審核流程透明化 新三板排隊企業亮相
2014-07-11 1017 上海證券報 作者:朱方舟
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與擬IPO公(gong)司一樣,非(fei)上市(shi)公(gong)眾(zhong)公(gong)司的審核信息也走(zou)上公(gong)開透明(ming)的軌(gui)道。
7月8日晚(wan),網站首次公(gong)(gong)布非上市公(gong)(gong)眾公(gong)(gong)司行政許可(ke)事項審核工(gong)作流程及(ji)申請企業情況,進一步(bu)規范行政許可(ke)行為,提高監管工(gong)作透明度(du)。這預(yu)示(shi)著,被納入(ru)資(zi)本市場“正規軍”之后,擬掛(gua)牌(pai)的企業在審核程序(xu)和信息披露方面實行規范化(hua)、透明化(hua),與IPO的披露程序(xu)相接軌(gui)。
根據證監會(hui)網站公(gong)布(bu)的審(shen)核(he)全工作(zuo)流程,非公(gong)眾(zhong)上市公(gong)司首(shou)發審(shen)核(he)需闖六道關(guan)卡,包(bao)括受理、審(shen)核(he)、反饋(kui)、落(luo)實反饋(kui)意見、行政(zheng)許可(ke)結論意見、封卷。
首先,證(zheng)監(jian)會受(shou)理部(bu)(bu)門將根(gen)據(ju)相(xiang)關規則(ze)的要(yao)(yao)求(qiu),依法接(jie)收非(fei)(fei)(fei)上(shang)(shang)市(shi)公(gong)(gong)(gong)眾(zhong)公(gong)(gong)(gong)司(si)(si)(si)行政(zheng)許可申(shen)請(qing)(qing)文(wen)件,并按程序轉非(fei)(fei)(fei)上(shang)(shang)市(shi)公(gong)(gong)(gong)眾(zhong)公(gong)(gong)(gong)司(si)(si)(si)監(jian)管(guan)部(bu)(bu);行政(zheng)許可申(shen)請(qing)(qing)受(shou)理后(hou)(hou),非(fei)(fei)(fei)上(shang)(shang)市(shi)公(gong)(gong)(gong)眾(zhong)公(gong)(gong)(gong)司(si)(si)(si)監(jian)管(guan)部(bu)(bu)根(gen)據(ju)申(shen)請(qing)(qing)項目具體情況等,按照審(shen)(shen)核(he)(he)(he)(he)標準審(shen)(shen)查(cha)(cha)申(shen)請(qing)(qing)人(ren)的申(shen)請(qing)(qing)材料(liao);此(ci)后(hou)(hou),審(shen)(shen)查(cha)(cha)人(ren)員在審(shen)(shen)核(he)(he)(he)(he)過程中(zhong)發現需要(yao)(yao)申(shen)請(qing)(qing)人(ren)補充(chong)披(pi)露、解釋說明以(yi)及中(zhong)介機(ji)構(gou)進一步核(he)(he)(he)(he)查(cha)(cha)落(luo)實的,應當(dang)(dang)撰(zhuan)寫反(fan)饋(kui)意(yi)(yi)見,并將反(fan)饋(kui)意(yi)(yi)見轉受(shou)理部(bu)(bu)門告知、送達(da)(da)申(shen)請(qing)(qing)人(ren);在落(luo)實反(fan)饋(kui)意(yi)(yi)見環節,申(shen)請(qing)(qing)人(ren)應當(dang)(dang)在規定(ding)時間內向受(shou)理部(bu)(bu)門提交(jiao)反(fan)饋(kui)回復意(yi)(yi)見,受(shou)理部(bu)(bu)門將反(fan)饋(kui)回復意(yi)(yi)見轉非(fei)(fei)(fei)上(shang)(shang)市(shi)公(gong)(gong)(gong)眾(zhong)公(gong)(gong)(gong)司(si)(si)(si)監(jian)管(guan)部(bu)(bu);按要(yao)(yao)求(qiu)對申(shen)請(qing)(qing)材料(liao)和回復意(yi)(yi)見審(shen)(shen)核(he)(he)(he)(he)完(wan)畢后(hou)(hou),非(fei)(fei)(fei)上(shang)(shang)市(shi)公(gong)(gong)(gong)眾(zhong)公(gong)(gong)(gong)司(si)(si)(si)監(jian)管(guan)部(bu)(bu)撰(zhuan)寫審(shen)(shen)查(cha)(cha)報(bao)告,做出(chu)核(he)(he)(he)(he)準、中(zhong)止(zhi)審(shen)(shen)核(he)(he)(he)(he)、終止(zhi)審(shen)(shen)核(he)(he)(he)(he)、不(bu)予核(he)(he)(he)(he)準的決(jue)定(ding),送辦公(gong)(gong)(gong)廳(ting)印制批復文(wen)件,再送達(da)(da)于申(shen)請(qing)(qing)人(ren);最后(hou)(hou),非(fei)(fei)(fei)上(shang)(shang)市(shi)公(gong)(gong)(gong)眾(zhong)公(gong)(gong)(gong)司(si)(si)(si)監(jian)管(guan)部(bu)(bu)將及時完(wan)成申(shen)請(qing)(qing)材料(liao)原件重新(xin)分類存檔(dang)備(bei)查(cha)(cha)工作。
同(tong)時(shi),證監會(hui)還披露了非上(shang)市公(gong)(gong)(gong)眾公(gong)(gong)(gong)司的排(pai)隊名單(dan)及審核進度,包括江(jiang)蘇省鐵路(lu)發展股(gu)份(fen)(fen)有限公(gong)(gong)(gong)司、山東(dong)齊(qi)魯華信實業股(gu)份(fen)(fen)有限公(gong)(gong)(gong)司、濟南圣泉(quan)集團(tuan)股(gu)份(fen)(fen)有限公(gong)(gong)(gong)司、山東(dong)家家悅投資控股(gu)股(gu)份(fen)(fen)有限公(gong)(gong)(gong)司、山東(dong)征宙(zhou)機(ji)械股(gu)份(fen)(fen)有限公(gong)(gong)(gong)司等(deng)5家公(gong)(gong)(gong)司。其(qi)中前3家已獲得(de)證監會(hui)核準,山東(dong)家家悅投資正在(zai)反饋(kui)環節(jie),山東(dong)征宙(zhou)機(ji)械的申請文(wen)件已獲受理(li)。
對于監管(guan)層(ceng)將新三板企業(ye)與IPO企業(ye)同(tong)等對待(dai)的(de)(de)做法,中銀律師(shi)事務所(suo)合伙人對上(shang)證報記(ji)者表示(shi),證監會大力推進改(gai)革(ge),監管(guan)思路轉化,或是(shi)在為未來的(de)(de)注冊制(zhi)打(da)下(xia)基礎。特別是(shi)在掛(gua)牌準入方面(mian),只要求掛(gua)牌公司信息披露(lu)公開、透明(ming)、規范,不進行(xing)實質(zhi)審(shen)核,不作(zuo)投資(zi)價值(zhi)判斷,交由市場以及各類(lei)市場主(zhu)體進行(xing)遴選和投資(zi)判斷,“這(zhe)不僅加強了對掛(gua)牌公司的(de)(de)監管(guan),同(tong)時也在嚴格審(shen)核程序(xu),杜絕暗箱(xiang)操作(zuo)。”