On August 19, the reporter learned from the Beijing Stock Exchange that the actual controllers, directors and supervisors of listed companies play an important role in the company's development and growth.
With the implementation of the special action to improve the quality of listed companies, the compliance awareness of the key minority of listed companies has been continuously enhanced, the corporate governance structure has been gradually improved, and the level of internal control has been continuously improved.
As the main front for serving innovative small and medium-sized enterprises, since its establishment, the Beijing Stock Exchange has paid attention to improving the quality of listed companies. While maintaining good entry barriers, it has strengthened the supervision of listed companies, paid close attention to the "key minority", and has "zero tolerance" for violations. , to promote the high-quality development of listed companies.
It is understood that the Beijing Stock Exchange has recently taken a series of measures to improve the compliance awareness of "critical minority".
First, a series of compliance trainings were carried out.
The company supervision department of the Beijing Stock Exchange specially organized meetings to explain capital market regulations and major cases of violations of laws and regulations, especially to carry out special training on insider trading prevention and control for the actual controllers of the company, directors and supervisors, and strengthen warning education.
The second is to play the role of commitment and binding.
Organize all the "key minority" of listed companies to sign the letter of commitment to standardize operation, requiring strict compliance with various laws, regulations and rules, honesty and trustworthiness, diligence and responsibility, improve compliance awareness, strengthen self-discipline, and deal with violations of commitments in accordance with laws and regulations.
The third is to learn the "first lesson of supervision".
On the day of listing, the company supervision department of the Beijing Stock Exchange will organize the "First Lesson of Supervision" to timely convey regulatory requirements to the "key minority" of enterprises, remind the risk of violations, and continue to conduct business training for newly listed companies in batches, and systematically explain the supervision of listed companies. rule.
At the same time, the Beijing Stock Exchange has also compiled a reminder manual for the common compliance issues of listed companies in the Beijing Stock Exchange, summarizing the error-prone points of business handling, information disclosure, share repurchase, equity incentives and other special businesses, and sending them to companies and sponsors for market players. Reminder in advance.
Fourth, strengthen the supervision of public investors.
Regularly organize the company's annual report performance briefing, and require the "key minority" such as the company's chairman and general manager to "go into battle" to answer questions and solve doubts in person, so as to enhance the communication between the company and small and medium shareholders.
Research and build an interactive platform for investor relations of listed companies to facilitate the interaction and information acquisition between investors and the company, enhance the enthusiasm of investors to participate in the company's business decision-making, and strengthen the supervision of public investors.
Continue to organize "listed companies approach investors" activities, strengthen communication between listed companies and investors, and improve the transparency of listed companies.
The Beijing Stock Exchange said that in the next step, it will continue to strengthen the supervision of "key minority" and firmly hold the bottom line of risk: First, strengthen the supervision of the behavior of "key minority", especially the company's foreign investment, controlling shareholder equity pledge, secondary market transactions, etc. , to prevent the occurrence of capital occupation, illegal guarantees, insider trading, etc.; the second is to focus on "family" and "one person with multiple roles" companies, focus on the decision-making procedures for major issues, and prevent the failure of the company's internal control; the third is to strengthen technology supervision, Add a “critical minority” regulatory profile module to the technology regulatory system to improve risk detection capabilities, and respond and dispose of them in a timely manner; fourth, increase penalties for “critical minority” serious violations, strengthen the connection with administrative supervision, and involve filing a case The case shall be transferred and filed in a timely manner in accordance with the standard, and administrative or criminal responsibility shall be investigated.
(Meng Ke)