上(shang)(shang)證報中國證券網訊 云(yun)南(nan)省人民政府辦公(gong)廳(ting)近日印發《云(yun)南(nan)省推(tui)(tui)動提高上(shang)(shang)市(shi)公(gong)司(si)(si)(si)質量三(san)年行動方案（2023—2025年）》。其中明確(que)，穩妥化解上(shang)(shang)市(shi)公(gong)司(si)(si)(si)風(feng)(feng)險(xian)。支持(chi)上(shang)(shang)市(shi)公(gong)司(si)(si)(si)通(tong)過并購(gou)重(zhong)(zhong)(zhong)組、破產(chan)重(zhong)(zhong)(zhong)整等方式出清風(feng)(feng)險(xian)，全力(li)推(tui)(tui)動高風(feng)(feng)險(xian)上(shang)(shang)市(shi)公(gong)司(si)(si)(si)重(zhong)(zhong)(zhong)組工作，支持(chi)屬地或省內優質資產(chan)通(tong)過重(zhong)(zhong)(zhong)組方式進(jin)入上(shang)(shang)市(shi)公(gong)司(si)(si)(si)。

　　全文如下：

　　云南省推動提高上市公司質量三年行動方案

　　（2023—2025年）

　　為深化對現代(dai)資本市(shi)(shi)(shi)場的規律認識和(he)實踐把握，推動(dong)我省上市(shi)(shi)(shi)公(gong)司(si)質量(liang)向更高水(shui)平躍進，增強上市(shi)(shi)(shi)公(gong)司(si)支撐我省經(jing)濟(ji)社會高質量(liang)發展能力，制定本方案。

　　一、總體要求

　　以習近(jin)(jin)平(ping)新時代(dai)中(zhong)國特色社(she)會主義思想為指(zhi)導，全(quan)面貫(guan)徹(che)(che)(che)黨的二十大精神，深入貫(guan)徹(che)(che)(che)習近(jin)(jin)平(ping)總(zong)書記(ji)對資本市(shi)場(chang)重(zhong)要(yao)指(zhi)示批(pi)示和考察(cha)云南(nan)重(zhong)要(yao)講(jiang)話精神，完整、準確、全(quan)面貫(guan)徹(che)(che)(che)新發(fa)展(zhan)理念(nian)，積極(ji)服務和融入新發(fa)展(zhan)格局，堅持(chi)市(shi)場(chang)化、法(fa)治化方向，堅持(chi)問題導向、凝聚各方力(li)(li)(li)量，促進我(wo)省上市(shi)公(gong)司(si)提升規范運作(zuo)水平(ping)、改(gai)善信息披(pi)露質量、不斷做大做優做強，推動(dong)上市(shi)公(gong)司(si)治理能(neng)(neng)力(li)(li)(li)、競爭能(neng)(neng)力(li)(li)(li)、創新能(neng)(neng)力(li)(li)(li)、回(hui)報能(neng)(neng)力(li)(li)(li)、抗風(feng)險(xian)能(neng)(neng)力(li)(li)(li)顯著提高。

　　到(dao)2025年，全(quan)省(sheng)上市公司(si)實現提質增量(liang)，支撐全(quan)省(sheng)經濟社會高(gao)質量(liang)發(fa)展的能力明顯增強(qiang)。

　　二、主要任務

　　（一）推(tui)(tui)動更(geng)多優質企(qi)(qi)業(ye)(ye)上(shang)市(shi)(shi)(shi)(shi)。貫徹落實(shi)全面實(shi)行股票發(fa)行注冊(ce)制(zhi)改革(ge)，做(zuo)好政(zheng)(zheng)(zheng)策宣(xuan)傳(chuan)培訓等(deng)工作(zuo)。實(shi)施(shi)企(qi)(qi)業(ye)(ye)上(shang)市(shi)(shi)(shi)(shi)倍(bei)(bei)增計劃，圍繞我(wo)省(sheng)“3815”戰略發(fa)展目(mu)標，大力培育我(wo)省(sheng)上(shang)市(shi)(shi)(shi)(shi)后備(bei)企(qi)(qi)業(ye)(ye)，對擬(ni)上(shang)市(shi)(shi)(shi)(shi)的國家級專(zhuan)精特(te)新(xin)(xin)企(qi)(qi)業(ye)(ye)、“卡脖子(zi)”領域企(qi)(qi)業(ye)(ye)、關鍵核心高科技(ji)企(qi)(qi)業(ye)(ye)等(deng)精準(zhun)開展上(shang)市(shi)(shi)(shi)(shi)政(zheng)(zheng)(zheng)策宣(xuan)講、專(zhuan)題培訓，做(zuo)好梯(ti)隊建(jian)設，分類指導。著(zhu)力推(tui)(tui)動新(xin)(xin)能源、新(xin)(xin)材(cai)料、生物(wu)醫藥、高端裝備(bei)制(zhi)造等(deng)先進制(zhi)造業(ye)(ye)和科技(ji)創新(xin)(xin)型企(qi)(qi)業(ye)(ye)、專(zhuan)精特(te)新(xin)(xin)“小巨人”企(qi)(qi)業(ye)(ye)、現代(dai)服務(wu)業(ye)(ye)領軍企(qi)(qi)業(ye)(ye)、文旅康(kang)養(yang)及交(jiao)通物(wu)流企(qi)(qi)業(ye)(ye)等(deng)上(shang)市(shi)(shi)(shi)(shi)。健全與(yu)滬(hu)深北證券交(jiao)易所常態化工作(zuo)聯絡(luo)機制(zhi)，加大上(shang)市(shi)(shi)(shi)(shi)推(tui)(tui)動力度。建(jian)立“引進上(shang)市(shi)(shi)(shi)(shi)公(gong)司事(shi)前評估(gu)會商”工作(zuo)機制(zhi)，強化對上(shang)市(shi)(shi)(shi)(shi)公(gong)司遷(qian)址事(shi)項的事(shi)前盡職調查和風險管控(kong)，防范“輸入型風險”。建(jian)立上(shang)市(shi)(shi)(shi)(shi)公(gong)司外遷(qian)快速報告(gao)及處理機制(zhi)。（責任單位(wei)：省(sheng)推(tui)(tui)進企(qi)(qi)業(ye)(ye)上(shang)市(shi)(shi)(shi)(shi)倍(bei)(bei)增工作(zuo)領導小組(zu)各(ge)成員單位(wei)，各(ge)州、市(shi)(shi)(shi)(shi)人民政(zheng)(zheng)(zheng)府。以下(xia)均需各(ge)州、市(shi)(shi)(shi)(shi)人民政(zheng)(zheng)(zheng)府落實(shi)，不再列出）

