Regulation政策法規
湖(hu)南省(sheng)人民政府辦公廳關于推進區(qu)域性股權市場規范發(fa)展的意見(jian)(湘政辦發(fa)〔2017〕10號)
湖(hu)南省人民政府辦公廳關(guan)于
推進(jin)區域性股權市場規范發(fa)展的意見
湘政辦發〔2017〕10號
HNPR—2017—01009
各(ge)(ge)市(shi)州、縣市(shi)區人民政(zheng)府，省政(zheng)府各(ge)(ge)廳委、各(ge)(ge)直屬機構：
為進一步完善我(wo)省(sheng)區域性股權市場服務體系，促(cu)進我(wo)省(sheng)多層次資(zi)本市場健康發(fa)展，根據國(guo)務院辦公廳《關于規范發(fa)展區域性股權市場的通知》（國(guo)辦發(fa)〔2017〕11號）文件精(jing)神，經(jing)省(sheng)人(ren)民(min)政府同意，現就推進我(wo)省(sheng)區域性股權市場發(fa)展提出如下意見(jian)。
一、總體要求
區域(yu)性(xing)(xing)(xing)股(gu)權(quan)(quan)市(shi)場(chang)要堅持服務(wu)實體經濟，支持科技型(xing)、創新型(xing)、成長(chang)型(xing)中(zhong)小微企業發(fa)(fa)展(zhan)(zhan)；堅持與(yu)全國(guo)性(xing)(xing)(xing)市(shi)場(chang)對接，為主板、中(zhong)小板、創業板和新三板培育企業資(zi)源(yuan)；堅持創新發(fa)(fa)展(zhan)(zhan)與(yu)規(gui)范(fan)發(fa)(fa)展(zhan)(zhan)并重，把創新作為推動市(shi)場(chang)發(fa)(fa)展(zhan)(zhan)的(de)源(yuan)動力，同時(shi)加強市(shi)場(chang)監(jian)管，切實防范(fan)和化(hua)解(jie)風險，保護(hu)投(tou)資(zi)者合法(fa)權(quan)(quan)益；堅持循序漸進(jin)、統籌規(gui)劃，不(bu)斷拓(tuo)展(zhan)(zhan)市(shi)場(chang)功能，逐步建成融資(zi)功能完備、服務(wu)方(fang)式靈活、運行安全規(gui)范(fan)、投(tou)資(zi)者合法(fa)權(quan)(quan)益得到充分保護(hu)的(de)區域(yu)性(xing)(xing)(xing)股(gu)權(quan)(quan)市(shi)場(chang)。
二、支持措施
（一）支(zhi)持引導(dao)(dao)企(qi)(qi)業(ye)(ye)進(jin)(jin)(jin)場(chang)掛牌(pai)。引導(dao)(dao)各(ge)類(lei)非上市(shi)(shi)(shi)企(qi)(qi)業(ye)(ye)在區(qu)(qu)(qu)域(yu)性股權(quan)市(shi)(shi)(shi)場(chang)掛牌(pai)，重點支(zhi)持創新型(xing)企(qi)(qi)業(ye)(ye)、高新技術企(qi)(qi)業(ye)(ye)進(jin)(jin)(jin)場(chang)掛牌(pai)。區(qu)(qu)(qu)域(yu)性股權(quan)市(shi)(shi)(shi)場(chang)運營機構(gou)可以在有(you)條件的(de)市(shi)(shi)(shi)州設(she)立(li)分支(zhi)機構(gou)，為已掛牌(pai)企(qi)(qi)業(ye)(ye)和擬掛牌(pai)企(qi)(qi)業(ye)(ye)提供(gong)掛牌(pai)輔導(dao)(dao)和公司(si)治(zhi)理(li)、財務管(guan)理(li)、資(zi)本市(shi)(shi)(shi)場(chang)知識等專業(ye)(ye)培(pei)訓。經信、科技、財政(zheng)等有(you)關部門要結合各(ge)自職責，研究配套支(zhi)持政(zheng)策，支(zhi)持和推動中小微企(qi)(qi)業(ye)(ye)到區(qu)(qu)(qu)域(yu)性股權(quan)市(shi)(shi)(shi)場(chang)登記托管(guan)、掛牌(pai)融資(zi)。各(ge)市(shi)(shi)(shi)州、縣市(shi)(shi)(shi)區(qu)(qu)(qu)人民政(zheng)府要對掛牌(pai)企(qi)(qi)業(ye)(ye)資(zi)源進(jin)(jin)(jin)行培(pei)育；協調解(jie)決企(qi)(qi)業(ye)(ye)改制、托管(guan)、掛牌(pai)中有(you)關問題(ti)，引導(dao)(dao)、支(zhi)持企(qi)(qi)業(ye)(ye)進(jin)(jin)(jin)場(chang)掛牌(pai)。
