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湖南省人(ren)民政(zheng)府(fu)辦公廳關于
推進區(qu)域性股權市場規范發展的(de)意見
湘政辦發〔2017〕10號
HNPR—2017—01009
各(ge)市州、縣市區人(ren)民(min)政府(fu)，省政府(fu)各(ge)廳委、各(ge)直屬機(ji)構：
為進一步完(wan)善(shan)我(wo)(wo)省區域性(xing)股權市(shi)場(chang)服務體(ti)系(xi)，促(cu)進我(wo)(wo)省多層次(ci)資本市(shi)場(chang)健康發(fa)展，根據國務院辦公廳《關于規范發(fa)展區域性(xing)股權市(shi)場(chang)的通(tong)知(zhi)》（國辦發(fa)〔2017〕11號）文件精(jing)神，經省人民政府同意，現就推進我(wo)(wo)省區域性(xing)股權市(shi)場(chang)發(fa)展提出如下意見(jian)。
一、總體要求
區(qu)域性股權(quan)市場(chang)要(yao)堅(jian)持服(fu)務實體經濟(ji)，支持科(ke)技型、創新型、成長型中(zhong)小微(wei)企(qi)業(ye)發(fa)展(zhan)；堅(jian)持與全(quan)國(guo)性市場(chang)對接(jie)，為主板(ban)、中(zhong)小板(ban)、創業(ye)板(ban)和(he)新三板(ban)培育(yu)企(qi)業(ye)資源；堅(jian)持創新發(fa)展(zhan)與規范發(fa)展(zhan)并重，把創新作為推(tui)動(dong)市場(chang)發(fa)展(zhan)的源動(dong)力，同(tong)時加強市場(chang)監(jian)管，切實防范和(he)化解風險，保護(hu)投(tou)資者合法權(quan)益；堅(jian)持循序(xu)漸進、統(tong)籌規劃，不斷(duan)拓(tuo)展(zhan)市場(chang)功(gong)能，逐(zhu)步(bu)建成融資功(gong)能完備、服(fu)務方(fang)式靈活、運行安(an)全(quan)規范、投(tou)資者合法權(quan)益得到充分保護(hu)的區(qu)域性股權(quan)市場(chang)。
二、支持措施
（一）支(zhi)持(chi)引導企(qi)業(ye)(ye)(ye)(ye)進(jin)場(chang)掛(gua)(gua)牌(pai)(pai)。引導各(ge)類非上市企(qi)業(ye)(ye)(ye)(ye)在區域(yu)性股(gu)權(quan)(quan)市場(chang)掛(gua)(gua)牌(pai)(pai)，重點支(zhi)持(chi)創(chuang)新型(xing)企(qi)業(ye)(ye)(ye)(ye)、高新技術(shu)企(qi)業(ye)(ye)(ye)(ye)進(jin)場(chang)掛(gua)(gua)牌(pai)(pai)。區域(yu)性股(gu)權(quan)(quan)市場(chang)運營機(ji)構(gou)可以在有(you)條件的市州設立分支(zhi)機(ji)構(gou)，為已掛(gua)(gua)牌(pai)(pai)企(qi)業(ye)(ye)(ye)(ye)和擬(ni)掛(gua)(gua)牌(pai)(pai)企(qi)業(ye)(ye)(ye)(ye)提供掛(gua)(gua)牌(pai)(pai)輔(fu)導和公司治理(li)、財(cai)務管理(li)、資本(ben)市場(chang)知識等(deng)專業(ye)(ye)(ye)(ye)培訓。經信、科技、財(cai)政(zheng)等(deng)有(you)關部門要結合各(ge)自職責，研究配套支(zhi)持(chi)政(zheng)策(ce)，支(zhi)持(chi)和推動(dong)中(zhong)小微企(qi)業(ye)(ye)(ye)(ye)到區域(yu)性股(gu)權(quan)(quan)市場(chang)登記托管、掛(gua)(gua)牌(pai)(pai)融資。各(ge)市州、縣市區人民政(zheng)府要對掛(gua)(gua)牌(pai)(pai)企(qi)業(ye)(ye)(ye)(ye)資源進(jin)行培育；協調解決(jue)企(qi)業(ye)(ye)(ye)(ye)改(gai)制、托管、掛(gua)(gua)牌(pai)(pai)中(zhong)有(you)關問題，引導、支(zhi)持(chi)企(qi)業(ye)(ye)(ye)(ye)進(jin)場(chang)掛(gua)(gua)牌(pai)(pai)。
