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◎ reporter Liang Yinyan
According to the China Securities Regulatory CommissionEarnfreecryptoplayinggamesAccording to the news, recently, the Securities Regulatory Commission formulated and issued the "guidelines on the Application of Regulatory rules-Beijing Stock Exchange Class No. 1: guidance and Supervision guidelines for companies listed in the National share transfer system to apply for listing on the Beijing Stock Exchange" (hereinafter referred to as "guidance guidelines for the Beijing Stock Exchange"). For the first time, in the form of applicable guidelines of regulatory rules, the guidance and supervision of new third board listed companies listed on the Beijing Stock Exchange through the "progressive" path is systematically regulated. And coaching supervision and company performance are combined to clarify the requirement that the company's mentoring period can be less than 3 months.
Since the opening of the market in November 2021, listed companies have made public offerings to unspecified qualified investors and listed on the Northern Stock Exchange with reference to the implementation of the regulations on initial Public offering and listing guidance (hereinafter referred to as the "mentoring regulations").
The CSRC said that considering that compared with the initial public offering and listing (IPO), small and medium-sized enterprises listed on the Beijing Stock Exchange in a "progressive" manner have been brought into the scope of continuous supervision by the relevant Securities Regulatory Bureau and the national share transfer system, the focus, procedures and means of guidance and supervision can be optimized accordingly. For this reason, the CSRC has combed and studied the guidance supervision under the listing path, and while revising the "guidance supervision regulations" to cancel the requirement of "reference implementation", the CSRC has formulated guidance guidelines for the Beijing Stock Exchange focusing on the characteristics of the enterprises and the continuous regulatory advantages of the bureau, so as to further improve the institutionalization and standardization of the guidance and supervision work of the issuance and listing of the Northern Stock Exchange, and improve the quality of the companies listed on the Northern Exchange from the source.
According to the CSRC, the guidance guidelines of the Beijing Stock Exchange highlight "three reinforcements", namely, strengthening the linkage between guidance supervision and continuous supervision, strengthening the responsibility of intermediary "gatekeepers", and strengthening the integrity and compliance of "key minorities".
The guidance guidelines of the Beijing Stock Exchange require that the supervision advantages of the new third board and the Beijing Stock Exchange should be brought into full play, and the regulatory information sharing mechanism among the nodes of listing audit, daily supervision, guidance supervision and listing audit should be established. it is clear that the national stock transfer system and the Securities Regulatory Bureau should establish a communication and docking mechanism, and refine the regulatory information notification requirements between the two. At the same time, it clarifies the content requirements of the guidance supervision report of the Securities Regulatory Bureau, and emphasizes that the Beijing Stock Exchange should pay attention to the contents of the guidance supervision report in the audit, and do a good job in the connection between the guidance link and the audit registration link.
The guidance guidelines of the Beijing Stock Exchange also emphasize the need to give full play to the regulatory advantages of the whole chain, strengthen the supervision and inspection of sponsor institutions, and consolidate the responsibilities of intermediary agencies. At the same time, sponsor agencies are required to verify and express clear opinions on the rectification and improvement of the problems found in the previous on-site inspection, and whether major changes have occurred during the last on-site inspection of the company to the completion of the guidance work, so as to urge them to perform their duties solidly and dutifully.
According to the guidance guidelines of the Beijing Stock Exchange, the Securities Regulatory Bureau focuses on the word-of-mouth reputation of the "key minority", which is reflected in the guidance supervision report. In addition, strengthen the pertinence of the inspection of "key minority" compliance knowledge, further refine the specific arrangements for the securities market knowledge test, and make it clear that the securities market knowledge test is not less than 20% directly related to the Beijing Stock Exchange.
At the same time, in accordance with the principles of fairness, reasonableness and cost adaptation, the guidance guidelines of the Beijing Stock Exchange have also made "three optimizations" to the guidance and supervision of the North Exchange through the "three combinations":
First, highlight the guidance of supporting the superior and limiting the inferior, combine the guidance and supervision with the company's performance, and optimize the arrangement of the guidance period. According to the guidance guidelines of the Beijing Stock Exchange, the company and its directors, supervisors, senior managers, shareholders and actual controllers (or their legal representatives) have not been subject to disciplinary action, regulatory measures or administrative penalties on the new third board for a continuous period of 12 months (including companies that have been listed for 12 months before delisting) as of the time of submission of guidance and acceptance materials for the Beijing Stock Exchange. The tutoring period may be less than 3 months.
The second is to balance the intensity and cost of supervision, combine guidance supervision with on-site inspection, and optimize the mode of guidance supervision. The guidance guidelines of the Beijing Stock Exchange are clear: listed companies that have undergone on-site inspection in the past 24 months may, in principle, not be stationed at the scene in the process of guidance supervision, and the materials obtained during the previous on-site inspection can be cited in the guidance supervision report.
The third is to improve the convenience of the supervision process, combine guidance supervision with optimization services, and optimize the securities market knowledge testing process. In order to facilitate the relevant personnel of the proposed listed company to participate in the securities market knowledge test, the guidance guidelines of the Beijing Stock Exchange proposed that the Securities Regulatory Bureau may, according to the actual needs of the listed company, organize relevant personnel to participate in the securities market knowledge test on a regular or irregular basis, and specify the circumstances under which they can be exempted from the test.
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