全國(guo)人大代表(biao)、湖北證監局黨委(wei)書記(ji)、局長李秉恒日前(qian)在接受中(zhong)國(guo)證券報(bao)記(ji)者采(cai)訪時表(biao)示,建議制定發布新(xin)三(san)板(ban)(ban)市(shi)場(chang)監督管(guan)理(li)條例,進一步明確(que)新(xin)三(san)板(ban)(ban)市(shi)場(chang)基本功(gong)能(neng)、自律(lv)監管(guan)權限以(yi)(yi)及規定全國(guo)股轉公司的組織管(guan)理(li)要(yao)求等,以(yi)(yi)更(geng)好推動新(xin)三(san)板(ban)(ban)改革的實(shi)(shi)施,提(ti)升資本市(shi)場(chang)活力,服務實(shi)(shi)體(ti)經濟。
他介紹,雖(sui)然受疫情(qing)影響(xiang),但湖北轄區資本(ben)市場融資能(neng)力(li)(li)、服務能(neng)力(li)(li)恢復很快,有力(li)(li)支持了企(qi)業復工復產。
建議制定新三板監管條例
中國證券報:你曾提出,建立不同市場之間轉板機制。結合目前資本市場改革發展情況,你對當前多層次資本市場建設有哪些新提議?
李秉恒:多(duo)層次資本市(shi)場(chang)是一個(ge)有機整體,必須協調發展(zhan)。過去一年,以科創(chuang)板為核心的市(shi)場(chang)增(zeng)量(liang)改革(ge)成(cheng)功推出,成(cheng)效顯(xian)著,我國多(duo)層次資本市(shi)場(chang)韌性(xing)明顯(xian)增(zeng)強(qiang)、活力有效釋放。目前,創(chuang)業板試點存量(liang)市(shi)場(chang)的注冊(ce)制(zhi)改革(ge)相關制(zhi)度正在征(zheng)求市(shi)場(chang)意見,即將實施(shi)。新三(san)(san)板的改革(ge)也正在穩步(bu)落地,其在整個(ge)市(shi)場(chang)體系中承上(shang)啟(qi)下的作(zuo)用逐步(bu)凸顯(xian)。為此,在今年提出制(zhi)定發布(bu)新三(san)(san)板市(shi)場(chang)監督(du)管理條例的建(jian)議。
當前(qian),新(xin)(xin)三板(ban)改革正在(zai)穩步推進,市(shi)(shi)場自(zi)律(lv)管理(li)權(quan)限、基本功能發揮(hui)等方面需要(yao)更為明確的(de)法律(lv)支持,建議國務院有關部門結合多層次資本市(shi)(shi)場的(de)頂層設計和新(xin)(xin)三板(ban)運行(xing)七年來的(de)實踐經驗,盡快制定(ding)發布新(xin)(xin)三板(ban)市(shi)(shi)場監(jian)督管理(li)條(tiao)例(li),主(zhu)要(yao)內容(rong)應包括:一是明確新(xin)(xin)三板(ban)市(shi)(shi)場基本功能,二(er)是明確新(xin)(xin)三板(ban)市(shi)(shi)場自(zi)律(lv)監(jian)管權(quan)限,三是規定(ding)全國股轉(zhuan)公司的(de)組織管理(li)要(yao)求。
此外,今年的建議內容還包括(kuo)設立證券(quan)行(xing)業不良資產處置機構有效(xiao)化(hua)解債券(quan)違約等(deng)風險、盡快“激(ji)活(huo)”證券(quan)集體訴訟、成立長江經濟帶發展銀行(xing)等(deng)其他幾(ji)個方面(mian)的內容。
下一步(bu),穩步(bu)推(tui)進多層次資本市(shi)(shi)場(chang)(chang)體系建(jian)設,要以服(fu)務(wu)實體經(jing)濟發展為出發點和落(luo)(luo)腳點,集中精力(li)抓好重點改革任務(wu)的落(luo)(luo)地實施,穩步(bu)在全(quan)市(shi)(shi)場(chang)(chang)分階段實現注冊(ce)制(zhi)(zhi)改革目標,持續完善不(bu)同市(shi)(shi)場(chang)(chang)之間轉板機制(zhi)(zhi),積極(ji)推(tui)進區域性股權(quan)市(shi)(shi)場(chang)(chang)開展制(zhi)(zhi)度和業(ye)(ye)務(wu)創新試點,規范發展私募股權(quan)投資,持續推(tui)進債(zhai)券市(shi)(shi)場(chang)(chang)品種創新、結構(gou)優化(hua)和質(zhi)量提(ti)升,為處于(yu)成長周期(qi)的各(ge)階段企(qi)業(ye)(ye)提(ti)供多元化(hua)、差(cha)異化(hua)、精準(zhun)化(hua)的直接融(rong)資服(fu)務(wu)。
支持企業登陸科創板掛牌精選層
中國證券報:去年兩會,你表示,湖北已建立逾100家企業的科創板后備資源庫,盡早推動條件成熟的企業登陸科創板。目前湖北科創板企業情況如何?在新三板精選層方面,湖北轄區做了哪些準備工作?