（二）積極幫(bang)助(zhu)企(qi)業(ye)(ye)融(rong)(rong)(rong)(rong)資(zi)。區(qu)(qu)域(yu)性(xing)股(gu)權(quan)市(shi)(shi)場(chang)(chang)要發(fa)揮資(zi)源集(ji)聚(ju)和(he)融(rong)(rong)(rong)(rong)資(zi)平臺(tai)功能，為省內企(qi)業(ye)(ye)符合(he)(he)(he)規定(ding)的(de)私募證(zheng)(zheng)券(quan)或(huo)股(gu)權(quan)的(de)融(rong)(rong)(rong)(rong)資(zi)、轉(zhuan)讓提供(gong)服務(wu)(wu)；為掛(gua)(gua)牌(pai)企(qi)業(ye)(ye)提供(gong)綜合(he)(he)(he)性(xing)金(jin)(jin)(jin)融(rong)(rong)(rong)(rong)服務(wu)(wu)，滿足企(qi)業(ye)(ye)多樣化融(rong)(rong)(rong)(rong)資(zi)需(xu)求(qiu)。引(yin)導銀行、小額貸(dai)款公司、擔(dan)(dan)保(bao)(bao)公司、風險補(bu)(bu)償基金(jin)(jin)(jin)等(deng)對(dui)符合(he)(he)(he)條(tiao)件的(de)掛(gua)(gua)牌(pai)企(qi)業(ye)(ye)優先提供(gong)授信(xin)(xin)、擔(dan)(dan)保(bao)(bao)，開(kai)展股(gu)權(quan)質押融(rong)(rong)(rong)(rong)資(zi)、知識(shi)產(chan)權(quan)質押融(rong)(rong)(rong)(rong)資(zi)等(deng)信(xin)(xin)貸(dai)服務(wu)(wu)。引(yin)導私募股(gu)權(quan)基金(jin)(jin)(jin)、證(zheng)(zheng)券(quan)資(zi)金(jin)(jin)(jin)、保(bao)(bao)險資(zi)金(jin)(jin)(jin)、信(xin)(xin)托(tuo)資(zi)金(jin)(jin)(jin)、產(chan)業(ye)(ye)基金(jin)(jin)(jin)等(deng)各類資(zi)本進(jin)場(chang)(chang)投(tou)資(zi)。幫(bang)助(zhu)企(qi)業(ye)(ye)通過資(zi)產(chan)證(zheng)(zheng)券(quan)化、短期融(rong)(rong)(rong)(rong)資(zi)券(quan)、中(zhong)期票據等(deng)方式(shi)實現融(rong)(rong)(rong)(rong)資(zi)。引(yin)導省新興產(chan)業(ye)(ye)投(tou)資(zi)基金(jin)(jin)(jin)及(ji)其子基金(jin)(jin)(jin)投(tou)資(zi)掛(gua)(gua)牌(pai)企(qi)業(ye)(ye)。支(zhi)持(chi)(chi)政府性(xing)融(rong)(rong)(rong)(rong)資(zi)擔(dan)(dan)保(bao)(bao)機(ji)構為符合(he)(he)(he)條(tiao)件的(de)掛(gua)(gua)牌(pai)企(qi)業(ye)(ye)開(kai)展信(xin)(xin)貸(dai)、債(zhai)券(quan)和(he)股(gu)權(quan)融(rong)(rong)(rong)(rong)資(zi)提供(gong)增信(xin)(xin)服務(wu)(wu)。省本級相關專項(xiang)資(zi)金(jin)(jin)(jin)，對(dui)符合(he)(he)(he)條(tiao)件的(de)掛(gua)(gua)牌(pai)企(qi)業(ye)(ye)優先按(an)政策給予(yu)支(zhi)持(chi)(chi)。對(dui)在(zai)區(qu)(qu)域(yu)性(xing)股(gu)權(quan)市(shi)(shi)場(chang)(chang)掛(gua)(gua)牌(pai)并(bing)實現股(gu)權(quan)融(rong)(rong)(rong)(rong)資(zi)300萬(wan)元(yuan)以(yi)上的(de)企(qi)業(ye)(ye)，省財(cai)政按(an)其中(zhong)介費用(yong)的(de)50%予(yu)以(yi)補(bu)(bu)助(zhu)；對(dui)在(zai)區(qu)(qu)域(yu)性(xing)股(gu)權(quan)市(shi)(shi)場(chang)(chang)嚴格按(an)照有關規定(ding)發(fa)行債(zhai)券(quan)實現融(rong)(rong)(rong)(rong)資(zi)的(de)企(qi)業(ye)(ye)，省財(cai)政按(an)30%予(yu)以(yi)貼(tie)息(xi)補(bu)(bu)助(zhu)，融(rong)(rong)(rong)(rong)資(zi)補(bu)(bu)助(zhu)累(lei)計(ji)不(bu)超過50萬(wan)元(yuan)。