　　（二）深化上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)治(zhi)(zhi)(zhi)理(li)(li)(li)(li)。加強對“關鍵(jian)少數(shu)”在公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)治(zhi)(zhi)(zhi)理(li)(li)(li)(li)方面(mian)的(de)(de)(de)培訓，規(gui)范(fan)上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)實際控(kong)(kong)制(zhi)(zhi)人(ren)(ren)、控(kong)(kong)股(gu)(gu)股(gu)(gu)東、董事(shi)(shi)、監(jian)事(shi)(shi)、高(gao)級管理(li)(li)(li)(li)人(ren)(ren)員等在公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)治(zhi)(zhi)(zhi)理(li)(li)(li)(li)和(he)內部(bu)控(kong)(kong)制(zhi)(zhi)中的(de)(de)(de)行為，督促(cu)提高(gao)治(zhi)(zhi)(zhi)理(li)(li)(li)(li)能(neng)力。鞏(gong)固上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)治(zhi)(zhi)(zhi)理(li)(li)(li)(li)專項行動成(cheng)果，推動上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)進一步完(wan)善(shan)治(zhi)(zhi)(zhi)理(li)(li)(li)(li)制(zhi)(zhi)度規(gui)則，健全(quan)內控(kong)(kong)制(zhi)(zhi)度，實施(shi)內部(bu)控(kong)(kong)制(zhi)(zhi)審計，提高(gao)上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)法治(zhi)(zhi)(zhi)化水平和(he)風險防控(kong)(kong)能(neng)力，引導上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)形(xing)成(cheng)一套(tao)符合(he)實際、行之有(you)效的(de)(de)(de)治(zhi)(zhi)(zhi)理(li)(li)(li)(li)機制(zhi)(zhi)。支持上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)實施(shi)股(gu)(gu)權(quan)激(ji)勵(li)(li)、員工持股(gu)(gu)計劃，建立健全(quan)管理(li)(li)(li)(li)層和(he)員工利益與(yu)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)長遠(yuan)利益相結合(he)的(de)(de)(de)激(ji)勵(li)(li)約束機制(zhi)(zhi)。引導各類主體有(you)效參與(yu)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)治(zhi)(zhi)(zhi)理(li)(li)(li)(li)，促(cu)進機構(gou)投(tou)資者(zhe)、投(tou)資者(zhe)服務中心積極參與(yu)上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)重大事(shi)(shi)項決(jue)策。著力解決(jue)治(zhi)(zhi)(zhi)理(li)(li)(li)(li)領(ling)域(yu)突出(chu)問題，督促(cu)相關方認真履行承諾，嚴肅處理(li)(li)(li)(li)違反承諾的(de)(de)(de)責(ze)任(ren)主體。向上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)、大股(gu)(gu)東及實際控(kong)(kong)制(zhi)(zhi)人(ren)(ren)宣介關于“規(gui)范(fan)運作存在重大缺陷”的(de)(de)(de)強制(zhi)(zhi)退市(shi)(shi)(shi)規(gui)定，整治(zhi)(zhi)(zhi)控(kong)(kong)制(zhi)(zhi)權(quan)爭奪中的(de)(de)(de)亂象。國(guo)資監(jian)管機構(gou)要(yao)將國(guo)有(you)控(kong)(kong)股(gu)(gu)上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)的(de)(de)(de)內部(bu)控(kong)(kong)制(zhi)(zhi)、信息(xi)披露及主要(yao)經(jing)營指標完(wan)成(cheng)情況與(yu)省屬(shu)企業(ye)負責(ze)人(ren)(ren)薪酬(chou)掛(gua)鉤，科學界(jie)定國(guo)有(you)控(kong)(kong)股(gu)(gu)上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)各治(zhi)(zhi)(zhi)理(li)(li)(li)(li)主體的(de)(de)(de)權(quan)責(ze)邊(bian)界(jie)，推動健全(quan)國(guo)有(you)控(kong)(kong)股(gu)(gu)上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)(si)治(zhi)(zhi)(zhi)理(li)(li)(li)(li)機制(zhi)(zhi)。（責(ze)任(ren)單位：云南證(zheng)監(jian)局、省國(guo)資委）

