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证监会强化保荐机构管理层督导责任

2017-09-25 09:11:53   中国经济网

证监会发行部近日发布发行监管问答,进一步强化保荐机构管理层对保荐项目签字责任的监管要求。证监会指出,保荐机构从事首次公开发行股票并上市和再融资时,应以保荐项目风控为核心,建立健全保荐业务的内控制度。保荐机构董事长、总经理应当在保荐项目首次申报文件,包括招股说明书、发行保荐书、保荐机构尽职调查报告等文件中签字确认,并在招股说明书中出具声明。

证监会指出,为落实“依法监管、从严监管、全面监管”的工作要求,督促保荐机构勤勉尽责,保护投资者特别是中小投资者的合法权益,保荐机构应当进一步完善内部控制制度,强化保荐机构管理层对保荐项目质量控制的签字督导责任。按照《证券发行上市保荐业务管理办法》规定,保荐机构应当建立健全保荐工作的内部控制体系,切实保证相关人员勤勉尽责,严格控制风险,提高保荐业务整体质量。

证监会要求,保荐机构从事首次公开发行股票并上市和上市公司再融资保荐业务,应当以保荐项目风险控制为核心,建立健全保荐业务的内部控制制度,增强自我约束和风险控制能力,切实提高保荐项目执业质量。

同时,保荐机构在执行立项、尽职调查、质量控制、内核、持续督导等保荐业务各个环节相关制度的基础上,进一步强化保荐项目的风险控制,保荐项目的风险控制应当纳入保荐机构公司整体层面的合规和风险控制体系。风险控制应当贯彻保荐业务各个环节,反馈意见回复报告、举报信核查报告和发审委意见回复报告均应履行公司整体层面相应决策和风险控制程序。

证监会还指出,保荐机构推荐首发和再融资项目,应当履行公司内部决策程序,保荐机构董事长、总经理或类似职责人员应当在保荐项目首次申报文件,包括招股说明书或募集说明书、发行保荐书、保荐工作报告或保荐机构尽职调查报告等文件中签字确认,并在招股说明书或募集说明书中出具声明;保荐机构董事长、总经理应当在反馈意见回复报告、举报信核查报告和发审委意见回复报告等文件中出具声明并签字确认,承担相应的法律责任。

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