Bei Stock Exchange: Pay close to the "key minority" supervision four aspects to keep the risk bottom line

Author:China Economic Network Time:2022.08.20

On August 19, the reporter learned from the Bei Stock Exchange that the actual controller of the listed company and the key minority of the high and the director of the directors and supervisors played an important role in the development and growth of the company. With the implementation of the special actions of the quality of listed companies, the awareness of the key minority of listed companies has continued to increase, the corporate governance structure has gradually improved, and the level of internal control has been continuously improved. As the main position of the service innovation SMEs, since its establishment, it has paid attention to improving the quality of listed companies. While taking the good entry level, it has strengthened the supervision of listed companies, grasped the "key minority", and "zero tolerance" for violations. , Promote the high -quality development of listed companies.

It is understood that the Beijing Stock Exchange has recently adopted a series of measures to increase the "key minority" compliance consciousness.

The first is to carry out a series of compliance training. The supervisory department of the Beijing Stock Exchange specializes in the meeting to explain the capital market regulations and major cases of violations of laws and regulations, especially for the company's actual controller and the high subjects of the directors and supervisors to conduct special training in insider transaction prevention and control.

The second is to play the role of commitment constraints. Organize the "key minority" of all listed companies to sign a standardized operation commitment, requiring strictly abide by various laws, regulations, and rules and regulations, honesty, trustworthiness, diligence, improve the awareness of compliance, strengthen self -restraint, and deal with violations of commitments and regulations.

The third is to take the "first lesson of supervision". On the day of the listing, the company's regulatory department will organize the "first lesson of supervision" to timely pass supervision requirements to the enterprise "key minority", prompt illegal risks, and continue to carry out business training in batches in batches in batches, and systematically explain the supervision of listed companies in the supervision of listed companies. rule. At the same time, the Beijing Stock Exchange also wrote a reminder manual for common compliance issues of the Bei Stock Exchange to summarize the errors of special businesses such as business processing, information disclosure, share repurchase, and equity incentives. Reminder beforehand.

The fourth is to strengthen public investor supervision. The annual report of the company's annual report of the company requires the company's chairman and general manager "key minority" and other "key minorities" to "go into battle" to answer questions and improve the communication between the company and small and medium shareholders. Study and build an interactive platform for investor relationship between listed companies, facilitate the interactive exchanges and information acquisition of investors and the company, enhance the enthusiasm of investors to participate in the company's operating decision -making, and strengthen public investor supervision. Continue to organize the "listed company closer to investors" activities, strengthen communication between listed companies and investors, and improve the transparency of listed companies.

The Bei Stock Exchange stated that the next step will continue to strengthen the supervision of "key minority" and firmly adhere to the bottom line of risk: First, strengthen the supervision of "key minority" behavior, especially the company's foreign investment, holding shareholder stock pledge, secondary market transaction, etc. , Preventing funds occupation, illegal guarantee, insider transactions, etc. The second is the company that focuses on "familyization", "one person and multiple jobs", focusing on major issues decision -making procedures to prevent the company's internal control failure; the third is to strengthen scientific and technological supervision, and Increase the "key minority" regulatory portrait module in the scientific and technological supervision system, improve risk discovery capabilities, and deal with and deal with it in a timely manner. The standards are transferred to the case in a timely manner to investigate administrative or criminal responsibility. (Meng Ke)

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