　　（三(san)）提(ti)升(sheng)全面注冊制下信(xin)息(xi)披露(lu)(lu)質(zhi)量。督促上(shang)(shang)(shang)(shang)市(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)、股(gu)(gu)東及(ji)相(xiang)(xiang)關信(xin)息(xi)披露(lu)(lu)義務(wu)人(ren)切(qie)實履(lv)行(xing)(xing)責(ze)任，落實真實、準(zhun)確(que)、完整(zheng)、及(ji)時、公(gong)(gong)(gong)(gong)平(ping)的(de)信(xin)息(xi)披露(lu)(lu)要求。做好(hao)上(shang)(shang)(shang)(shang)市(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)的(de)投資者關系管理，常態(tai)化(hua)召開業績說明會(hui)，坦誠面對投資人(ren)、債權(quan)人(ren)和利益(yi)相(xiang)(xiang)關者，積極(ji)配(pei)合回應監管部(bu)門(men)、有(you)(you)關中(zhong)介機構(gou)的(de)訪談要求，提(ti)升(sheng)上(shang)(shang)(shang)(shang)市(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)透明度。加強(qiang)會(hui)計(ji)審計(ji)監管，提(ti)升(sheng)上(shang)(shang)(shang)(shang)市(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)財務(wu)信(xin)息(xi)質(zhi)量，防范編報虛假財務(wu)會(hui)計(ji)信(xin)息(xi)的(de)行(xing)(xing)為(wei)。推(tui)動(dong)上(shang)(shang)(shang)(shang)市(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)積極(ji)披露(lu)(lu)可(ke)持(chi)續(xu)發展（ESG）信(xin)息(xi)，開展優(you)秀典型案例宣傳。各有(you)(you)關部(bu)門(men)和機構(gou)要按照資本市(shi)(shi)場規則，支持(chi)、配(pei)合上(shang)(shang)(shang)(shang)市(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)依法依規履(lv)行(xing)(xing)信(xin)息(xi)披露(lu)(lu)義務(wu)。國資監管機構(gou)要推(tui)動(dong)國有(you)(you)控股(gu)(gu)上(shang)(shang)(shang)(shang)市(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)加強(qiang)與(yu)市(shi)(shi)場溝通，積極(ji)展現企(qi)業價值，參與(yu)建(jian)立具有(you)(you)中(zhong)國特(te)色(se)的(de)估值體系。（責(ze)任單位：云南證監局、省國資委、省工業和信(xin)息(xi)化(hua)廳、省財政廳）

　　（四）支(zhi)持(chi)并(bing)購(gou)(gou)重(zhong)(zhong)組(zu)(zu)提質(zhi)(zhi)增(zeng)效。以(yi)我省(sheng)(sheng)(sheng)戰略性新興產(chan)(chan)業(ye)和(he)(he)優(you)勢產(chan)(chan)業(ye)為重(zhong)(zhong)點，圍(wei)繞建(jian)鏈、強(qiang)鏈、延鏈、補鏈，分行業(ye)支(zhi)持(chi)上(shang)市公(gong)司(si)開展并(bing)購(gou)(gou)重(zhong)(zhong)組(zu)(zu)，打造行業(ye)龍頭企(qi)(qi)業(ye)。鼓勵上(shang)市公(gong)司(si)通過剝離不(bu)良資(zi)(zi)產(chan)(chan)、注入優(you)質(zhi)(zhi)資(zi)(zi)產(chan)(chan)等(deng)方式(shi)，實(shi)(shi)現(xian)質(zhi)(zhi)量(liang)提升和(he)(he)轉(zhuan)型升級。支(zhi)持(chi)符合條件的(de)上(shang)市公(gong)司(si)發行股份購(gou)(gou)買(mai)境內外優(you)質(zhi)(zhi)資(zi)(zi)產(chan)(chan)，引入優(you)質(zhi)(zhi)戰略投(tou)資(zi)(zi)者(zhe)，實(shi)(shi)現(xian)低(di)成本(ben)擴張和(he)(he)產(chan)(chan)業(ye)整合。國(guo)資(zi)(zi)監(jian)(jian)管(guan)機(ji)構(gou)要加快實(shi)(shi)施國(guo)有企(qi)(qi)業(ye)戰略性重(zhong)(zhong)組(zu)(zu)和(he)(he)專業(ye)化整合，打造一批主責主業(ye)更加聚焦、業(ye)務(wu)(wu)結構(gou)更加清(qing)晰、核心能力更加突出的(de)國(guo)有控(kong)股上(shang)市公(gong)司(si)。支(zhi)持(chi)并(bing)購(gou)(gou)基(ji)金、股權投(tou)資(zi)(zi)基(ji)金及(ji)銀行并(bing)購(gou)(gou)貸(dai)款等(deng)參與上(shang)市公(gong)司(si)并(bing)購(gou)(gou)重(zhong)(zhong)組(zu)(zu)。嚴(yan)防并(bing)購(gou)(gou)重(zhong)(zhong)組(zu)(zu)中(zhong)“高估值(zhi)、高承諾、高商譽”情(qing)形(xing)，遏制(zhi)忽悠式(shi)重(zhong)(zhong)組(zu)(zu)、盲(mang)目(mu)跨界重(zhong)(zhong)組(zu)(zu)。重(zhong)(zhong)組(zu)(zu)過程中(zhong)涉(she)及(ji)的(de)稅收問題嚴(yan)格按照有關稅收政策執行。（責任單位(wei)：云(yun)南證監(jian)(jian)局、省(sheng)(sheng)(sheng)工業(ye)和(he)(he)信息化廳、省(sheng)(sheng)(sheng)商務(wu)(wu)廳、省(sheng)(sheng)(sheng)國(guo)資(zi)(zi)委、省(sheng)(sheng)(sheng)市場監(jian)(jian)管(guan)局、省(sheng)(sheng)(sheng)地方金融監(jian)(jian)管(guan)局、省(sheng)(sheng)(sheng)稅務(wu)(wu)局、中(zhong)國(guo)人民(min)銀行云(yun)南省(sheng)(sheng)(sheng)分行、金融監(jian)(jian)管(guan)總(zong)局云(yun)南監(jian)(jian)管(guan)局、外匯管(guan)理(li)局云(yun)南省(sheng)(sheng)(sheng)分局）

