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严防企业“带病闯关” 须从源头上把控新股质量

2017-09-15 07:11:50   中国经济网

择 远

根据证监会安排,9月13日,原本是8家企业的IPO申请上会接受审核,结果是1家取消审核,4家被否。

在笔者看来,出现这样的结果并不意外。这是监管层对新股发行从源头上把控质量,防止企业带病上市,避免“萝卜快了不洗泥”。

统计数据显示,截至9月8日,今年以来,已经有324家IPO公司完成上市,募集资金1631.23亿元;截至9月13日,今年已经有289家企业的IPO申请上会接受审核,其中,237家获得通过,52家被否。

为了防止出现“萝卜快了不洗泥”的情况,监管层对拟上市企业质量实行全流程审核把控,且不仅仅限于后端的发审会上从严把关。所以,我们看到,新股发行常态化的情况下,监管层在严把质量关方面确实是不遗余力,不管是公布终止审查企业名单、开展IPO违法执法行动,还是加大现场检查力度和处罚力度的“组合拳”,都是意在严防企业“带病闯关”。

比如,为促进更多的资源优化配置到实体经济最需要的领域,持续增强首发企业监管力度,加强在审企业问题线索发现和查处,督促中介机构勤勉尽责、审慎执业,证监会于今年上半年开展了IPO企业现场检查工作。通过现场检查,也确实发现了不少问题:部分企业存在未严格执行会计政策、部分业务会计处理不符合权责发生制、招股说明书部分信息披露口径前后不一致、关联方和关联交易披露不完整、内部控制执行不到位、现金使用不规范、会计凭证编制不规范、在建工程转固不及时。

再比如,通过专项问核发现问题,在源头上把控新股质量。所谓专项问核,就是如果发现IPO企业在信息披露方面存在疑点的,首先向保荐机构等中介机构当面了解情况,重点是尽职调查和核查把关情况。如果发现违法违规线索的,将有关线索移交稽查处理。

应该说,证监会推出的这一系列严控新股审核质量和风险的重要举措,向市场持续传导着监管压力,对净化审核环境、支持真正符合条件的优质企业发行上市起到了良好作用。

除了严管,证监会还通过廉政——发布《关于加强发行审核工作人员履职回避管理的规定(2017年修订)》和《关于加强发审委委员履职回避管理的规定(2017年修订),来为新股发行保驾护航。

应该说,严管和廉政这内外两个方向的政策很好地给予了市场IPO常态化下的信心,让优质的企业可以顺利在A股市场IPO。

一天之中,4家IPO申请企业被否,1家取消审核,这或许只是一种偶然。但不管是什么原因,对于拟IPO严格审核,严防企业“带病上市”,这个方向肯定是不会改变的。

最后,还是要对那些想上市的企业说一句:在IPO发行中千万别抱任何侥幸心理,欺诈发行的想法更不能有,因为即使能够成功上市,一旦被查出欺诈问题,肯定会是“新账老账一起算”。

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