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“三部曲”探索全流程保护投资者

2017-09-11 13:22:41   中国经济网

在持股行权方面,投资者服务中心通过购买上市公司股票的方式,以普通股东身份行使法律赋予股东的质询、建议、投票、诉讼等各项权利。截至2017年6月底,投服中心已持有全国3122家上市公司股票,累计向225家上市公司发送股东建议函,现场参与55家上市公司股东大会、20家重组媒体说明会和投资者说明,并就中小股东投票、利润分配、并购重组、违规减持等方面发表意见近千条。

强化各环节嵌入式监管

“资本市场的投资者保护不仅是证监会投保局和证券监管部门的责任,还需要各部门、各单位的合作,以及各项配套制度的支持。”武汉科技大学金融证券研究所所长董登新认为,保护投资者合法权益是证监会监管工作的出发点和落脚点,证监会各项制度安排和监管工作都围绕和体现着保护投资者权益的政策目标。

首先,在源头上严格把控股票融资审核,为投资者把好“股票入口”的质量关。监管部门在新股发行制度改革中纳入专门的投资者保护机制。建立摊薄即期回报补偿机制,要求首发企业制定切实可行的填补回报措施;以及建立保荐机构先行赔付制度,要求保荐机构在公开募集及上市文件中作出先行赔付承诺等。今年1至7月共审核329家企业首发申请,否决43家,否决率为13.07%,远高于2016年2.21%的水平。

其次,在重要制度建设中贯彻投资者保护要求。赵敏介绍,在股票发行改革、退市、并购重组、公司债券、新三板等制度建设中全面嵌入投资者保护要求,例如在《关于进一步推进新股发行体制改革的意见》《首次公开发行股票并在创业板上市管理办法》等发行制度改革中强化市场经营主体责任;在《关于改革完善并严格实施上市公司退市制度的若干意见》等上市公司退市制度中强化投资者保护安排。

再次,保护投资者各项合法权益。赵敏表示,在完善信息披露方面,证监会明确上市公司信息披露事务管理和系统单位信息披露监管职责。完善行业信息披露业务规则和指引,沪、深交易所制定了上百项上市公司自律监管业务规则、行业信息披露指引和临时公告格式指引。

在完善中小投资者投票参与机制方面,修订上市公司系列配套制度,对网络投票、征集投票权、股东大会投票表决第三方见证制度、中小投资者表决单独计票、关联方回避表决机制、控股股东或实际控制人不得损害公司和中小投资者权益机制做出具体规定。监管部门还构建优化投资者回报机制,2016年,沪深两市有2031家公司现金分红,共计8301亿元,有1415家上市公司已连续3年现金分红。

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