　　（五(wu)）提(ti)(ti)升(sheng)多元化(hua)(hua)融(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)能力。引導上市(shi)公(gong)(gong)(gong)司優化(hua)(hua)融(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)安排，充分(fen)利(li)用(yong)資(zi)(zi)(zi)(zi)本市(shi)場融(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)工(gong)(gong)具(ju)開(kai)展多元化(hua)(hua)股(gu)(gu)權(quan)和債(zhai)券融(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)。用(yong)好(hao)小額快速、分(fen)類(lei)審核(he)等融(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)機制(zhi)，鼓(gu)勵(li)優質(zhi)上市(shi)公(gong)(gong)(gong)司開(kai)展股(gu)(gu)權(quan)融(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)，提(ti)(ti)高融(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)效率(lv)。鼓(gu)勵(li)銀(yin)行、融(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)擔保機構在風險可控的前提(ti)(ti)下(xia)依(yi)法(fa)依(yi)規加大對民營上市(shi)公(gong)(gong)(gong)司融(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)支持。鼓(gu)勵(li)符合(he)條件(jian)的企業通過(guo)優先股(gu)(gu)、永續債(zhai)、可轉債(zhai)、基(ji)(ji)礎設施(shi)領域不(bu)動產投資(zi)(zi)(zi)(zi)信(xin)(xin)托(tuo)基(ji)(ji)金(jin)（REITs）等創新(xin)融(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)工(gong)(gong)具(ju)豐(feng)富融(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)手段(duan)，優化(hua)(hua)資(zi)(zi)(zi)(zi)本結構。用(yong)好(hao)各(ge)類(lei)信(xin)(xin)用(yong)增信(xin)(xin)措(cuo)施(shi)，引導金(jin)融(rong)(rong)(rong)(rong)機構通過(guo)貸(dai)款(kuan)、公(gong)(gong)(gong)司信(xin)(xin)用(yong)類(lei)債(zhai)券和資(zi)(zi)(zi)(zi)管(guan)產品(pin)等支持上市(shi)公(gong)(gong)(gong)司融(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)。（責任單(dan)位：云南證監(jian)局(ju)、省發(fa)展改革(ge)委、省財(cai)政廳(ting)、省國資(zi)(zi)(zi)(zi)委、省地方金(jin)融(rong)(rong)(rong)(rong)監(jian)管(guan)局(ju)、中國人民銀(yin)行云南省分(fen)行、金(jin)融(rong)(rong)(rong)(rong)監(jian)管(guan)總(zong)局(ju)云南監(jian)管(guan)局(ju)）