根(gen)據企(qi)業(ye)(ye)掛(gua)(gua)牌(pai)融(rong)(rong)(rong)(rong)資(zi)的(de)整(zheng)體(ti)情況(kuang)，對(dui)區(qu)(qu)域(yu)性(xing)股(gu)權(quan)市(shi)(shi)場(chang)(chang)運營機(ji)構予(yu)以(yi)適當支(zhi)持(chi)(chi)。各市(shi)(shi)州(zhou)可(ke)對(dui)屬(shu)地企(qi)業(ye)(ye)進(jin)入區(qu)(qu)域(yu)性(xing)股(gu)權(quan)市(shi)(shi)場(chang)(chang)掛(gua)(gua)牌(pai)和(he)融(rong)(rong)(rong)(rong)資(zi)予(yu)以(yi)適當支(zhi)持(chi)(chi)。
（三）培育和發展合格投(tou)(tou)資(zi)(zi)者。參(can)與(yu)區域性股權市(shi)(shi)場(chang)的投(tou)(tou)資(zi)(zi)者應為(wei)符(fu)合有(you)關規定的合格投(tou)(tou)資(zi)(zi)者。不得通過拆分(fen)、代(dai)持等方(fang)式變相突破合格投(tou)(tou)資(zi)(zi)者標(biao)準(zhun)或單只私募證券持有(you)人數量上限。投(tou)(tou)資(zi)(zi)機(ji)構(gou)(gou)和中介機(ji)構(gou)(gou)參(can)與(yu)區域性股權市(shi)(shi)場(chang)活動(dong)，須按規定取得會員資(zi)(zi)格。鼓(gu)勵支持區域性股權市(shi)(shi)場(chang)運營機(ji)構(gou)(gou)積極發展會員，擴大會員隊伍，為(wei)企業掛牌(pai)和融(rong)(rong)資(zi)(zi)提供全(quan)方(fang)位服(fu)(fu)務(wu)(wu)(wu)。培育一批具備(bei)一定風(feng)險承受(shou)能(neng)力的合格投(tou)(tou)資(zi)(zi)者，并做好培訓服(fu)(fu)務(wu)(wu)(wu)工作(zuo)(zuo)。要(yao)積極引(yin)導民(min)間(jian)資(zi)(zi)本成為(wei)合格投(tou)(tou)資(zi)(zi)者，投(tou)(tou)資(zi)(zi)掛牌(pai)企業。要(yao)吸引(yin)各類(lei)金(jin)融(rong)(rong)機(ji)構(gou)(gou)、投(tou)(tou)資(zi)(zi)機(ji)構(gou)(gou)作(zuo)(zuo)為(wei)機(ji)構(gou)(gou)投(tou)(tou)資(zi)(zi)商會員，開(kai)展股權報價、定向增資(zi)(zi)、代(dai)理買(mai)賣、投(tou)(tou)資(zi)(zi)咨詢(xun)等服(fu)(fu)務(wu)(wu)(wu)。
（四(si)）支持引導中(zhong)介(jie)機構(gou)開展服務(wu)(wu)。充分發揮中(zhong)介(jie)機構(gou)在(zai)促進區(qu)域性(xing)股權市場發展中(zhong)的積極作用(yong)(yong)，依托金(jin)融機構(gou)、投資(zi)機構(gou)、會(hui)計(ji)師(shi)事務(wu)(wu)所(suo)、律師(shi)事務(wu)(wu)所(suo)、資(zi)產評估事務(wu)(wu)所(suo)、信用(yong)(yong)評級公司等中(zhong)介(jie)機構(gou)，為(wei)投資(zi)者和企(qi)業(ye)提供盡職(zhi)調查(cha)、信息披露(lu)、審計(ji)、驗資(zi)、評估、法(fa)律等專業(ye)服務(wu)(wu)。區(qu)域性(xing)股權市場運營(ying)機構(gou)要積極發展專業(ye)服務(wu)(wu)商會(hui)員(yuan)，加(jia)強(qiang)與主要圍繞(rao)區(qu)域性(xing)股權市場開展業(ye)務(wu)(wu)的中(zhong)介(jie)機構(gou)的戰(zhan)略合作。
