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Opinions of the China Securities Regulatory Commission, the National Development and Reform Commission, the People's Bank of China, and Other Departments on Strengthening the Sharing of Regulatory Information on Relevant Market Participants and Improving the Joint Punishment Mechanism of Dishonesty in the Pilot Program of the Registration System on the STAR Market [Effective]
中国证监会、发展改革委、人民银行等关于在科创板注册制试点中对相关市场主体加强监管信息共享完善失信联合惩戒机制的意见 [现行有效]
【法宝引证码】

Opinions of the China Securities Regulatory Commission, the National Development and Reform Commission, the People's Bank of China, the State-owned Assets Supervision and Administration Commission of the State Council, the State Administration for Market Regulation, the China Banking and Insurance Regulatory Commission, the Civil Aviation Administration of China, and the China State Railway Group Co., Ltd. on Strengthening the Sharing of Regulatory Information on Relevant Market Participants and Improving the Joint Punishment Mechanism of Dishonesty in the Pilot Program of the Registration System on the STAR Market 

中国证监会、发展改革委、人民银行、国资委、市场监管总局、银保监会、民航局、国铁集团关于在科创板注册制试点中对相关市场主体加强监管信息共享 完善失信联合惩戒机制的意见

Entities taking the lead in building the social credit system of all provinces, autonomous regions, municipalities directly under the Central Government and Xinjiang Production and Construction Corps; all dispatched offices of the China Securities Regulatory Commission ("CSRC") and Shanghai Stock Exchange; all branches of the People's Bank of China ("PBC"); state-owned assets supervision and administration commissions of all provinces, autonomous regions and municipalities directly under the Central Government; market regulatory bureaus (departments and commissions) of all provinces, autonomous regions, municipalities directly under the Central Government, and Xinjiang Production and Construction Corps; all dispatched offices of the China Banking and Insurance Regulatory Commission; all regional administrations of the Civil Aviation Administration of China ("CAAC"), all transport (general) airlines, airport companies, China TravelSky Holding Company Limited, airport public security bureaus, all China Railway regional group companies, China Academy of Railway Sciences, and all railway public security bureaus: 各省、自治区、直辖市、新疆生产建设兵团社会信用体系建设牵头单位,中国证监会各派出机构、上海证券交易所,中国人民银行各分支机构,各省、自治区、直辖市国资委,各省、自治区、直辖市、新疆生产建设兵团市场监管局(厅、委),中国银保监会各派出机构,民航各地区管理局、各运输(通用)航空公司、机场公司、中国民航信息集团、机场公安局,各铁路局集团公司、铁科院集团公司、各铁路公安局:
For the purposes of strengthening the duty of good faith issuers and listed companies have in information disclosure, maximizing the role of intermediaries in verification and control, urging all participants in the securities market to be dutiful, further creating a market environment advocating good faith conducive to the pilot program of the registration system on the STAR Market, protecting the lawful rights and interests of investors, and promoting the stable and sound development of the capital market, as required by the Implementation Opinions on Setting up the STAR Market and Launching the Pilot Program of the Registration System on the Shanghai Stock Exchange as approved the CPC Central Committee and the State Council, the following specific opinions are hereby offered on strengthening the sharing of regulatory information and improving the joint punishment mechanism of dishonesty in the pilot program of the registration system on the STAR Market: 为了强化发行人、上市公司对信息披露的诚信义务,充分发挥中介机构的核查把关作用,督促证券市场参与各方归位尽责,进一步营造有利于科创板试点注册制的诚信市场环境,保护投资者合法权益,促进资本市场平稳健康发展,按照经党中央、国务院同意的《关于在上海证券交易所设立科创板并试点注册制的实施意见》要求,现就在科创板注册制试点中加强监管信息共享、完善失信联合惩戒机制,提出以下具体意见:
