)(rong)涵蓋發行(xing)(xing)(xing)(xing)(xing)條(tiao)件、注(zhu)冊(ce)程(cheng)序、保(bao)薦(jian)(jian)承(cheng)(cheng)銷(xiao)、重大(da)(da)資(zi)產重組(zu)(zu)、監(jian)(jian)(jian)(jian)管(guan)執法(fa)、投(tou)資(zi)者(zhe)保(bao)護等各(ge)個方面。主要內容(rong)(rong)包括：一(yi)是(shi)(shi)精簡優(you)(you)化(hua)(hua)發行(xing)(xing)(xing)(xing)(xing)上市(shi)條(tiao)件。堅(jian)持以信(xin)息披(pi)(pi)露為(wei)核(he)(he)心，將核(he)(he)準制(zhi)(zhi)下的(de)(de)發行(xing)(xing)(xing)(xing)(xing)條(tiao)件盡可能轉(zhuan)化(hua)(hua)為(wei)信(xin)息披(pi)(pi)露要求。各(ge)市(shi)場板塊(kuai)設置多元包容(rong)(rong)的(de)(de)上市(shi)條(tiao)件。二是(shi)(shi)完(wan)善(shan)審(shen)(shen)核(he)(he)注(zhu)冊(ce)程(cheng)序。堅(jian)持證(zheng)券(quan)交(jiao)易(yi)所(suo)(suo)審(shen)(shen)核(he)(he)和證(zheng)監(jian)(jian)(jian)(jian)會(hui)(hui)(hui)注(zhu)冊(ce)各(ge)有(you)側重、相互銜接的(de)(de)基本架構(gou)，進一(yi)步明晰證(zheng)券(quan)交(jiao)易(yi)所(suo)(suo)和證(zheng)監(jian)(jian)(jian)(jian)會(hui)(hui)(hui)的(de)(de)職責分(fen)工，提高審(shen)(shen)核(he)(he)注(zhu)冊(ce)效率(lv)和可預期性(xing)。證(zheng)券(quan)交(jiao)易(yi)所(suo)(suo)審(shen)(shen)核(he)(he)過程(cheng)中發現重大(da)(da)敏感事(shi)項、重大(da)(da)無先例情況、重大(da)(da)輿情、重大(da)(da)違法(fa)線索的(de)(de)，及(ji)時(shi)(shi)向證(zheng)監(jian)(jian)(jian)(jian)會(hui)(hui)(hui)請(qing)示報告。證(zheng)監(jian)(jian)(jian)(jian)會(hui)(hui)(hui)同(tong)步關注(zhu)發行(xing)(xing)(xing)(xing)(xing)人(ren)是(shi)(shi)否符(fu)合國(guo)家產業(ye)(ye)政策(ce)和板塊(kuai)定位。同(tong)時(shi)(shi)，取消證(zheng)監(jian)(jian)(jian)(jian)會(hui)(hui)(hui)發行(xing)(xing)(xing)(xing)(xing)審(shen)(shen)核(he)(he)委員會(hui)(hui)(hui)和上市(shi)公(gong)司并(bing)購(gou)重組(zu)(zu)審(shen)(shen)核(he)(he)委員會(hui)(hui)(hui)。三是(shi)(shi)優(you)(you)化(hua)(hua)發行(xing)(xing)(xing)(xing)(xing)承(cheng)(cheng)銷(xiao)制(zhi)(zhi)度。對新股(gu)發行(xing)(xing)(xing)(xing)(xing)價格、規(gui)模等不設任(ren)何行(xing)(xing)(xing)(xing)(xing)政性(xing)限制(zhi)(zhi)，完(wan)善(shan)以機構(gou)投(tou)資(zi)者(zhe)為(wei)參與(yu)主體的(de)(de)詢價、定價、配售等機制(zhi)(zhi)。四是(shi)(shi)完(wan)善(shan)上市(shi)公(gong)司重大(da)(da)資(zi)產重組(zu)(zu)制(zhi)(zhi)度。各(ge)市(shi)場板塊(kuai)上市(shi)公(gong)司發行(xing)(xing)(xing)(xing)(xing)股(gu)份購(gou)買資(zi)產統(tong)一(yi)實行(xing)(xing)(xing)(xing)(xing)注(zhu)冊(ce)制(zhi)(zhi)，完(wan)善(shan)重組(zu)(zu)認定標準和定價機制(zhi)(zhi)，強化(hua)(hua)對重組(zu)(zu)活動的(de)(de)事(shi)中事(shi)后監(jian)(jian)(jian)(jian)管(guan)。