李秉恒:2019年湖(hu)北科(ke)(ke)創板(ban)(ban)(ban)企業(ye)上市工作取得了較好成績,實現“兩個第(di)一”:全(quan)年申(shen)報(bao)(bao)企業(ye)數量位(wei)居中部(bu)地(di)區第(di)一,推(tui)動(dong)6家(jia)(jia)企業(ye)申(shen)報(bao)(bao)科(ke)(ke)創板(ban)(ban)(ban),行業(ye)涉(she)及醫藥、專(zhuan)用(yong)設備、信息技術等高(gao)科(ke)(ke)技領域(yu);全(quan)年成功注冊公司數量位(wei)居中部(bu)地(di)區第(di)一。6家(jia)(jia)申(shen)報(bao)(bao)企業(ye)中有(you)2家(jia)(jia)已(yi)成功上市,1家(jia)(jia)通(tong)過審核等待(dai)注冊,湖(hu)北還有(you)3家(jia)(jia)企業(ye)申(shen)報(bao)(bao)科(ke)(ke)創板(ban)(ban)(ban)正在上海證(zheng)券交易所審核。
新(xin)(xin)三(san)板精(jing)(jing)(jing)(jing)選(xuan)層相關(guan)工(gong)(gong)(gong)(gong)作也是(shi)今(jin)年我(wo)局監管(guan)服(fu)務(wu)工(gong)(gong)(gong)(gong)作重要內容。目前(qian),湖(hu)北共有新(xin)(xin)三(san)板掛(gua)(gua)牌(pai)(pai)公(gong)(gong)(gong)司(si)(si)300多(duo)(duo)家(jia),其中創(chuang)新(xin)(xin)層公(gong)(gong)(gong)司(si)(si)20多(duo)(duo)家(jia)。為指(zhi)導(dao)轄(xia)區新(xin)(xin)三(san)板公(gong)(gong)(gong)司(si)(si)做好(hao)精(jing)(jing)(jing)(jing)選(xuan)層申(shen)報(bao)(bao),我(wo)局做了大量工(gong)(gong)(gong)(gong)作。一是(shi)廣泛開(kai)(kai)(kai)展宣傳動(dong)員。開(kai)(kai)(kai)展了新(xin)(xin)三(san)板改革業務(wu)遠程培(pei)訓(xun)(xun)專項工(gong)(gong)(gong)(gong)作,通過(guo)動(dong)員掛(gua)(gua)牌(pai)(pai)公(gong)(gong)(gong)司(si)(si)自學、督(du)(du)促主(zhu)辦(ban)券商專項督(du)(du)導(dao)、推(tui)動(dong)地方協(xie)會(hui)開(kai)(kai)(kai)展專項培(pei)訓(xun)(xun)等方式(shi)(shi),幫助掛(gua)(gua)牌(pai)(pai)公(gong)(gong)(gong)司(si)(si)了解掌握最新(xin)(xin)政(zheng)策和(he)動(dong)態;及(ji)時向湖(hu)北省(sheng)政(zheng)府(fu)報(bao)(bao)告新(xin)(xin)三(san)板改革主(zhu)要內容,分析省(sheng)內新(xin)(xin)三(san)板發展情(qing)況(kuang)并提出工(gong)(gong)(gong)(gong)作建議。二是(shi)積極(ji)(ji)主(zhu)動(dong)調研摸(mo)(mo)底。對全省(sheng)300多(duo)(duo)家(jia)掛(gua)(gua)牌(pai)(pai)公(gong)(gong)(gong)司(si)(si)進行摸(mo)(mo)底,分層次篩選(xuan)出擬(ni)第一批申(shen)報(bao)(bao)、擬(ni)待年報(bao)(bao)審計(ji)完(wan)成后再申(shen)報(bao)(bao)和(he)擬(ni)調至創(chuang)新(xin)(xin)層后再申(shen)報(bao)(bao)精(jing)(jing)(jing)(jing)選(xuan)層的企(qi)業名單,分類(lei)開(kai)(kai)(kai)展指(zhi)導(dao)和(he)服(fu)務(wu)工(gong)(gong)(gong)(gong)作。已有4家(jia)公(gong)(gong)(gong)司(si)(si)啟動(dong)精(jing)(jing)(jing)(jing)選(xuan)層申(shen)報(bao)(bao)工(gong)(gong)(gong)(gong)作,10多(duo)(duo)家(jia)公(gong)(gong)(gong)司(si)(si)在積極(ji)(ji)籌備中。三(san)是(shi)靈(ling)活高效輔(fu)導(dao)驗(yan)收(shou)。