（五）建(jian)立(li)工(gong)商(shang)登(deng)(deng)(deng)(deng)記(ji)(ji)綠(lv)色通道(dao)。省級工(gong)商(shang)行(xing)政(zheng)管(guan)(guan)理部(bu)(bu)門應與區(qu)域性(xing)(xing)股(gu)權市(shi)場(chang)運營機(ji)構建(jian)立(li)相關信息(xi)共(gong)享和(he)(he)工(gong)作協調機(ji)制，為企業到區(qu)域性(xing)(xing)股(gu)權市(shi)場(chang)登(deng)(deng)(deng)(deng)記(ji)(ji)、托管(guan)(guan)、掛(gua)牌、融資(zi)提(ti)供(gong)綠(lv)色通道(dao)，確(que)保(bao)企業注冊(ce)信息(xi)和(he)(he)股(gu)權變更、股(gu)權質押、股(gu)權凍結等登(deng)(deng)(deng)(deng)記(ji)(ji)事項(xiang)及時、準確(que)，切實維護企業股(gu)東合法權益。非上市(shi)股(gu)份公司在工(gong)商(shang)行(xing)政(zheng)管(guan)(guan)理部(bu)(bu)門辦理股(gu)權出(chu)(chu)(chu)質登(deng)(deng)(deng)(deng)記(ji)(ji)時，出(chu)(chu)(chu)質雙方可委托湖南省股(gu)權登(deng)(deng)(deng)(deng)記(ji)(ji)管(guan)(guan)理中心按規定代(dai)理辦理出(chu)(chu)(chu)質登(deng)(deng)(deng)(deng)記(ji)(ji)手續。
（六）加強與(yu)(yu)其他多層次資(zi)本市(shi)(shi)場(chang)(chang)(chang)互(hu)(hu)聯(lian)互(hu)(hu)通。加強區(qu)域(yu)性股(gu)(gu)權(quan)(quan)市(shi)(shi)場(chang)(chang)(chang)運(yun)營(ying)機構(gou)與(yu)(yu)深(shen)滬(hu)交(jiao)易(yi)(yi)所和(he)全國股(gu)(gu)轉(zhuan)系統(tong)(tong)的合作(zuo)對(dui)接，積(ji)極(ji)(ji)探(tan)索建立合作(zuo)對(dui)接和(he)互(hu)(hu)聯(lian)互(hu)(hu)通機制，實(shi)現聯(lian)動(dong)發(fa)展；積(ji)極(ji)(ji)推動(dong)掛牌企業在(zai)符合條件(jian)時轉(zhuan)板至新三(san)板或首發(fa)上市(shi)(shi)。加強與(yu)(yu)外(wai)省區(qu)域(yu)性股(gu)(gu)權(quan)(quan)市(shi)(shi)場(chang)(chang)(chang)的協同發(fa)展，共享(xiang)專業服務機構(gou)和(he)合格投資(zi)者等方面資(zi)源；積(ji)極(ji)(ji)學習和(he)借鑒外(wai)省經驗(yan)，創新服務方式，加強服務企業能力；推進區(qu)域(yu)性股(gu)(gu)權(quan)(quan)市(shi)(shi)場(chang)(chang)(chang)運(yun)營(ying)機構(gou)交(jiao)易(yi)(yi)系統(tong)(tong)與(yu)(yu)中證機構(gou)間報價系統(tong)(tong)進行(xing)系統(tong)(tong)對(dui)接，與(yu)(yu)證券公(gong)司柜臺市(shi)(shi)場(chang)(chang)(chang)、外(wai)省區(qu)域(yu)性股(gu)(gu)權(quan)(quan)市(shi)(shi)場(chang)(chang)(chang)等私募市(shi)(shi)場(chang)(chang)(chang)實(shi)現信息和(he)交(jiao)易(yi)(yi)聯(lian)網(wang)，形成聚集效應，實(shi)現資(zi)源共享(xiang)。