　　（六）促(cu)進發(fa)(fa)(fa)揮產(chan)業(ye)(ye)(ye)引領作(zuo)(zuo)用(yong)。引導上市(shi)(shi)公(gong)司(si)積極服務和(he)(he)融入我省(sheng)(sheng)(sheng)(sheng)(sheng)“3815”戰略發(fa)(fa)(fa)展目標和(he)(he)所(suo)在(zai)(zai)地(di)(di)產(chan)業(ye)(ye)(ye)發(fa)(fa)(fa)展布局，推動上市(shi)(shi)公(gong)司(si)形成(cheng)產(chan)業(ye)(ye)(ye)集群(qun)，在(zai)(zai)引領科(ke)技創新、完善產(chan)業(ye)(ye)(ye)鏈和(he)(he)帶動產(chan)業(ye)(ye)(ye)升級等方面(mian)發(fa)(fa)(fa)揮更大(da)作(zuo)(zuo)用(yong)。鼓勵(li)(li)上市(shi)(shi)公(gong)司(si)結合我省(sheng)(sheng)(sheng)(sheng)(sheng)產(chan)業(ye)(ye)(ye)特點，圍繞(rao)主業(ye)(ye)(ye)發(fa)(fa)(fa)展和(he)(he)核(he)心競(jing)爭力提升開展產(chan)業(ye)(ye)(ye)整合，加快形成(cheng)與配套企(qi)業(ye)(ye)(ye)聯動發(fa)(fa)(fa)展格局，提升產(chan)業(ye)(ye)(ye)整體發(fa)(fa)(fa)展水(shui)平。引導上市(shi)(shi)公(gong)司(si)增(zeng)加科(ke)研投(tou)入，通過股(gu)權(quan)、期(qi)權(quan)等制(zhi)度設計加大(da)對(dui)(dui)(dui)科(ke)研人員的(de)(de)激勵(li)(li)；支(zhi)持上市(shi)(shi)公(gong)司(si)設立(li)研發(fa)(fa)(fa)機構，在(zai)(zai)重大(da)關鍵技術上取得突破(po)，形成(cheng)我省(sheng)(sheng)(sheng)(sheng)(sheng)產(chan)業(ye)(ye)(ye)發(fa)(fa)(fa)展技術優勢。樹(shu)立(li)既重視(shi)對(dui)(dui)(dui)外(wai)(wai)招商、也重視(shi)對(dui)(dui)(dui)內招商的(de)(de)理念，鼓勵(li)(li)上市(shi)(shi)公(gong)司(si)募集資金投(tou)向我省(sheng)(sheng)(sheng)(sheng)(sheng)、項目落戶(hu)我省(sheng)(sheng)(sheng)(sheng)(sheng)、產(chan)能落地(di)(di)我省(sheng)(sheng)(sheng)(sheng)(sheng)，對(dui)(dui)(dui)于注冊(ce)地(di)(di)在(zai)(zai)我省(sheng)(sheng)(sheng)(sheng)(sheng)、經營地(di)(di)在(zai)(zai)外(wai)(wai)省(sheng)(sheng)(sheng)(sheng)(sheng)的(de)(de)上市(shi)(shi)公(gong)司(si)，要積極創造(zao)條(tiao)件，吸引上市(shi)(shi)公(gong)司(si)及其控股(gu)股(gu)東將(jiang)資金和(he)(he)項目投(tou)向我省(sheng)(sheng)(sheng)(sheng)(sheng)。（責任(ren)單(dan)位：省(sheng)(sheng)(sheng)(sheng)(sheng)發(fa)(fa)(fa)展改(gai)革委、省(sheng)(sheng)(sheng)(sheng)(sheng)工業(ye)(ye)(ye)和(he)(he)信息化(hua)廳、省(sheng)(sheng)(sheng)(sheng)(sheng)科(ke)技廳、省(sheng)(sheng)(sheng)(sheng)(sheng)財政廳、省(sheng)(sheng)(sheng)(sheng)(sheng)自然資源廳、省(sheng)(sheng)(sheng)(sheng)(sheng)國資委、省(sheng)(sheng)(sheng)(sheng)(sheng)地(di)(di)方金融監管局、云南證監局、省(sheng)(sheng)(sheng)(sheng)(sheng)稅務局）

　　（七）建立(li)重(zhong)大(da)事項辦理(li)“綠色通道(dao)”。上市(shi)公司在并購重(zhong)組、再(zai)融(rong)資(zi)、募(mu)投項目(mu)等重(zhong)大(da)事項辦理(li)過程中(zhong)，發(fa)(fa)展(zhan)改革、財政、人力(li)資(zi)源社會保(bao)障、自(zi)然(ran)資(zi)源、生態環(huan)境、商(shang)務(wu)、國資(zi)監管、市(shi)場監管、稅務(wu)等部門要提供(gong)“綠色通道(dao)”服(fu)務(wu)，依法依規(gui)及時出具相(xiang)關證明文(wen)件(jian)或情況說明。證券(quan)公司、會計師事務(wu)所、律師事務(wu)所等中(zhong)介機構(gou)就企(qi)業(ye)再(zai)融(rong)資(zi)、并購重(zhong)組等事項申(shen)請訪談的，有關部門要予以支持、配合。（責任單(dan)位：省(sheng)(sheng)(sheng)(sheng)發(fa)(fa)展(zhan)改革委、省(sheng)(sheng)(sheng)(sheng)財政廳、省(sheng)(sheng)(sheng)(sheng)人力(li)資(zi)源社會保(bao)障廳、省(sheng)(sheng)(sheng)(sheng)自(zi)然(ran)資(zi)源廳、省(sheng)(sheng)(sheng)(sheng)生態環(huan)境廳、省(sheng)(sheng)(sheng)(sheng)商(shang)務(wu)廳、省(sheng)(sheng)(sheng)(sheng)國資(zi)委、省(sheng)(sheng)(sheng)(sheng)市(shi)場監管局(ju)、省(sheng)(sheng)(sheng)(sheng)稅務(wu)局(ju)、云南證監局(ju)）