五是(shi)(shi)強化(hua)(hua)監(jian)(jian)(jian)(jian)管(guan)執法(fa)和投(tou)資(zi)者(zhe)保(bao)護。依法(fa)從(cong)嚴打擊(ji)證(zheng)券(quan)發行(xing)(xing)(xing)(xing)(xing)、保(bao)薦(jian)(jian)承(cheng)(cheng)銷(xiao)等過程(cheng)中的(de)(de)違法(fa)行(xing)(xing)(xing)(xing)(xing)為(wei)。細化(hua)(hua)責令回購(gou)制(zhi)(zhi)度安(an)排(pai)(pai)。此外，全國(guo)股(gu)轉(zhuan)公(gong)司注(zhu)冊(ce)制(zhi)(zhi)有(you)關安(an)排(pai)(pai)與(yu)證(zheng)券(quan)交(jiao)易(yi)所(suo)(suo)總體一(yi)致，并(bing)基于(yu)中小企(qi)業(ye)(ye)特點作出差異化(hua)(hua)安(an)排(pai)(pai)。

　　證監(jian)(jian)會黨委和(he)中(zhong)央紀委國家監(jian)(jian)委駐證監(jian)(jian)會紀檢(jian)監(jian)(jian)察組將以(yi)強(qiang)(qiang)(qiang)有力監(jian)(jian)督打造(zao)廉潔(jie)的(de)注冊制。在制度規則層面，健全覆蓋發(fa)行、上市(shi)、再融資、并購重組、退市(shi)、監(jian)(jian)管(guan)執(zhi)法等(deng)各環節(jie)全流程的(de)監(jian)(jian)督制約機制，強(qiang)(qiang)(qiang)化(hua)關鍵崗位人員廉政風(feng)險防范，加強(qiang)(qiang)(qiang)行業(ye)廉潔(jie)從業(ye)監(jian)(jian)管(guan)。完善對(dui)證券(quan)交易所、全國股轉公司的(de)抵近式監(jian)(jian)督和(he)對(dui)發(fa)行審核注冊的(de)嵌入式監(jian)(jian)督，對(dui)資本市(shi)場領域腐(fu)敗“零容忍”，持之(zhi)以(yi)恒(heng)正風(feng)肅紀。

　　全面(mian)實行(xing)注冊制制度(du)規則(ze)公(gong)開征求意(yi)見(jian)(jian)(jian)期間，證(zheng)監(jian)會通過郵件、信函、網(wang)絡留言等(deng)多種渠道(dao)廣泛(fan)聽取市場機構(gou)、專家(jia)學者、社(she)會公(gong)眾等(deng)方(fang)面(mian)的(de)(de)意(yi)見(jian)(jian)(jian)建(jian)議(yi)(yi)。證(zheng)監(jian)會對社(she)會各(ge)界提出的(de)(de)意(yi)見(jian)(jian)(jian)建(jian)議(yi)(yi)高度(du)重(zhong)(zhong)視，逐日匯總整理，逐條(tiao)認(ren)真研(yan)究。截(jie)至2月16日，共收(shou)到(dao)意(yi)見(jian)(jian)(jian)447條(tiao)，采(cai)納89條(tiao)，主要(yao)涉(she)及加大違法(fa)(fa)違規行(xing)為懲(cheng)戒力(li)度(du)、明確獨立財務顧問(wen)的(de)(de)履職范圍、完善非上(shang)市公(gong)眾公(gong)司控股(gu)(gu)股(gu)(gu)東(dong)和實際(ji)控制人(ren)在(zai)重(zhong)(zhong)大資產重(zhong)(zhong)組中(zhong)(zhong)的(de)(de)法(fa)(fa)律責任規定等(deng)方(fang)面(mian)。未(wei)采(cai)納的(de)(de)意(yi)見(jian)(jian)(jian)中(zhong)(zhong)，有的(de)(de)屬(shu)于(yu)操作層面(mian)的(de)(de)問(wen)題，將(jiang)(jiang)在(zai)具體工作中(zhong)(zhong)予以落實；有的(de)(de)屬(shu)于(yu)規則(ze)理解問(wen)題，將(jiang)(jiang)通過宣傳解讀、行(xing)業培(pei)訓等(deng)方(fang)式予以明確；有的(de)(de)存(cun)在(zai)較(jiao)大爭議(yi)(yi)，需(xu)要(yao)進一步研(yan)究論證(zheng)；還有的(de)(de)缺乏上(shang)位(wei)法(fa)(fa)依據，已在(zai)相關立法(fa)(fa)說明中(zhong)(zhong)做了解釋。