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2014-07-11 1017 上海證券報 作者:朱方舟

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 與擬IPO公司(si)一(yi)樣,非上(shang)市公眾公司(si)的(de)審核信(xin)息也走(zou)上(shang)公開透(tou)明的(de)軌道(dao)。

  7月8日晚,網站首次公(gong)布非(fei)上(shang)市(shi)公(gong)眾(zhong)公(gong)司行政(zheng)許可事項審核(he)工作流程及(ji)申請企業情況,進一步規范(fan)行政(zheng)許可行為,提高監管工作透明度(du)。這(zhe)預示著,被納入資本市(shi)場(chang)“正規軍”之后,擬掛牌的企業在審核(he)程序和信息(xi)披露(lu)方(fang)面實行規范(fan)化、透明化,與(yu)IPO的披露(lu)程序相接軌。

  根據(ju)證監會(hui)網(wang)站公(gong)布(bu)的(de)審核全(quan)工作流程,非公(gong)眾上(shang)市公(gong)司首(shou)發(fa)審核需闖(chuang)六道關卡,包括受理、審核、反(fan)饋(kui)(kui)、落實(shi)反(fan)饋(kui)(kui)意(yi)見、行政(zheng)許可結論意(yi)見、封卷。

  首(shou)先,證監會受理(li)部(bu)(bu)門(men)將(jiang)根據相關規(gui)則的(de)要求,依法接收非(fei)(fei)(fei)上(shang)(shang)市(shi)(shi)公(gong)(gong)(gong)(gong)(gong)眾(zhong)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)行政許可(ke)申(shen)(shen)(shen)請(qing)(qing)(qing)文件(jian),并按程序轉非(fei)(fei)(fei)上(shang)(shang)市(shi)(shi)公(gong)(gong)(gong)(gong)(gong)眾(zhong)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)監管(guan)部(bu)(bu);行政許可(ke)申(shen)(shen)(shen)請(qing)(qing)(qing)受理(li)后(hou),非(fei)(fei)(fei)上(shang)(shang)市(shi)(shi)公(gong)(gong)(gong)(gong)(gong)眾(zhong)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)監管(guan)部(bu)(bu)根據申(shen)(shen)(shen)請(qing)(qing)(qing)項目(mu)具體情況等,按照審(shen)(shen)核(he)(he)標準(zhun)審(shen)(shen)查(cha)申(shen)(shen)(shen)請(qing)(qing)(qing)人(ren)(ren)的(de)申(shen)(shen)(shen)請(qing)(qing)(qing)材(cai)(cai)料;此(ci)后(hou),審(shen)(shen)查(cha)人(ren)(ren)員(yuan)在審(shen)(shen)核(he)(he)過程中(zhong)發(fa)現(xian)需要申(shen)(shen)(shen)請(qing)(qing)(qing)人(ren)(ren)補充(chong)披露(lu)、解(jie)釋(shi)說明(ming)以及中(zhong)介機構進一步(bu)核(he)(he)查(cha)落實的(de),應(ying)當撰寫反(fan)饋(kui)(kui)意(yi)(yi)見(jian),并將(jiang)反(fan)饋(kui)(kui)意(yi)(yi)見(jian)轉受理(li)部(bu)(bu)門(men)告知、送達(da)申(shen)(shen)(shen)請(qing)(qing)(qing)人(ren)(ren);在落實反(fan)饋(kui)(kui)意(yi)(yi)見(jian)環(huan)節,申(shen)(shen)(shen)請(qing)(qing)(qing)人(ren)(ren)應(ying)當在規(gui)定時間(jian)內向受理(li)部(bu)(bu)門(men)提(ti)交反(fan)饋(kui)(kui)回(hui)復意(yi)(yi)見(jian),受理(li)部(bu)(bu)門(men)將(jiang)反(fan)饋(kui)(kui)回(hui)復意(yi)(yi)見(jian)轉非(fei)(fei)(fei)上(shang)(shang)市(shi)(shi)公(gong)(gong)(gong)(gong)(gong)眾(zhong)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)監管(guan)部(bu)(bu);按要求對申(shen)(shen)(shen)請(qing)(qing)(qing)材(cai)(cai)料和回(hui)復意(yi)(yi)見(jian)審(shen)(shen)核(he)(he)完(wan)畢后(hou),非(fei)(fei)(fei)上(shang)(shang)市(shi)(shi)公(gong)(gong)(gong)(gong)(gong)眾(zhong)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)監管(guan)部(bu)(bu)撰寫審(shen)(shen)查(cha)報告,做出(chu)核(he)(he)準(zhun)、中(zhong)止(zhi)審(shen)(shen)核(he)(he)、終止(zhi)審(shen)(shen)核(he)(he)、不(bu)予核(he)(he)準(zhun)的(de)決定,送辦公(gong)(gong)(gong)(gong)(gong)廳(ting)印(yin)制批(pi)復文件(jian),再(zai)送達(da)于申(shen)(shen)(shen)請(qing)(qing)(qing)人(ren)(ren);最后(hou),非(fei)(fei)(fei)上(shang)(shang)市(shi)(shi)公(gong)(gong)(gong)(gong)(gong)眾(zhong)公(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)監管(guan)部(bu)(bu)將(jiang)及時完(wan)成(cheng)申(shen)(shen)(shen)請(qing)(qing)(qing)材(cai)(cai)料原件(jian)重新分類存檔(dang)備查(cha)工(gong)作。

