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证监会检查21家律所47个IPO项目 8家领警示函

2017-10-14 06:57:54   

■本报记者 左永刚

10月13日,证监会通报了2017年度律师事务所从事企业首次公开发行股票并上市(IPO)证券法律业务专项检查处理情况。据证监会新闻发言人常德鹏介绍,此次专项检查共抽查21家律师事务所47个IPO项目,检查发现大部分律师事务所执业规范性与执业质量提高明显,但部分律师事务所不注重风险控制制度、内部复核制度、利益冲突及内幕交易防范制度的建设。

据记者了解,证监会于今年3月份组织开展了律师事务所从事企业首次公开发行股票并上市(IPO)证券法律业务专项检查工作。本次专项检查由北京证监局、上海证监局、江苏证监局、浙江证监局、安徽证监局、湖南证监局、广东证监局、深圳证监局具体进行。

常德鹏表示,检查发现,大部分律师事务所在从事证券法律业务过程中越来越重视执业的规范化,特别是经历了去年并购重组法律业务专项检查的律师事务所,其执业规范性与执业质量提高明显,发挥了较好的资本市场合规把关作用。

同时,检查也发现一些律师事务所及律师在执业过程仍然存在一些问题。部分律师事务所内部管理松散,质量管理意识和责任意识不强,未能真正实现律师事务所一体化管理。突出表现在,有的律师事务所不注重风险控制制度、内部复核制度、利益冲突及内幕交易防范制度的建设,制定的管理制度不符合法律法规要求,或者虽然建立了内部管理制度,但是流于形式,不能有效执行。有的律师在执业过程中尚未完全形成以质量为导向的从业理念,不能采取适当的方式进行核查验证,存在“轻过程、重结果”的情况,在未取得相关证据材料的情形下,便出具法律意见书,严重影响了法律意见书的质量。还有的律师事务所在出具的法律意见书中使用含糊措辞,出现文字、数据等错误,不重视工作底稿的制作与保存。

常德鹏表示,对于专项检查过程中发现的问题,各检查单位依法从严处理,对8家律师事务所、10名律师采取了警示函行政监管措施,对3名律师采取监管谈话行政监管措施,对1家律师事务所采取责令改正行政监管措施,并记入资本市场诚信数据库。

常德鹏指出,下一步,证监会将继续贯彻落实依法全面从严监管理念,对律师事务所从事证券法律业务实行常态化、全覆盖的现场检查监管,进一步加大对律师事务所从事证券法律业务的监管执法力度,强化律师事务所及律师的主体责任,督促其勤勉尽责。对检查发现有律师事务所或者律师在执业中违反法律规定未勤勉尽责的,将依法从严惩处,并按规定记入诚信档案,实施失信联合惩戒。所有从事证券法律业务的律师事务所及律师个人都要进一步增强依法合规、诚实守信意识,勤勉尽责,严格规范自己的执业活动,履行自己作为资本市场“看门人”的法定职责和崇高使命,进一步发挥好资本市场核查把关作用,维护资本市场秩序,保护投资者合法权益。

下一步将对律所从事证券法律业务实行常态化、全覆盖的现场检查监管

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