　　（八）穩妥化(hua)解(jie)(jie)上(shang)(shang)(shang)市(shi)(shi)公(gong)司(si)(si)風險(xian)(xian)。壓實(shi)上(shang)(shang)(shang)市(shi)(shi)公(gong)司(si)(si)風險(xian)(xian)處置(zhi)的屬地責(ze)(ze)任，建立州、市(shi)(shi)人民政府負責(ze)(ze)同志風險(xian)(xian)化(hua)解(jie)(jie)定(ding)(ding)點聯系(xi)機(ji)制，研究制定(ding)(ding)“一企(qi)(qi)一策(ce)(ce)”幫(bang)扶計劃和風險(xian)(xian)分類化(hua)解(jie)(jie)方(fang)(fang)(fang)(fang)案。屬地政府要積(ji)極配合(he)證(zheng)券監(jian)(jian)(jian)管(guan)部門(men)將缺(que)乏持(chi)(chi)續經營能力、嚴重(zhong)違法(fa)(fa)(fa)違規(gui)擾亂市(shi)(shi)場(chang)秩序的上(shang)(shang)(shang)市(shi)(shi)公(gong)司(si)(si)及時清(qing)(qing)出市(shi)(shi)場(chang)，鞏(gong)固深化(hua)常(chang)態化(hua)退市(shi)(shi)機(ji)制，堅決落實(shi)“應(ying)退盡退”，實(shi)現“退得下、退得穩”。支(zhi)(zhi)(zhi)持(chi)(chi)上(shang)(shang)(shang)市(shi)(shi)公(gong)司(si)(si)通過(guo)并購重(zhong)組(zu)、破產(chan)重(zhong)整(zheng)等(deng)方(fang)(fang)(fang)(fang)式出清(qing)(qing)風險(xian)(xian)，全力推動高(gao)風險(xian)(xian)上(shang)(shang)(shang)市(shi)(shi)公(gong)司(si)(si)重(zhong)組(zu)工作，支(zhi)(zhi)(zhi)持(chi)(chi)屬地或(huo)省(sheng)(sheng)(sheng)內(nei)優質(zhi)資產(chan)通過(guo)重(zhong)組(zu)方(fang)(fang)(fang)(fang)式進入(ru)上(shang)(shang)(shang)市(shi)(shi)公(gong)司(si)(si)。對上(shang)(shang)(shang)市(shi)(shi)公(gong)司(si)(si)破產(chan)重(zhong)整(zheng)的，各級人民法(fa)(fa)(fa)院要依(yi)托府院聯動機(ji)制，積(ji)極運(yun)用破產(chan)和解(jie)(jie)、預重(zhong)整(zheng)等(deng)方(fang)(fang)(fang)(fang)式，依(yi)法(fa)(fa)(fa)高(gao)效審理破產(chan)案件；企(qi)(qi)業重(zhong)整(zheng)成功后，金(jin)(jin)融監(jian)(jian)(jian)管(guan)、稅務等(deng)部門(men)應(ying)當(dang)依(yi)法(fa)(fa)(fa)依(yi)規(gui)及時修復(fu)重(zhong)整(zheng)企(qi)(qi)業信用。支(zhi)(zhi)(zhi)持(chi)(chi)銀(yin)行(xing)、證(zheng)券、保險(xian)(xian)、私(si)募股權基金(jin)(jin)等(deng)機(ji)構參與上(shang)(shang)(shang)市(shi)(shi)公(gong)司(si)(si)股票質(zhi)押風險(xian)(xian)化(hua)解(jie)(jie)。審慎處置(zhi)大(da)股東質(zhi)押股票展期和強制平倉問(wen)題，積(ji)極穩妥化(hua)解(jie)(jie)股票質(zhi)押風險(xian)(xian)。對紓(shu)困(kun)目的明(ming)確、決策(ce)(ce)程序合(he)規(gui)、政府支(zhi)(zhi)(zhi)持(chi)(chi)的國(guo)有資本投資項目或(huo)基金(jin)(jin)，建立容(rong)錯(cuo)機(ji)制，適度豁免投資風險(xian)(xian)追(zhui)究和企(qi)(qi)業指標(biao)考核。充分發揮司(si)(si)法(fa)(fa)(fa)職能作用，助力防范化(hua)解(jie)(jie)上(shang)(shang)(shang)市(shi)(shi)公(gong)司(si)(si)刑(xing)事風險(xian)(xian)。（責(ze)(ze)任單位：云南證(zheng)監(jian)(jian)(jian)局(ju)、省(sheng)(sheng)(sheng)國(guo)資委、省(sheng)(sheng)(sheng)地方(fang)(fang)(fang)(fang)金(jin)(jin)融監(jian)(jian)(jian)管(guan)局(ju)、省(sheng)(sheng)(sheng)財政廳、中國(guo)人民銀(yin)行(xing)云南省(sheng)(sheng)(sheng)分行(xing)、金(jin)(jin)融監(jian)(jian)(jian)管(guan)總局(ju)云南監(jian)(jian)(jian)管(guan)局(ju)、省(sheng)(sheng)(sheng)法(fa)(fa)(fa)院、省(sheng)(sheng)(sheng)檢察院、省(sheng)(sheng)(sheng)公(gong)安廳、省(sheng)(sheng)(sheng)司(si)(si)法(fa)(fa)(fa)廳）