  同時,證(zheng)監會還披(pi)露了非上市(shi)公(gong)(gong)(gong)眾(zhong)公(gong)(gong)(gong)司的排隊名單及審核進度,包括江蘇省鐵路發展股(gu)份(fen)有(you)限(xian)(xian)公(gong)(gong)(gong)司、山(shan)東齊(qi)魯華(hua)信實業股(gu)份(fen)有(you)限(xian)(xian)公(gong)(gong)(gong)司、濟(ji)南(nan)圣泉集(ji)團股(gu)份(fen)有(you)限(xian)(xian)公(gong)(gong)(gong)司、山(shan)東家(jia)家(jia)悅投資控股(gu)股(gu)份(fen)有(you)限(xian)(xian)公(gong)(gong)(gong)司、山(shan)東征宙(zhou)機械股(gu)份(fen)有(you)限(xian)(xian)公(gong)(gong)(gong)司等5家(jia)公(gong)(gong)(gong)司。其(qi)中前3家(jia)已(yi)獲得證(zheng)監會核準,山(shan)東家(jia)家(jia)悅投資正在反饋(kui)環(huan)節,山(shan)東征宙(zhou)機械的申請(qing)文件已(yi)獲受(shou)理。

  對(dui)(dui)于監(jian)管層將新三板(ban)企業(ye)與IPO企業(ye)同等對(dui)(dui)待的做(zuo)法,中銀律(lv)師事(shi)務所(suo)合伙人對(dui)(dui)上證報記者(zhe)表示(shi),證監(jian)會大(da)力推進改革(ge),監(jian)管思(si)路(lu)轉(zhuan)化(hua),或是在為(wei)未(wei)來的注(zhu)冊制打下(xia)基礎(chu)。特別是在掛(gua)牌(pai)準入方面,只要求(qiu)掛(gua)牌(pai)公司信(xin)息(xi)披露公開、透(tou)明、規(gui)范,不(bu)進行實(shi)質審(shen)核,不(bu)作投(tou)資價(jia)值判斷,交由市(shi)場以及(ji)各類市(shi)場主體進行遴選(xuan)和投(tou)資判斷,“這(zhe)不(bu)僅加強了對(dui)(dui)掛(gua)牌(pai)公司的監(jian)管,同時也在嚴格審(shen)核程序,杜絕暗箱操作。”

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