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| Notice of the Department of Public Offering Supervision of the China Securities Regulatory Commission on Organizing the Inspection on Issuance and Underwriting of New Shares | | 中国证券监督管理委员会发行监管部关于组织对新股发行承销工作进行检查的通知 |
| (Letter No. 473 [2014] of the Department of Public Offering Supervision of the China Securities Regulatory Commission) | | （发行监管部函[2014]473号） |
| All sponsors (underwriters): | | 各保荐机构（承销商）： |
| To implement themeasures and requirements forstrengthening the process regulation, behavior regulation andexpostaccountability concerning the issuance of new shares inthe opinions on the reform of the initial public offering (“IPO”) system, in accordance with the relevant provisions of the Measures for the Administration of Securities Issuance and Underwriting (Order No. 98, CSRC), regular inspection will be conducted on the issuance and underwriting of new shares. You are hereby notified of the specific matters concerning the inspection work as follows: | | 为落实新股发行体制改革意见关于强化新股发行的过程监管、行为监管和事后问责的措施要求，根据《证券发行与承销管理办法》（证监会令98号）的相关规定，将对新股发行承销工作进行常态化的检查。现就与检查工作相关的具体事项通知如下： |
| I. Objectives of the Inspection Work | | 一、检查工作的目标 |
In accordance with the Securities Law, theMeasures for the Administration of Securities Issuance and Underwriting and other laws and regulations and business rules, inspection shall be conducted, with each underwriting projectas a unit, on the compliance of underwriters, issuers (includingtransferors of pre-IPO shares) and the investors under the placing tranche with laws and regulations in such aspects as information disclosure, road show and recommendation, price inquiry, pricing and stock placement in the process of issuance and underwriting of new shares, and any violations of laws or regulations discoveredshall be punished in accordance with the law, so as to promote all participants' further fulfillment of their respective dutiesand maintain the normal order of the primary market.
．．．．．． | | 根据《证券法》、《证券发行与承销管理办法》等法律法规及业务规范，以承销项目为单位，对新股发行承销过程中承销商、发行人（包括老股转让方）、网下投资者在信息披露、路演推介、询价、定价和股票配售等环节的守法合规情况进行检查，并依法对发现的违法违规行为予以处罚，以促进各参与主体进一步归位尽责，维护一级市场正常秩序。
．．．．．． |
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