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投服中心密集开展现场行权

2017-10-16 07:32:54   

持股行权是中证中小投资者服务中心的主要业务之一。除了在上市公司发生重大事项时以普通股东身份行使质询权、表决权、诉讼权之外,近期投服中心密集赴上市公司行使查阅权,通过现场查阅上市公司董事会、监事会、股东大会记录等材料的方式,更进一步监督上市公司完善公司治理。

代表中小股东现场行使查阅权

日前,中国证券报记者随投服中心行权事务部的工作人员来到位于上海市郊的柘中股份,对投服中心行使小股东查阅权的过程进行了现场采访。

投服中心人士介绍,《公司法》《证券法》赋予上市公司股东的权利约有14项,其中知情权、表决权、建议与质询权等8项权利对持股比例和持股期限没有要求,董事提名权、提案权、股东大会召集权等6项权利对持股比例和期限有要求。对中小投资者来说,行使较多的是没有持股比例限制的权利。本次投服中心前往柘中股份行使的是“知情权”中投资者对上市公司相关文件进行查阅的权利,即“查阅权”。

在现场,投服中心工作人员不仅查阅了柘中股份的公司章程,而且对公司过往股东大会、董事会、监事会的会议记录等文件也进行了查阅,对其中若干与相关规则不符或不够完善的地方,向公司方面当场指出并提出了改进建议。

比如,柘中股份公司章程第五十四条规定“公司召开股东大会,董事会、监事会以及单独或者合并持有公司3%以上股份的股东,有权向公司提出提案”,与第八十三条中“董事、监事提名的方式和程序为:(一)单独或者合并持股5%以上的股东、董事会可以向股东大会提出董事的提名议案”等内容在比例上不一致,而且第八十三条提高比例至5%以上,不合理的限制、剥夺了股东对董事、监事候选人的提名权,投服中心建议公司对此内容予以修改。

另外,投服中心工作人员发现公司董事会、监事会、股东大会在程序、会议记录、表决结果等方面存在不完善之处。例如,董事会监事会会议未签到,少量归档资料缺失原件,一次董事会决议签字人数与会议记录签字人数不符,股东大会记录不够完整等。对此,投服中心工作人员一一予以指出并提出改进意见。

柘中股份董秘郭加广诚恳地表示,投服中心指出的这些不规范之处,如不加以改正,很可能给公司治理埋下隐患。投服中心通过行使查阅权及时发现了问题,对企业帮助很大。郭加广认为,投服中心的持股行权工作很有意义,是从股东的角度,而不是从传统的监管角度出发,不仅有助于唤醒投资者的权利意识,而且能督促公司规范管理,规避潜在风险,对上市公司、投资者和整个A股市场都是好事。

扩大持股行权的广度

上市公司股东查阅权的法律依据是《公司法》第九十七条的相关规定,查阅对象包括上市公司章程、股东名册、公司债券存根、股东大会会议记录、董事会会议决议、监事会会议决议、财务会计报告等。

2017年8月以来,投服中心扩大持股行权的广度,扩展持股行权的范围和频次,以股东身份集中行使查阅权,已查阅公司41家,覆盖上海、广东、安徽、重庆等12个辖区。查阅发现,上市公司三会运作存在董监高缺席股东大会、董事会、监事会,会议记录不完整,会议程序不合规,档案保存环节不完善等问题。此外,公司章程不合规、上市公司不配合股东行使查阅权的问题也普遍存在。

对于上述问题,投服中心表示,《国务院办公厅关于进一步加强资本市场中小投资者合法权益保护工作的意见》、证监会《上市公司股东大会规则(2016年修订)》、《上市公司章程指引(2016年修订)》部分已经有相关规定,只是上市公司未按照规定执行。针对这种情况,投服中心会明确告知相关法律规定,指出上市公司违法违规之处。也有部分内容,由于法律的滞后性和成文法本身的缺陷,虽然暂时未有明确规定,但上市公司存在明显不完善的地方。对此,投服中心也会告知相关法理、证券监管机构要求以及其他上市公司比较完善的做法。

绝大多数上市公司能够配合查阅,认真听取投服中心指出的问题并承诺及时落实整改,并且普遍认为,投服中心行使股东查阅权,可以从专业、积极的角度监督上市公司完善和提升公司治理水平,帮助上市公司及早发现并改正包括三会运作在内的治理问题,提高公司规范运作的能力。

到目前为止,对于查阅中发现的问题,投服中心主要是现场告知并提出完善建议,针对少数上市公司采取发送书面的股东建议函。投服中心表示,针对上市公司存在的问题,如有必要也可以采取司法途径,向相关部门报告。

(原标题:投服中心密集开展现场行权)

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