中(zhong)證(zheng)網訊（記(ji)者 昝(zan)秀麗）證(zheng)監(jian)會6月21日(ri)消(xiao)息，近日(ri)，證(zheng)監(jian)會發(fa)布(bu)《關(guan)于注冊制下提高中(zhong)介機構債券(quan)業務執(zhi)業質量的(de)指導意見(jian)(jian)》（以(yi)下簡稱《中(zhong)介機構債券(quan)執(zhi)業指導意見(jian)(jian)》）。

　　《中(zhong)介(jie)(jie)機(ji)(ji)構(gou)債券(quan)執業指導意見》遵循債券(quan)市場發(fa)展規律，加(jia)(jia)(jia)強(qiang)(qiang)(qiang)(qiang)(qiang)監(jian)管(guan)(guan)(guan)(guan)(guan)，壓實責(ze)(ze)任，明確(que)了服務(wu)(wu)(wu)高(gao)質量發(fa)展、強(qiang)(qiang)(qiang)(qiang)(qiang)化(hua)(hua)履職(zhi)盡(jin)責(ze)(ze)、深化(hua)(hua)分(fen)類監(jian)管(guan)(guan)(guan)(guan)(guan)、嚴格監(jian)管(guan)(guan)(guan)(guan)(guan)執法等(deng)4方面原則(ze)，并提出了5個方面共14條措施(shi)：一(yi)是(shi)強(qiang)(qiang)(qiang)(qiang)(qiang)化(hua)(hua)承(cheng)銷受托業務(wu)(wu)(wu)執業規范。完善以發(fa)行(xing)(xing)人(ren)質量為導向的盡(jin)職(zhi)調查(cha)體(ti)系，強(qiang)(qiang)(qiang)(qiang)(qiang)化(hua)(hua)主(zhu)承(cheng)銷商督促發(fa)行(xing)(xing)人(ren)提升信息披(pi)露質量職(zhi)責(ze)(ze)，加(jia)(jia)(jia)強(qiang)(qiang)(qiang)(qiang)(qiang)承(cheng)銷環節全過程規范管(guan)(guan)(guan)(guan)(guan)理(li)(li)；增強(qiang)(qiang)(qiang)(qiang)(qiang)受托管(guan)(guan)(guan)(guan)(guan)理(li)(li)機(ji)(ji)構(gou)持(chi)續跟(gen)蹤監(jian)測和主(zhu)動管(guan)(guan)(guan)(guan)(guan)理(li)(li)義(yi)務(wu)(wu)(wu)等(deng)。二是(shi)提升證(zheng)券(quan)服務(wu)(wu)(wu)機(ji)(ji)構(gou)執業質量。明確(que)提高(gao)會計師事務(wu)(wu)(wu)所、律師事務(wu)(wu)(wu)所、信用(yong)評級(ji)、資產(chan)評估等(deng)執業質量監(jian)管(guan)(guan)(guan)(guan)(guan)要求(qiu)，實現(xian)中(zhong)介(jie)(jie)機(ji)(ji)構(gou)債券(quan)業務(wu)(wu)(wu)全覆蓋。三是(shi)強(qiang)(qiang)(qiang)(qiang)(qiang)化(hua)(hua)質控、廉潔要求(qiu)和投資者(zhe)保(bao)護。強(qiang)(qiang)(qiang)(qiang)(qiang)化(hua)(hua)內控部(bu)門對業務(wu)(wu)(wu)前(qian)臺的有效制衡，突出防范債券(quan)發(fa)行(xing)(xing)中(zhong)商業賄賂、不當承(cheng)諾等(deng)廉潔風險點，加(jia)(jia)(jia)強(qiang)(qiang)(qiang)(qiang)(qiang)對發(fa)行(xing)(xing)人(ren)和投資者(zhe)教育與保(bao)護。四是(shi)依法加(jia)(jia)(jia)強(qiang)(qiang)(qiang)(qiang)(qiang)監(jian)管(guan)(guan)(guan)(guan)(guan)。完善監(jian)管(guan)(guan)(guan)(guan)(guan)制度規則(ze)，加(jia)(jia)(jia)強(qiang)(qiang)(qiang)(qiang)(qiang)中(zhong)介(jie)(jie)機(ji)(ji)構(gou)檢查(cha)督導，強(qiang)(qiang)(qiang)(qiang)(qiang)化(hua)(hua)債券(quan)承(cheng)銷分(fen)類管(guan)(guan)(guan)(guan)(guan)理(li)(li)。五(wu)是(shi)完善立體(ti)追(zhui)責(ze)(ze)體(ti)系。強(qiang)(qiang)(qiang)(qiang)(qiang)化(hua)(hua)行(xing)(xing)政追(zhui)責(ze)(ze)，推動行(xing)(xing)政追(zhui)責(ze)(ze)和司法追(zhui)責(ze)(ze)的高(gao)效聯動。

　　證(zheng)監會表示，下一(yi)步(bu)將扎(zha)實推(tui)進(jin)債券(quan)注(zhu)冊(ce)(ce)制(zhi)(zhi)改革走深走實，加快完善公司(si)（企業）債券(quan)制(zhi)(zhi)度(du)規(gui)則體(ti)系，持續(xu)推(tui)進(jin)審核注(zhu)冊(ce)(ce)工(gong)作制(zhi)(zhi)度(du)化(hua)(hua)、規(gui)范(fan)化(hua)(hua)和(he)(he)透明化(hua)(hua)，強化(hua)(hua)債券(quan)全鏈條(tiao)監管和(he)(he)風險防范(fan)，全面深化(hua)(hua)債券(quan)市場(chang)功能，更好支(zhi)持國家重(zhong)大戰(zhan)略實施和(he)(he)重(zhong)大項目建(jian)設(she)，助力建(jian)設(she)現代化(hua)(hua)產業體(ti)系和(he)(he)實體(ti)經濟高質(zhi)量發展。