I. Access to regulatory information. In the process in which the Shanghai Stock Exchange establishes the STAR Market and conducts the pilot program of the registration system, the CSRC and the Shanghai Stock Exchange may, at the time of performing duties such as reviewing issuance and listing, follow-on offering, and mergers and acquisitions and making registration decisions, access regulatory information on issuers, listed companies, their controlling shareholders, actual controllers, directors, supervisors, senior management, and relevant intermediaries and personnel, especially information on their violation of law and dishonesty, in reliance on the following information platforms, or by requesting relevant entities to provide assistance and make arrangements:   一、关于监管信息查询。在上海证券交易所设立科创板试点注册制过程中,证监会、上海证券交易所在履行发行上市、再融资、并购重组审核与作出注册决定等职责时,可以依托以下信息平台,或商请有关单位协助安排,获取发行人、上市公司及其控股股东、实际控制人、董事、监事、高级管理人员,以及相关中介机构与人员的监管信息,特别是违法失信信息:
1. Accessing the public credit information of the aforesaid market participants by self-service access on the National Credit Information Sharing Platform, assistance in access by the National Public Credit Information Center, or otherwise. (一)通过全国信用信息共享平台自助查询、国家公共信用信息中心协查等方式,获取上述市场主体的公共信用信息;
2. Accessing the credit reporting information of the aforesaid market participants by self-service access of the National Financial Credit Information Basic Database, assistance in access by the Credit Reference Center of the People's Bank of China, or otherwise. (二)通过金融信用信息基础数据库自助查询、人民银行征信中心协查等方式,获取上述市场主体的征信信息;
3. Accessing relevant enterprise information by self-service access of the National Enterprise Credit Information Publicity System, exchange of enterprise-related information by agreement, or otherwise. (三)通过国家企业信用信息公示系统自助查询、涉企信息协议交换等方式,获取相关企业信息。
II. Transmission of dishonesty information. The CSRC shall transmit the following information on violation of law and dishonesty generated in the pilot program of the registration system on the STAR Market to credit information platforms such as the National Credit Information Sharing Platform and the National Enterprise Credit Information Publicity System and include the information in the National Financial Credit Information Basic Database, for sharing by relevant departments:   二、关于失信信息推送。证监会将科创板注册制试点中产生的以下违法失信信息,推送给全国信用信息共享平台、企业信用信息公示系统等信用信息平台,纳入金融信用信息基础数据库,供有关部门共享:
1. Administrative punishment, market access bans, and regulatory measures imposed by the CSRC and its dispatched offices on issuers, listed companies, intermediaries, and related responsible persons. (一)证监会及其派出机构对发行人、上市公司、中介机构及相关责任人员作出的行政处罚、市场禁入、监管措施;
2. The criminal transfer of issuers, listed companies, intermediaries, and related responsible persons made by the CSRC and its dispatched offices. (二)证监会及其派出机构对发行人、上市公司、中介机构及相关责任人员作出的刑事移送;
3. Disciplinary action taken by stock exchanges against issuers, listed companies, intermediaries, and related responsible persons. (三)证券交易所对发行人、上市公司、中介机构及相关责任人员作出的纪律处分。
III. Application of credit records. Where the CSRC or the Shanghai Stock Exchange discovers in the process of reviewing issuance and listing, follow-on offering, or mergers and acquisitions, making registration decisions, or the like that an issuer, listed company, or any of its controlling shareholders, actual controllers, directors, supervisors, and senior management has records of violation of law or dishonesty within the statutory period in another field or other department, the records shall be used as an important reference point for performing their duties such as reviewing issuance and listing, follow-on offering, or mergers and acquisitions and making registration decisions.
......
   三、关于信用记录应用。证监会、上海证券交易所在发行上市、再融资、并购重组审核与作出注册决定等过程中,发现发行人、上市公司及其控股股东、实际控制人、董事、监事、高级管理人员在其他领域、其他部门存在法定期限内的违法失信记录的,将其作为履行发行上市、再融资、并购重组审核与作出注册决定等职责的重要参考。
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