掛(gua)(gua)牌(pai)(pai)精(jing)(jing)(jing)(jing)選(xuan)層的輔(fu)導(dao)驗(yan)收(shou)是(shi)一項新(xin)(xin)工(gong)(gong)(gong)(gong)作,為提升監管(guan)服(fu)務(wu)效率,我(wo)局于3月初下發《關(guan)于開(kai)(kai)(kai)展轄(xia)區掛(gua)(gua)牌(pai)(pai)公(gong)(gong)(gong)司(si)(si)公(gong)(gong)(gong)開(kai)(kai)(kai)發行輔(fu)導(dao)驗(yan)收(shou)工(gong)(gong)(gong)(gong)作的通知》,明確(que)了申(shen)報(bao)(bao)精(jing)(jing)(jing)(jing)選(xuan)層的輔(fu)導(dao)備案流程。同時,針(zhen)對疫情(qing)期(qi)間特殊情(qing)況(kuang),與擬(ni)上市(shi)企(qi)業的輔(fu)導(dao)驗(yan)收(shou)一樣,靈(ling)活高效采取非現場驗(yan)收(shou)形式(shi)(shi)。
資本市場服務能力快速恢復
中國證券報:作為受疫情影響嚴重的地區,湖北上市公司復產情況如何?在支持上市公司復工復產、支持湖北經濟恢復發展方面,湖北證監局的監管服務舉措有哪些?
李秉恒:截至5月8日,轄區109家(jia)上(shang)市公司(si)中(zhong),復工(gong)(gong)(gong)率大于(yu)(yu)(yu)80%的(de)(de)(de)104家(jia),占比95.41%;部分復工(gong)(gong)(gong)的(de)(de)(de)4家(jia),占比3.67%;少量復工(gong)(gong)(gong)只(zhi)有1家(jia)。部分復工(gong)(gong)(gong)和少量復工(gong)(gong)(gong)的(de)(de)(de)5家(jia)企業(ye)中(zhong),有2家(jia)是由(you)于(yu)(yu)(yu)自身(shen)經營問題尚未(wei)完全復工(gong)(gong)(gong),有3家(jia)是由(you)于(yu)(yu)(yu)所處行(xing)業(ye)受疫(yi)情防(fang)控影響,還需(xu)一段時(shi)間才能完全復工(gong)(gong)(gong)。
雖然受疫情(qing)影響,但轄(xia)區資(zi)本市場融資(zi)能力、服(fu)務能力恢復很(hen)快,主要體現在兩個方(fang)面。
一是剔除政(zheng)府(fu)債券影響(xiang)后的直接融(rong)資(zi)(zi)同(tong)比(bi)(bi)實現增(zeng)(zeng)長(chang),轄區(qu)(qu)(qu)企(qi)業資(zi)(zi)本(ben)市(shi)場融(rong)資(zi)(zi)呈現更活(huo)躍(yue)態(tai)勢。1月(yue)(yue)至(zhi)4月(yue)(yue),轄區(qu)(qu)(qu)資(zi)(zi)本(ben)市(shi)場直接融(rong)資(zi)(zi)總(zong)額(e)為407.32億(yi)元,同(tong)比(bi)(bi)雖(sui)然下降(jiang),但(dan)今(jin)年前4個月(yue)(yue)湖北政(zheng)府(fu)債券還未(wei)在交易所發行,剔除政(zheng)府(fu)債券影響(xiang),直接融(rong)資(zi)(zi)總(zong)額(e)同(tong)比(bi)(bi)增(zeng)(zeng)長(chang)43.04%。其(qi)中,股權融(rong)資(zi)(zi)總(zong)額(e)73.38億(yi)元,同(tong)比(bi)(bi)上升(sheng)242.74%;債權融(rong)資(zi)(zi)總(zong)額(e)333.94億(yi)元,同(tong)比(bi)(bi)上升(sheng)26.80%。截至(zhi)4月(yue)(yue)底,湖北有27家公司取(qu)得交易所債券發行批(pi)文,金額(e)合計569.72億(yi)元。疫情影響(xiang)下,轄區(qu)(qu)(qu)企(qi)業資(zi)(zi)本(ben)市(shi)場融(rong)資(zi)(zi)活(huo)躍(yue)度不降(jiang)反升(sheng)。
