中證(zheng)網(wang)訊（記者 昝秀麗）證(zheng)監(jian)會8月4日(ri)消息，為貫徹(che)落實《國務院(yuan)辦公(gong)廳(ting)關于(yu)上市公(gong)司(si)獨(du)(du)立董事制度改革的意見》（以下簡(jian)稱《意見》），優化上市公(gong)司(si)獨(du)(du)立董事制度，證(zheng)監(jian)會近日(ri)發布《上市公(gong)司(si)獨(du)(du)立董事管理辦法》（以下簡(jian)稱《獨(du)(du)董辦法》），自(zi)2023年9月4日(ri)起施(shi)行(xing)。

　　《獨董辦法》自2023年(nian)4月(yue)14日(ri)至5月(yue)14日(ri)向社會公開征求意(yi)見。社會各界(jie)對規則(ze)內容總體支持(chi)，提出的修改完善意(yi)見建(jian)議，證監(jian)會逐條研究(jiu)，認真(zhen)吸收采(cai)納(na)，并相(xiang)應修改了(le)規章內容。

　　修改完善后的(de)(de)(de)《獨(du)(du)(du)(du)(du)(du)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)辦法》共(gong)六(liu)章四十八條，主要(yao)包(bao)括(kuo)以(yi)(yi)下內(nei)容：一(yi)(yi)是(shi)明(ming)(ming)(ming)(ming)確(que)獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)的(de)(de)(de)任職(zhi)(zhi)(zhi)(zhi)資格(ge)與(yu)任免程序。細化(hua)獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)性(xing)(xing)判斷標(biao)準，并對擔(dan)(dan)任獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)所(suo)應(ying)具備(bei)的(de)(de)(de)專(zhuan)業知識、工(gong)作經驗(yan)和(he)(he)(he)良好品(pin)德作出具體規(gui)定。改善選(xuan)任制度(du)，從提(ti)(ti)(ti)名(ming)(ming)、資格(ge)審查、選(xuan)舉、持續管(guan)理(li)、解聘等(deng)方(fang)(fang)面全(quan)鏈條優(you)化(hua)獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)選(xuan)任機(ji)制，建立(li)(li)(li)(li)(li)(li)(li)提(ti)(ti)(ti)名(ming)(ming)回避機(ji)制、獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)資格(ge)認定制度(du)等(deng)。明(ming)(ming)(ming)(ming)確(que)獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)原則(ze)上最多在三家(jia)境(jing)內(nei)上市公司(si)(si)(si)擔(dan)(dan)任獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)的(de)(de)(de)兼(jian)職(zhi)(zhi)(zhi)(zhi)要(yao)求(qiu)(qiu)。二是(shi)明(ming)(ming)(ming)(ming)確(que)獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)的(de)(de)(de)職(zhi)(zhi)(zhi)(zhi)責(ze)及(ji)履(lv)(lv)職(zhi)(zhi)(zhi)(zhi)方(fang)(fang)式。獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)履(lv)(lv)行(xing)(xing)參與(yu)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)會(hui)(hui)決(jue)(jue)策、對潛在重大(da)利(li)(li)益(yi)沖突事(shi)(shi)項(xiang)進行(xing)(xing)監督(du)、對公司(si)(si)(si)經營發展提(ti)(ti)(ti)供專(zhuan)業建議(yi)等(deng)三項(xiang)職(zhi)(zhi)(zhi)(zhi)責(ze)，并可以(yi)(yi)行(xing)(xing)使獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)聘請中介機(ji)構(gou)等(deng)特別職(zhi)(zhi)(zhi)(zhi)權。聚(ju)焦(jiao)決(jue)(jue)策職(zhi)(zhi)(zhi)(zhi)責(ze)，從董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)會(hui)(hui)會(hui)(hui)議(yi)會(hui)(hui)前、會(hui)(hui)中、會(hui)(hui)后全(quan)環節，提(ti)(ti)(ti)出獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)參與(yu)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)會(hui)(hui)會(hui)(hui)議(yi)的(de)(de)(de)相關要(yao)求(qiu)(qiu)。