（七）加大(da)對區域性股(gu)(gu)(gu)權(quan)市(shi)場運營(ying)機構(gou)的(de)(de)支(zhi)持(chi)(chi)(chi)力度(du)。湖南(nan)股(gu)(gu)(gu)權(quan)交易(yi)所是(shi)依照國家有關規定，經省政(zheng)府(fu)批準設(she)立的(de)(de)區域性股(gu)(gu)(gu)權(quan)市(shi)場運營(ying)機構(gou)。支(zhi)持(chi)(chi)(chi)有關部門(men)、高(gao)新園區、行業協會等與湖南(nan)股(gu)(gu)(gu)權(quan)交易(yi)所開展戰(zhan)略合(he)作，優化資源(yuan)配置。支(zhi)持(chi)(chi)(chi)湖南(nan)股(gu)(gu)(gu)交所增資擴股(gu)(gu)(gu)，力爭主要指標進入行業前列。支(zhi)持(chi)(chi)(chi)湖南(nan)股(gu)(gu)(gu)權(quan)交易(yi)所引進金(jin)融高(gao)端人(ren)才，對符合(he)條件的(de)(de)金(jin)融高(gao)端人(ren)才，所在市(shi)州人(ren)民政(zheng)府(fu)按(an)個人(ren)稅收(shou)對地方貢獻的(de)(de)一定比例予以獎勵(li)，并提供落戶、居住(zhu)、子(zi)女教育等便利服務。
三、工作保障
（一）提(ti)(ti)高對發(fa)展(zhan)區域性股(gu)(gu)權(quan)市(shi)(shi)場(chang)的(de)(de)認識(shi)。區域性股(gu)(gu)權(quan)市(shi)(shi)場(chang)是(shi)(shi)主要服務于省(sheng)內中小微企業(ye)(ye)(ye)的(de)(de)私(si)募(mu)股(gu)(gu)權(quan)市(shi)(shi)場(chang)，是(shi)(shi)多層次資(zi)本(ben)市(shi)(shi)場(chang)的(de)(de)重要組成部(bu)分。規(gui)(gui)范發(fa)展(zhan)區域性股(gu)(gu)權(quan)市(shi)(shi)場(chang)，是(shi)(shi)金(jin)融創(chuang)新(xin)發(fa)展(zhan)、推(tui)動供給側改革、服務實體(ti)經濟的(de)(de)重大舉措，有(you)利(li)于拓寬中小微企業(ye)(ye)(ye)融資(zi)渠道，降低企業(ye)(ye)(ye)杠桿(gan)率(lv)；有(you)利(li)于規(gui)(gui)范民間投(tou)資(zi)行(xing)為，引導社(she)會(hui)資(zi)本(ben)投(tou)向實體(ti)經濟；有(you)利(li)于促進企業(ye)(ye)(ye)規(gui)(gui)范發(fa)展(zhan)，增強企業(ye)(ye)(ye)資(zi)本(ben)流動性，為股(gu)(gu)權(quan)投(tou)資(zi)提(ti)(ti)供有(you)效(xiao)的(de)(de)進入與退出渠道；有(you)利(li)于推(tui)動金(jin)融服務創(chuang)新(xin)，更好地服務企業(ye)(ye)(ye)和區域經濟發(fa)展(zhan)。
（二）明(ming)確區(qu)域(yu)(yu)(yu)性(xing)股(gu)(gu)(gu)權(quan)市(shi)(shi)場的功能定位。明(ming)確區(qu)域(yu)(yu)(yu)性(xing)股(gu)(gu)(gu)權(quan)市(shi)(shi)場“一(yi)平臺(tai)四功能”的定位，著力將其(qi)打(da)造(zao)為我省中小(xiao)微企(qi)(qi)業(ye)(ye)(ye)(ye)綜合金融(rong)服務(wu)平臺(tai)，構建企(qi)(qi)業(ye)(ye)(ye)(ye)掛(gua)牌(pai)(pai)登記(ji)、股(gu)(gu)(gu)權(quan)交易、投融(rong)資(zi)服務(wu)、培訓咨(zi)詢(xun)四大核(he)心功能服務(wu)體系。在(zai)區(qu)域(yu)(yu)(yu)性(xing)股(gu)(gu)(gu)權(quan)市(shi)(shi)場發行(xing)或轉(zhuan)讓證券(quan)(quan)的，限(xian)于股(gu)(gu)(gu)票、可轉(zhuan)換為股(gu)(gu)(gu)票的公司債(zhai)券(quan)(quan)以及國務(wu)院有關部(bu)門按程(cheng)(cheng)序認可的其(qi)他證券(quan)(quan)，不得(de)違規(gui)發行(xing)或轉(zhuan)讓私募債(zhai)券(quan)(quan)。