Chinanews.com, April 20. According to the website of the China Securities Regulatory Commission, recent media reports have reported that resigners from the China Securities Regulatory Commission system rushed to buy shares in the company to be listed, which aroused the attention of all parties.
The China Securities Regulatory Commission attaches great importance to this, insists on preventing violations of laws and regulations to "make wealth", maintaining the order of the "three publics" in the market, and strengthening the integrity of the supervisory team. In the case of equity participation, the verification and disclosure shall be strengthened, and strict review and control shall be conducted. At the same time, the system is working hard to fill in the shortcomings of the system and systematically regulate the equity participation behavior of resigners.
The China Securities Regulatory Commission stated that the China Securities Regulatory Commission has always focused on strengthening the supervision and regulation of surprise shareholding, transfer of interests, "shadow shareholders", and illegal holdings.
In February of this year, the China Securities Regulatory Commission issued the Guidelines for the Implementation of Information Disclosure of Shareholders of Companies Applying for Initial Listings, to further consolidate the responsibilities of intermediary agencies, strengthen shareholder penetration verification and disclosure, strengthen supervision of equity purchases approaching listing, and severely punish violations of laws and regulations.
During the implementation of the system, the China Securities Regulatory Commission insisted on cutting the blade inward, taking multiple measures simultaneously, and highlighting the strengthening of the supervision of the improper shareholding behavior of the resigners of the system.
First, in the process of shareholder information disclosure verification, issuers and intermediaries are required to report on the shareholding status of resigners from the CSRC system; second, if such circumstances exist, organize relevant securities regulatory bureaus to conduct integrity inspections, and severely deal with violations of laws and disciplines. ; The third is to strengthen the integrity and supervision of the review and registration personnel, strictly implement the system of information preparation for inappropriate information, and focus on the personnel who leave the system; the fourth is to establish an internal audit review mechanism to strengthen the internal audit supervision of the review work of related enterprises to ensure fairness and justice in the review process , Compliance with laws and regulations.
According to reports, at present, in accordance with the principles of administration according to law and strengthened supervision, the China Securities Regulatory Commission is studying and formulating regulations that prohibit system employees from improperly taking shares in companies to be listed, and taking targeted reinforcement measures to tighten the system cage.
The first is to clarify the circumstances of improper shareholding, focusing on preventing the use of the original public power to seek investment opportunities and the transfer of benefits during the shareholding process; the second is to have special talks and reminders before leaving the company, requiring written commitments not to illegally buy shares, and studying the prohibition of resigning personnel from entering shares The third is to formulate special review guidelines to strengthen the targeted supervision of the improper shareholding of system employees in the issuance review. If suspected violations of laws and disciplines are found, they will be transferred in a timely manner and dealt with strictly; the fourth is to improve the internal audit, supervision and review procedures, and strictly implement official duties. System requirements such as avoidance, reporting on interactions with the subject of supervision, etc.
The China Securities Regulatory Commission stated that, in recent days, individual media reports that "the CSRC will not accept any investment in a company to be listed by the resigning personnel of the China Securities Regulatory Commission system, and the content of the review has been suspended" is false. The CSRC normally accepts IPO applications involving investment and shareholding by employees who leave the system, and strictly advances the review and review procedures in accordance with the law.