　　（九）嚴厲打擊重(zhong)大違(wei)法(fa)行(xing)(xing)為(wei)(wei)。深入(ru)落實(shi)(shi)《關(guan)于(yu)依(yi)法(fa)從嚴打擊證(zheng)券違(wei)法(fa)活動的意見(jian)》，嚴厲打擊欺詐(zha)發(fa)行(xing)(xing)、財務造假(jia)(jia)(jia)、資(zi)(zi)金占用(yong)、違(wei)規擔保(bao)、操(cao)縱(zong)市(shi)(shi)場(chang)、內幕(mu)交易等(deng)(deng)違(wei)法(fa)違(wei)規行(xing)(xing)為(wei)(wei)。對涉案證(zheng)券公(gong)(gong)司、證(zheng)券服(fu)務機(ji)構等(deng)(deng)中介機(ji)構及從業(ye)人(ren)員一并查(cha)處。開展防(fang)范財務造假(jia)(jia)(jia)專項治(zhi)理(li)，對嚴重(zhong)舞弊、配合造假(jia)(jia)(jia)、資(zi)(zi)金占用(yong)等(deng)(deng)重(zhong)點問題綜(zong)合施(shi)策，加(jia)大普法(fa)宣(xuan)傳力度，加(jia)強(qiang)典型違(wei)法(fa)案件(jian)警示教育，標(biao)本兼(jian)治(zhi)。及時向(xiang)國(guo)資(zi)(zi)監(jian)管、金融監(jian)管、審計、紀檢監(jian)察(cha)等(deng)(deng)部門(men)或(huo)州、市(shi)(shi)人(ren)民(min)政府通報金融機(ji)構、國(guo)企(qi)下屬公(gong)(gong)司等(deng)(deng)配合造假(jia)(jia)(jia)線索。對指(zhi)使公(gong)(gong)司造假(jia)(jia)(jia)、占用(yong)上市(shi)(shi)公(gong)(gong)司資(zi)(zi)金、操(cao)縱(zong)違(wei)規對外提供擔保(bao)的控(kong)股股東、實(shi)(shi)際控(kong)制人(ren)實(shi)(shi)施(shi)精準打擊，強(qiang)化(hua)行(xing)(xing)政、刑事、民(min)事責(ze)任追究。強(qiang)化(hua)信(xin)用(yong)信(xin)息(xi)(xi)共(gong)享，依(yi)托我(wo)省(sheng)(sheng)社(she)會信(xin)用(yong)信(xin)息(xi)(xi)共(gong)享平臺，對在上市(shi)(shi)公(gong)(gong)司違(wei)法(fa)行(xing)(xing)為(wei)(wei)中負有責(ze)任的有關(guan)失信(xin)主體依(yi)法(fa)實(shi)(shi)施(shi)失信(xin)懲戒(jie)，并在行(xing)(xing)業(ye)準入(ru)、金融服(fu)務、出境出行(xing)(xing)等(deng)(deng)方(fang)面(mian)依(yi)法(fa)予以限制。（責(ze)任單位(wei)：云南證(zheng)監(jian)局、省(sheng)(sheng)公(gong)(gong)安廳、省(sheng)(sheng)司法(fa)廳、省(sheng)(sheng)財政廳、省(sheng)(sheng)法(fa)院、省(sheng)(sheng)檢察(cha)院、省(sheng)(sheng)發(fa)展改革委、省(sheng)(sheng)國(guo)資(zi)(zi)委）

　　（十）構建有(you)效綜合(he)監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)體系(xi)。堅(jian)持科(ke)學監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)、分類監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)、專業監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)、持續監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)，提高上市(shi)公司監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)有(you)效性(xing)。完(wan)善上市(shi)公司綜合(he)監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)體系(xi)，健全財政、稅(shui)收(shou)、海(hai)關、金(jin)融(rong)監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)、市(shi)場監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)、行業主管(guan)(guan)(guan)(guan)(guan)、司法(fa)等部(bu)門和州(zhou)、市(shi)、縣、區人民政府的信息共享(xiang)機制。各地(di)各有(you)關部(bu)門要積極配(pei)合(he)證(zheng)券監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)部(bu)門依法(fa)開展(zhan)案件調查工作。（責(ze)任單位：云(yun)南證(zheng)監(jian)(jian)(jian)(jian)局(ju)、省財政廳(ting)、省稅(shui)務(wu)局(ju)、省市(shi)場監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)局(ju)、昆明(ming)海(hai)關、金(jin)融(rong)監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)總局(ju)云(yun)南監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)局(ju)、省法(fa)院、省檢(jian)察院、省司法(fa)廳(ting)）

　　（十一）壓實(shi)上(shang)市(shi)公(gong)(gong)(gong)司(si)主(zhu)體(ti)責(ze)任。引導上(shang)市(shi)公(gong)(gong)(gong)司(si)誠(cheng)實(shi)守(shou)信、規范(fan)運作(zuo)、專注主(zhu)業、穩(wen)健經營(ying)，不(bu)斷提高(gao)經營(ying)水平(ping)和(he)(he)(he)發(fa)展質(zhi)量，進一步發(fa)揮上(shang)市(shi)公(gong)(gong)(gong)司(si)在產業升(sheng)級、創(chuang)(chuang)新發(fa)展、財稅貢獻、創(chuang)(chuang)業就業、鄉村(cun)振興等方面的引領帶動(dong)作(zuo)用。控股(gu)股(gu)東、實(shi)際(ji)控制人、董事(shi)、監事(shi)和(he)(he)(he)高(gao)級管理(li)人員要做到(dao)忠(zhong)實(shi)勤勉履責(ze)，公(gong)(gong)(gong)平(ping)對待(dai)所(suo)有股(gu)東。鼓勵(li)上(shang)市(shi)公(gong)(gong)(gong)司(si)通(tong)過現金分紅、股(gu)份回(hui)購等方式回(hui)報(bao)投資(zi)者。（責(ze)任單(dan)位：云南證(zheng)監局、省(sheng)國(guo)資(zi)委、省(sheng)工業和(he)(he)(he)信息化廳）