區(qu)域(yu)(yu)(yu)性(xing)股(gu)(gu)(gu)權(quan)市(shi)(shi)場運營機構要在(zai)證券(quan)(quan)監管部(bu)門和(he)(he)地方政(zheng)府金融(rong)主管部(bu)門的指導與監管下，組(zu)織區(qu)域(yu)(yu)(yu)性(xing)股(gu)(gu)(gu)權(quan)市(shi)(shi)場活(huo)動，保障市(shi)(shi)場規(gui)范穩健(jian)運行(xing)；依(yi)照有關規(gui)定為企(qi)(qi)業(ye)(ye)(ye)(ye)股(gu)(gu)(gu)權(quan)和(he)(he)債(zhai)權(quan)等金融(rong)類產品提(ti)供掛(gua)牌(pai)(pai)、轉(zhuan)讓、融(rong)資(zi)、登記(ji)托管、結(jie)算等服務(wu)；協(xie)助培育企(qi)(qi)業(ye)(ye)(ye)(ye)上市(shi)(shi)和(he)(he)新三(san)板掛(gua)牌(pai)(pai)后(hou)備資(zi)源；組(zu)織和(he)(he)管理(li)市(shi)(shi)場交易活(huo)動，公布(bu)市(shi)(shi)場信息；通過掛(gua)牌(pai)(pai)推(tui)動企(qi)(qi)業(ye)(ye)(ye)(ye)股(gu)(gu)(gu)份制(zhi)改(gai)造(zao)，建立現代(dai)企(qi)(qi)業(ye)(ye)(ye)(ye)制(zhi)度(du)，提(ti)升企(qi)(qi)業(ye)(ye)(ye)(ye)的治理(li)水平和(he)(he)規(gui)范程(cheng)(cheng)度(du)；開展對掛(gua)牌(pai)(pai)企(qi)(qi)業(ye)(ye)(ye)(ye)、中介機構的業(ye)(ye)(ye)(ye)務(wu)培訓和(he)(he)監督管理(li)，加(jia)強投資(zi)者(zhe)適當性(xing)管理(li)和(he)(he)投資(zi)者(zhe)教育，及時防范和(he)(he)化(hua)解市(shi)(shi)場風險。
（三）加(jia)強區(qu)(qu)(qu)域(yu)(yu)性(xing)(xing)股(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)(shi)(shi)場(chang)(chang)(chang)的(de)(de)(de)(de)監(jian)(jian)(jian)(jian)(jian)督(du)管(guan)(guan)理(li)。省政(zheng)府(fu)(fu)金(jin)融(rong)辦(ban)(ban)要切實履行(xing)(xing)(xing)區(qu)(qu)(qu)域(yu)(yu)性(xing)(xing)股(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)(shi)(shi)場(chang)(chang)(chang)日常監(jian)(jian)(jian)(jian)(jian)管(guan)(guan)職責(ze)(ze)，研究制定(ding)區(qu)(qu)(qu)域(yu)(yu)性(xing)(xing)股(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)(shi)(shi)場(chang)(chang)(chang)管(guan)(guan)理(li)辦(ban)(ban)法(fa)，監(jian)(jian)(jian)(jian)(jian)督(du)區(qu)(qu)(qu)域(yu)(yu)性(xing)(xing)股(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)(shi)(shi)場(chang)(chang)(chang)業務(wu)活動(dong)，依法(fa)查(cha)處(chu)違法(fa)違規(gui)(gui)行(xing)(xing)(xing)為(wei)(wei)，并承擔(dan)相(xiang)應風險(xian)處(chu)置(zhi)(zhi)責(ze)(ze)任。省內只設立(li)一家區(qu)(qu)(qu)域(yu)(yu)性(xing)(xing)股(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)(shi)(shi)場(chang)(chang)(chang)運營(ying)機構，對(dui)在(zai)省內開展區(qu)(qu)(qu)域(yu)(yu)性(xing)(xing)股(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)(shi)(shi)場(chang)(chang)(chang)業務(wu)的(de)(de)(de)(de)其他運營(ying)機構，省政(zheng)府(fu)(fu)金(jin)融(rong)辦(ban)(ban)要積極穩妥進(jin)行(xing)(xing)(xing)清理(li)、整合。