明(ming)(ming)(ming)(ming)確(que)獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)通過獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)專(zhuan)門會(hui)(hui)議(yi)及(ji)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)會(hui)(hui)專(zhuan)門委員(yuan)(yuan)會(hui)(hui)等(deng)平(ping)臺對潛在重大(da)利(li)(li)益(yi)沖突事(shi)(shi)項(xiang)進行(xing)(xing)監督(du)。要(yao)求(qiu)(qiu)獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)每年在上市公司(si)(si)(si)的(de)(de)(de)現場工(gong)作時間(jian)不(bu)(bu)少于十五(wu)日，并應(ying)當(dang)制作工(gong)作記錄(lu)等(deng)。三是(shi)明(ming)(ming)(ming)(ming)確(que)履(lv)(lv)職(zhi)(zhi)(zhi)(zhi)保障(zhang)。健全(quan)履(lv)(lv)職(zhi)(zhi)(zhi)(zhi)保障(zhang)機(ji)制，上市公司(si)(si)(si)應(ying)當(dang)為獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)履(lv)(lv)行(xing)(xing)職(zhi)(zhi)(zhi)(zhi)責(ze)提(ti)(ti)(ti)供必要(yao)的(de)(de)(de)工(gong)作條件和(he)(he)(he)人員(yuan)(yuan)支持。健全(quan)獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)履(lv)(lv)職(zhi)(zhi)(zhi)(zhi)受限(xian)(xian)救濟機(ji)制，獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)履(lv)(lv)職(zhi)(zhi)(zhi)(zhi)遭遇阻(zu)礙的(de)(de)(de)，可以(yi)(yi)向(xiang)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)會(hui)(hui)說(shuo)明(ming)(ming)(ming)(ming)情(qing)況(kuang)，要(yao)求(qiu)(qiu)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)、高級管(guan)理(li)人員(yuan)(yuan)等(deng)予(yu)以(yi)(yi)配合(he)，仍不(bu)(bu)能消除阻(zu)礙的(de)(de)(de)，可以(yi)(yi)向(xiang)中國(guo)證監會(hui)(hui)和(he)(he)(he)證券(quan)交(jiao)易所(suo)報(bao)告(gao)。四是(shi)明(ming)(ming)(ming)(ming)確(que)法律責(ze)任。按照(zhao)責(ze)權利(li)(li)匹配原則(ze)，針對性(xing)(xing)細化(hua)獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)責(ze)任認定考(kao)慮因素及(ji)不(bu)(bu)予(yu)處(chu)罰情(qing)形(xing)，體現過罰相當(dang)、精準追責(ze)。五(wu)是(shi)明(ming)(ming)(ming)(ming)確(que)過渡期(qi)(qi)安排。對上市公司(si)(si)(si)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)會(hui)(hui)及(ji)專(zhuan)門委員(yuan)(yuan)會(hui)(hui)的(de)(de)(de)設置、獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)專(zhuan)門會(hui)(hui)議(yi)機(ji)制、獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)的(de)(de)(de)獨(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)(li)(li)(li)性(xing)(xing)、任職(zhi)(zhi)(zhi)(zhi)條件、任職(zhi)(zhi)(zhi)(zhi)期(qi)(qi)限(xian)(xian)及(ji)兼(jian)職(zhi)(zhi)(zhi)(zhi)家(jia)數等(deng)事(shi)(shi)項(xiang)設置一(yi)(yi)年的(de)(de)(de)過渡期(qi)(qi)。過渡期(qi)(qi)內(nei)，上述(shu)事(shi)(shi)項(xiang)與(yu)《獨(du)(du)(du)(du)(du)(du)董(dong)(dong)(dong)(dong)(dong)(dong)(dong)辦法》不(bu)(bu)一(yi)(yi)致的(de)(de)(de)，應(ying)當(dang)逐步調(diao)整至(zhi)符(fu)合(he)規(gui)定。

　　證(zheng)監(jian)會表示，下一步將指導證(zheng)券(quan)交(jiao)易(yi)所、中(zhong)國上市公司協會建立健全獨(du)立董(dong)事資格認(ren)定、信息庫、履職評(ping)價(jia)等配套機(ji)制，加大(da)培訓力度，引導各類(lei)主(zhu)體掌握改革新要求。同(tong)時，持續強化上市公司獨(du)立董(dong)事監(jian)管，督促(cu)和(he)保障獨(du)立董(dong)事發(fa)揮(hui)應有作用。