The Securities Regulatory Commission replies to the people’s network users: urge the securities company compliance exhibition industry to strengthen the departure supervision

The Securities Regulatory Commission replies to the people’s network users: urge the securities company compliance exhibition industry to strengthen the departure supervision

  In recent years, the Securities Regulatory Commission has implemented a new round of comprehensive and deepening capital market reforms, under the "construction system, no intervention, zero tolerance", the capital market is undergoing profound structural changes.

How to build a more standardized, transparent, open, energetic, tough capital market, has also become the focus of netizens.

  Since this year, netizens have actively contributed to the development of the capital market through the "Leadership Message Board" of the People’s Network, such as "The Quality of the Sockets of the Securities Company" "Quality" "Quality of the Municipal Medal" "" "… Recently, the Securities Regulatory Commission responded to netizens, it would urge to urge securities company compliance exhibition industry, strengthen the exhibition supervision, and earnestly protect the legitimate rights and interests of investors.

  Strictly crack down on the false, misleading, misleading publicity in accordance with the law, "The SFC will strive in accordance with the law. "In response to netizens on the suggestion of combating securities companies, the SFC said that follow-up will continue to urge the securities company compliance exhibition industry, and earnestly protect the legitimate rights and interests of investors. According to the Interim Provisions on Securities Investment Consultant, "the" Securities Company conducts the business of securities investment consultants "," prohibiting marketing promotion of service capabilities and past performance, no real, misleading, prohibiting the commitment or guaranteeing investment income in any way ", And "providing securities investment consultant services, should sign the Securities Investment Advisory Service Agreement with the Customer", and clarify the "responsibility and prohibition of the principals of the parties" in the agreement, the responsibility and prohibition of securities investment consultants. "Recording Management" has stimulated the vitality of the securities audit market on improving the quality of the listed company, the Securities Law said that the "Securities Law" implemented on March 1, 2020, implemented the "venting service" reform requirements, and canceled the accounting firm The qualification license for service business, replaced by the record, inspiring the vitality of the securities audit market, the accounting firm engaged in securities service business is increased from 50 to the end of February this year, and the supply of the audit practitioner continues to increase, to a certain extent will be alleviated Listed (listing) company annual report pressure. Some netizens suggested that through the listing (listing) companies in different trading venues, set up different accounting annual periods, reduce the working concentration of intermediaries and improve the quality of work of intermediaries.

In this regard, the Securities Regulatory Commission responded that this does not match the "Accounting Year from the Current France" in my country to December 31 to December 31, in addition, it will also reduce the company, especially the same Accounting information between different companies in the industry is comparable.

  The Securities Regulatory Commission pointed out that "the impact of the adjustment of the annual period of the accounting year will consider the impact on the national economic statistics, taxation and other various influences, and the relevant departments or units need to coordinate cooperation to improve their supporting regulations.

"Strictly retreating, increasing" Red Card penalty "Terms" proposes to strictly implement a deflated system for fake listed companies, consistent with the direction I will reform.

The Securities Regulatory Commission said that the retreated system is the basic system of the capital market, and it is necessary to persist in retreat, and is resolutely ventilated with serious illegal violations and serious disrupt capital market order.

  The 2020 Years Calm has launched a new round of retreat system reform. In November, the "Implementation Plan for the Implementation Plan of the Shengshi Company, the Implementation Plan" approved by the DISCA, the 16th meeting of the Central Committee, clearly stated that it is necessary to adhere to the marketization, the direction of the rule of law, improve the retreated standard, simplify the retreat procedure, and broaden the multiple exit Channels, strictly returned the market, improve the normalization of normalization. On December 31, 2020, the Shanghai-Shenzhen Stock Exchange released the revised refund rules. In response to companies that have passed non-standard audit opinions, increase the type of audit opinion and financial indicators for comprehensive combination of refund rules, blocking system vulnerabilities; in response to serious disruption of market order and refusing to correct cases, increasing direct "red card penalty The following "Terms; Under the premise of retaining the original major illegal refund standards, for the fake fake cases of the fake balance, the proportion of the fake amount + fraudulent proportion of fake ratios" is added in accordance with the original rules. .

In terms of retreating procedures, simplify the relevant links and improve the delisting efficiency.

  The Securities Regulatory Commission said that the next step will continue to establish an important part of the establishment of a normalized returning mechanism as an important part of the comprehensiveness of capital market reform, and effectively strengthen the delisting supervision and speed up the implementation of investor protection.