各地(di)金(jin)融(rong)工作部(bu)門要加(jia)強區(qu)(qu)(qu)域(yu)(yu)性(xing)(xing)股(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)(shi)(shi)場(chang)(chang)(chang)屬地(di)分支機構日常監(jian)(jian)(jian)(jian)(jian)管(guan)(guan)。證(zheng)監(jian)(jian)(jian)(jian)(jian)、銀監(jian)(jian)(jian)(jian)(jian)、保監(jian)(jian)(jian)(jian)(jian)等(deng)金(jin)融(rong)監(jian)(jian)(jian)(jian)(jian)管(guan)(guan)部(bu)門在(zai)湘機構根(gen)據各自(zi)職能對(dui)在(zai)區(qu)(qu)(qu)域(yu)(yu)性(xing)(xing)股(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)(shi)(shi)場(chang)(chang)(chang)開展業務(wu)的(de)(de)(de)(de)相(xiang)關(guan)機構履行(xing)(xing)(xing)監(jian)(jian)(jian)(jian)(jian)管(guan)(guan)責(ze)(ze)任。區(qu)(qu)(qu)域(yu)(yu)性(xing)(xing)股(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)(shi)(shi)場(chang)(chang)(chang)運營(ying)機構要嚴格(ge)履行(xing)(xing)(xing)自(zi)律管(guan)(guan)理(li)職責(ze)(ze)，完善市(shi)(shi)(shi)(shi)場(chang)(chang)(chang)業務(wu)規(gui)(gui)則，監(jian)(jian)(jian)(jian)(jian)督(du)掛牌(pai)企(qi)業、中(zhong)介(jie)機構等(deng)市(shi)(shi)(shi)(shi)場(chang)(chang)(chang)主體信息披露行(xing)(xing)(xing)為(wei)(wei)，建(jian)(jian)立(li)風險(xian)監(jian)(jian)(jian)(jian)(jian)測、評估、預(yu)警和(he)處(chu)置(zhi)(zhi)制度。區(qu)(qu)(qu)域(yu)(yu)性(xing)(xing)股(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)(shi)(shi)場(chang)(chang)(chang)運營(ying)機構要建(jian)(jian)設符合有(you)關(guan)法(fa)律法(fa)規(gui)(gui)和(he)證(zheng)監(jian)(jian)(jian)(jian)(jian)會(hui)制定(ding)的(de)(de)(de)(de)信息技術(shu)管(guan)(guan)理(li)規(gui)(gui)范的(de)(de)(de)(de)信息系(xi)統(tong)(tong)。區(qu)(qu)(qu)域(yu)(yu)性(xing)(xing)股(gu)(gu)(gu)權(quan)(quan)市(shi)(shi)(shi)(shi)場(chang)(chang)(chang)運營(ying)機構及開立(li)投資者(zhe)賬戶、辦(ban)(ban)理(li)登記結(jie)算業務(wu)的(de)(de)(de)(de)有(you)關(guan)機構應按規(gui)(gui)定(ding)向省政(zheng)府(fu)(fu)金(jin)融(rong)辦(ban)(ban)和(he)證(zheng)監(jian)(jian)(jian)(jian)(jian)會(hui)報送信息，將有(you)關(guan)信息系(xi)統(tong)(tong)與證(zheng)監(jian)(jian)(jian)(jian)(jian)會(hui)指(zhi)定(ding)的(de)(de)(de)(de)監(jian)(jian)(jian)(jian)(jian)管(guan)(guan)信息系(xi)統(tong)(tong)進(jin)行(xing)(xing)(xing)對(dui)接。
湖南省人民(min)政府(fu)辦公廳
2017年3月6日