二是并購重(zhong)組、再(zai)(zai)(zai)(zai)融(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)的(de)融(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)總量、過(guo)(guo)審(shen)家(jia)(jia)(jia)數(shu)和籌劃家(jia)(jia)(jia)數(shu)等(deng)方(fang)面增量顯著,上(shang)市(shi)公(gong)司(si)(si)利用(yong)資(zi)(zi)(zi)本市(shi)場運作的(de)積極性更高。今年以來,湖北(bei)有(you)3家(jia)(jia)(jia)公(gong)司(si)(si)通過(guo)(guo)首發上(shang)市(shi)融(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)14.40億元(yuan);2家(jia)(jia)(jia)上(shang)市(shi)公(gong)司(si)(si)完成(cheng)再(zai)(zai)(zai)(zai)融(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi),融(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)總額57.13億元(yuan),去(qu)年同(tong)期只有(you)1家(jia)(jia)(jia)公(gong)司(si)(si)完成(cheng)再(zai)(zai)(zai)(zai)融(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)8.14億元(yuan)。今年有(you)2家(jia)(jia)(jia)上(shang)市(shi)公(gong)司(si)(si)并購重(zhong)組、再(zai)(zai)(zai)(zai)融(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)方(fang)案已(yi)獲批文,1家(jia)(jia)(jia)方(fang)案已(yi)過(guo)(guo)會審(shen)核,預(yu)計(ji)3家(jia)(jia)(jia)公(gong)司(si)(si)合計(ji)再(zai)(zai)(zai)(zai)融(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)額近100億元(yuan)。去(qu)年同(tong)期只有(you)1家(jia)(jia)(jia)上(shang)市(shi)公(gong)司(si)(si)再(zai)(zai)(zai)(zai)融(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)方(fang)案過(guo)(guo)會,融(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)額4.25億元(yuan)。1月至4月還有(you)12家(jia)(jia)(jia)公(gong)司(si)(si)發布(bu)再(zai)(zai)(zai)(zai)融(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)預(yu)案,去(qu)年同(tong)期為8家(jia)(jia)(jia)。
中(zhong)證(zheng)網(wang)聲明:凡(fan)本(ben)網(wang)注明“來(lai)源(yuan):中(zhong)國證(zheng)券(quan)報(bao)(bao)·中(zhong)證(zheng)網(wang)”的(de)所有(you)作(zuo)品,版權(quan)(quan)均(jun)(jun)屬于(yu)中(zhong)國證(zheng)券(quan)報(bao)(bao)、中(zhong)證(zheng)網(wang)。中(zhong)國證(zheng)券(quan)報(bao)(bao)·中(zhong)證(zheng)網(wang)與作(zuo)品作(zuo)者聯(lian)合聲明,任何(he)組織未經中(zhong)國證(zheng)券(quan)報(bao)(bao)、中(zhong)證(zheng)網(wang)以(yi)及作(zuo)者書面授權(quan)(quan)不得轉(zhuan)載、摘編或(huo)利(li)用(yong)其它方式使用(yong)上述(shu)作(zuo)品。凡(fan)本(ben)網(wang)注明來(lai)源(yuan)非中(zhong)國證(zheng)券(quan)報(bao)(bao)·中(zhong)證(zheng)網(wang)的(de)作(zuo)品,均(jun)(jun)轉(zhuan)載自(zi)其它媒體,轉(zhuan)載目的(de)在(zai)于(yu)更(geng)好服務讀者、傳(chuan)遞(di)信息之需,并不代表本(ben)網(wang)贊同其觀(guan)點(dian),本(ben)網(wang)亦不對其真實性負責,持(chi)異議者應與原出處單位(wei)主張權(quan)(quan)利(li)。
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