China News Service, Beijing, May 28 (Reporter Xia Bin) On the 28th, the China Securities Regulatory Commission announced the first batch of "whitelists" of securities companies, canceling some regulatory opinions requirements for securities companies included in the whitelist, and at the same time, it is necessary Retained supervisory opinions, simplify the work process, transfer from the pre-employment to the in-process and post-mortem strict supervision and inspection, and propose that companies with innovative pilot businesses must be generated from the whitelist, and applications for innovative pilot businesses from companies that are not included in the whitelist will not be accepted .
The specific practices of securities companies in the "white list" include: First, reduce if possible.
For securities companies included in the whitelist, the regulatory opinion requirements for issuing perpetual subordinated bonds, guaranteeing commitments for issuing bonds for overseas subsidiaries, and increasing capital or financing for overseas subsidiaries will be cancelled.
The second is to be simple and simple.
Simplify the issuance process of some regulatory opinions.
For applications such as initial issuance, additional issuance, allotment, issuance of convertible bonds, short-term financing bills, financial bonds, etc., the opinions of dispatched agencies and Shanghai and Shenzhen Stock Exchanges will no longer be sought according to the previous procedures, and the regulatory opinions will be issued directly after confirming that they meet the legal requirements.
Third, companies with innovative pilot businesses must be generated from the whitelist, and applications for innovative pilot businesses from companies that are not included in the whitelist will not be accepted.
In accordance with the principles of law and prudence, companies included in the whitelist continue to apply for innovative business regulatory opinions in accordance with existing rules and procedures.
Fourth, securities companies that are not included in the whitelist are not eligible for regulatory submission reduction or exemption or simplified procedures, and continue to apply for various regulatory submissions in accordance with the existing procedures.
The China Securities Regulatory Commission also stated that in the future, it will continue to dynamically adjust the "white list" based on the compliance and risk control of securities companies, and publish the list under the Institutional Department of the China Securities Regulatory Commission's official website month by month, and include qualified companies in a timely manner. The company was called out in time.
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