　　（十二）督導中(zhong)介機(ji)(ji)(ji)構(gou)(gou)發(fa)(fa)揮作用(yong)。鼓(gu)(gu)勵(li)省(sheng)(sheng)外優(you)質(zhi)中(zhong)介機(ji)(ji)(ji)構(gou)(gou)來(lai)滇(dian)展業(ye)和開(kai)設分支(zhi)機(ji)(ji)(ji)構(gou)(gou)，支(zhi)持本土中(zhong)介機(ji)(ji)(ji)構(gou)(gou)創新(xin)提質(zhi)；鼓(gu)(gu)勵(li)證券經營(ying)(ying)機(ji)(ji)(ji)構(gou)(gou)科學編制反映我省(sheng)(sheng)上市公(gong)司(si)(si)運(yun)營(ying)(ying)情況(kuang)的(de)指(zhi)數，開(kai)發(fa)(fa)相應投資產品，增(zeng)強我省(sheng)(sheng)上市公(gong)司(si)(si)投資吸引力；依托以上市公(gong)司(si)(si)質(zhi)量為導向的(de)保薦(jian)機(ji)(ji)(ji)構(gou)(gou)執業(ye)質(zhi)量評價體(ti)系，推動中(zhong)介機(ji)(ji)(ji)構(gou)(gou)推薦(jian)更多具有(you)成長性和可(ke)投性的(de)優(you)質(zhi)企業(ye)首發(fa)(fa)上市。督導審計、評估(gu)、法律(lv)服務機(ji)(ji)(ji)構(gou)(gou)規范發(fa)(fa)展，壓實(shi)中(zhong)介機(ji)(ji)(ji)構(gou)(gou)“看(kan)門(men)人”職(zhi)責。（責任單位(wei)：云(yun)南證監(jian)局(ju)、省(sheng)(sheng)財政廳、省(sheng)(sheng)司(si)(si)法廳、省(sheng)(sheng)地方金融監(jian)管(guan)局(ju)）

　　三、組織保障

　　（一）加(jia)強(qiang)(qiang)組織領(ling)導。省(sheng)地(di)(di)方金(jin)融(rong)監管局(ju)、云南證監局(ju)要(yao)發(fa)揮(hui)總牽頭(tou)作用(yong)，加(jia)強(qiang)(qiang)督促指導，統籌協調做(zuo)好(hao)全省(sheng)推(tui)(tui)進(jin)企業上市(shi)和提(ti)高上市(shi)公(gong)司(si)質量(liang)工作。各州(zhou)(zhou)、市(shi)要(yao)將上市(shi)公(gong)司(si)作為當地(di)(di)重要(yao)資源，建(jian)立州(zhou)(zhou)、市(shi)人民政府(fu)負(fu)責(ze)同志聯系機制，加(jia)強(qiang)(qiang)溝(gou)通聯系。各州(zhou)(zhou)、市(shi)人民政府(fu)可參照(zhao)出臺(tai)相(xiang)應支持政策。（責(ze)任單(dan)位(wei)：省(sheng)推(tui)(tui)進(jin)企業上市(shi)倍增工作領(ling)導小組各成員單(dan)位(wei)）

　　（二）優化高質量(liang)發(fa)(fa)(fa)展環境(jing)。各(ge)地(di)(di)各(ge)有(you)關部門(men)要營造(zao)(zao)上(shang)市(shi)(shi)(shi)公司(si)(si)高質量(liang)發(fa)(fa)(fa)展的良好(hao)環境(jing)，主動(dong)協調解決上(shang)市(shi)(shi)(shi)公司(si)(si)發(fa)(fa)(fa)展中的重大問題。依法(fa)合(he)規、穩妥(tuo)審慎處理與上(shang)市(shi)(shi)(shi)公司(si)(si)有(you)關的行(xing)政(zheng)(zheng)處罰、訴訟及案件。按規定(ding)落實上(shang)市(shi)(shi)(shi)公司(si)(si)員工持股股權激勵稅收(shou)政(zheng)(zheng)策。充(chong)分發(fa)(fa)(fa)揮新(xin)聞媒(mei)體的輿(yu)論引導(dao)和(he)監督作用，加(jia)強政(zheng)(zheng)策法(fa)規解讀和(he)優秀案例宣(xuan)傳推廣，加(jia)大對編造(zao)(zao)、傳播(bo)虛假信(xin)息行(xing)為的打擊力度。各(ge)地(di)(di)各(ge)有(you)關部門(men)要指導(dao)上(shang)市(shi)(shi)(shi)公司(si)(si)做好(hao)輿(yu)情應對工作。（責任單位：云南證監局(ju)、省地(di)(di)方金融監管(guan)局(ju)、省發(fa)(fa)(fa)展改革(ge)委、省工業和(he)信(xin)息化廳、省財政(zheng)(zheng)廳、省司(si)(si)法(fa)廳、省國資委、省市(shi)(shi)(shi)場監管(guan)局(ju)、省政(zheng)(zheng)府新(xin)聞辦、省稅務(wu)局(ju)、省法(fa)院、省檢(jian)察院、中國人民銀行(xing)云南省分行(xing)、金融監管(guan)總(zong)局(ju)云南監管(guan)局(ju)）