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Oversaw and ensured the reform of the Growth Companies Market, the disciplinary inspection and supervision team stationed at the China Securities Regulatory Commission personally interviewed key personnel and interviewed more than 20 people
Source: Securities Times
Cheng dan
Information from the website of the Central Commission for Disciplinary Inspection and State Supervision Commission shows that the China Securities Regulatory Commission’s Disciplinary Inspection and Supervision Team simultaneously oversees and ensures the reform of the GEM, has personal interviews with staff key and more than 20 employees in charge of the Shenzhen Stock Exchange, members of the listing committee and cadres of the Column listing review center.
The China Securities Regulatory Commission’s Disciplinary Supervision and Inspection Team is reported to have stepped up its efforts to deal with cases and problem leads that have arisen, and is focused on investigating and handling issues that may affect the process. ChiNext Board reform policy, and investigate and address issues that can affect the major reform process and trigger systemic risk events. Three types of cases, including internal and external collusion between cadres and market personnel, are prioritized for investigation and punishment.
Staff of key positions in the reform of the ChiNext board accept interviews
Listening to special reports on GEM audits and conducting on-site supervision and inspection of the Shenzhen Stock Exchange Audit Center … Recently, with the implementation of the reform of the registration system in the Shenzhen GEM Stock Exchange, the Disciplinary Inspection and Supervision Group of the Central Commission for Disciplinary Inspection and the State Supervision Commission in the China Securities Regulatory Commission has intervened simultaneously to carry out the supervision of the entire process. Effectively integrate energy monitoring and control into various system designs and specific reform measures.
It is reported that before the reform of the GEM registry system, the Inspection and Disciplinary Supervision Team of the China Securities Regulatory Commission went to the Shenzhen Stock Exchange to conduct special inspections and investigations, requiring great attention to risks corruption that may arise from the GEM reform, further enhance the GEM reform and put the oversight system of the registry system to the test. And institutional mechanisms.
After the implementation of the registration system, the members of the Listing Committee and the staff of the Audit Center have become key positions and key personnel of the Shenzhen Stock Exchange. The Inspection and Disciplinary Supervision Team of the China Securities Regulatory Commission implemented simultaneous intervention and supervision in the selection of relevant personnel and conducted individual interviews with more than 20 employees in charge of the Shenzhen Stock Exchange, members of the committee of quote and charts of quote review center. The Party Committee and the Shenzhen Stock Exchange Disciplinary Committee should formulate a strict management system, strengthen the supervision of the 49 members of the Listing Committee and the 98 cadres and employees of the audit center, establish clean government files one by one and focus on managing evasion problems and checking for problem tracks. Under the supervision of the Inspection and Disciplinary Supervision Team of the China Securities Regulatory Commission, the Disciplinary Inspection Commission of the Shenzhen Stock Exchange has established integrity files especially for listing review and issuance and underwriting supervisors, imparted training and talks on integrity issues for all managers and employees of the quote review center, and conducted special inspections on illegal stock transactions. .
Based on the preliminary review and formation of the list of public powers and responsibilities of the exchange, and in accordance with the adjustments made to the public powers of the Securities Regulatory Commission in the recently revised Securities Law, the Inspection and Disciplinary Supervision of the China Securities Regulatory Commission urged the Parties Committee of the Shenzhen Stock Exchange to update the two lists in a timely manner. Focus on paying attention to and clarifying responsibilities related to the rules system, division of duties, and review workflows related to the list review system, to ensure that reform and oversight are implemented, coordinated and implemented.
According to information on the website of the State Supervisory Commission of the Central Commission for Disciplinary Inspection, the Inspection and Disciplinary Supervision Team of the China Securities Regulatory Commission has stepped up its efforts to handle cases and trouble leads that have been submitted. Three types of cases are prioritized for investigation and punishment, including systemic risk events and internal and external collusion between supervisory officials and market personnel. In the process of advancing the registration system for the growing enterprise market, the quality of the management of issues related to the key positions of the Shenzhen Stock Exchange is ensured by the “upgrade management” method.
The entire GEM review chain is transparent
Since the beginning of the review of the GEM registry system, we have insisted on reforms in a transparent manner to avoid regulatory blind spots and corruption risks.
On the one hand, under the unified leadership of the China Securities Regulatory Commission, the Shenzhen Stock Exchange insisted on “opening the door for reforms”, carefully listening to the opinions and suggestions of all market parties on the main rules. , coordinating the long-term objectives of the GEM reform and the phased characteristics of the pilot, taking into account the characteristics of the stock market and new companies Circumstances, basic system reforms, such as issuance, listing, information disclosure, trading and delisting, and relevant trade rules and support agreements at the exchange level will be drafted, formulated, revised and improved, and the GEM reform will be consolidated and registered as a pilot. Various basic systems.
On the other hand, it insists on “transparency and reform” to ensure that the entire chain of audit standards, audit time, audit status and audit results is open and transparent. Join forces from all parties in the market to do a good job on relevant work, “carry out reforms together”, to ensure the smooth operation, orderly progress and effective results of the Business Market reform in Growth and pilot registration system serving innovation and high-quality entrepreneurship and economic development.
In terms of improving the effectiveness of frontline supervision, the Shenzhen Stock Exchange adheres to strict rules, targeting vicious behaviors such as counterfeiting, fraud, and squatting and emptying. It strengthens oversight of key high-risk areas such as performance commitments, external guarantees, and impairment of goodwill, and keeps a close eye on listed companies. “Key minority” increase penalties for violations of laws and regulations and protect the legitimate rights and interests of investors. Strengthen scientific supervision, classified supervision and precise supervision, promulgate the “Measures for the classified management of the risks of listed companies” and amend and publish the “Measures for the evaluation of the information disclosure work of listed companies “to provide more convenient financing, mergers and acquisitions for high-quality listed companies that continue to regulate operations, strictly targeting and supervising problem and risky, frequently chaotic companies, reflecting the supervisory guidance of” supporting the good and punish the bad guys. ” Deepen scientific and technological supervision, accelerate the development and construction of the third phase of the corporate portrait project, effectively improve the ability to find clues about violations of laws and regulations, and effectively implement “zero tolerance”.
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