（二）積極幫(bang)助(zhu)(zhu)企(qi)(qi)(qi)(qi)業(ye)(ye)(ye)(ye)融(rong)(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)。區(qu)(qu)域(yu)(yu)性(xing)(xing)(xing)股權(quan)(quan)市場(chang)要發揮資(zi)(zi)(zi)(zi)源(yuan)集(ji)聚和(he)融(rong)(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)平(ping)臺功能，為省(sheng)(sheng)內(nei)企(qi)(qi)(qi)(qi)業(ye)(ye)(ye)(ye)符合規定的(de)(de)私募證券(quan)或股權(quan)(quan)的(de)(de)融(rong)(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)、轉(zhuan)讓提(ti)供(gong)服務(wu)；為掛(gua)(gua)牌(pai)企(qi)(qi)(qi)(qi)業(ye)(ye)(ye)(ye)提(ti)供(gong)綜(zong)合性(xing)(xing)(xing)金(jin)(jin)融(rong)(rong)(rong)(rong)(rong)(rong)服務(wu)，滿足企(qi)(qi)(qi)(qi)業(ye)(ye)(ye)(ye)多樣化(hua)融(rong)(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)需求(qiu)。引導(dao)銀行、小額(e)貸款(kuan)公司、擔保公司、風險補償(chang)基金(jin)(jin)等對符合條件(jian)的(de)(de)掛(gua)(gua)牌(pai)企(qi)(qi)(qi)(qi)業(ye)(ye)(ye)(ye)優先提(ti)供(gong)授(shou)信、擔保，開(kai)展股權(quan)(quan)質押融(rong)(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)、知識(shi)產(chan)(chan)權(quan)(quan)質押融(rong)(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)等信貸服務(wu)。引導(dao)私募股權(quan)(quan)基金(jin)(jin)、證券(quan)資(zi)(zi)(zi)(zi)金(jin)(jin)、保險資(zi)(zi)(zi)(zi)金(jin)(jin)、信托(tuo)資(zi)(zi)(zi)(zi)金(jin)(jin)、產(chan)(chan)業(ye)(ye)(ye)(ye)基金(jin)(jin)等各(ge)類資(zi)(zi)(zi)(zi)本進場(chang)投資(zi)(zi)(zi)(zi)。幫(bang)助(zhu)(zhu)企(qi)(qi)(qi)(qi)業(ye)(ye)(ye)(ye)通過(guo)資(zi)(zi)(zi)(zi)產(chan)(chan)證券(quan)化(hua)、短(duan)期融(rong)(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)券(quan)、中期票據等方式實(shi)現(xian)(xian)融(rong)(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)。引導(dao)省(sheng)(sheng)新(xin)興產(chan)(chan)業(ye)(ye)(ye)(ye)投資(zi)(zi)(zi)(zi)基金(jin)(jin)及其(qi)子基金(jin)(jin)投資(zi)(zi)(zi)(zi)掛(gua)(gua)牌(pai)企(qi)(qi)(qi)(qi)業(ye)(ye)(ye)(ye)。支持(chi)政(zheng)府性(xing)(xing)(xing)融(rong)(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)擔保機(ji)構(gou)為符合條件(jian)的(de)(de)掛(gua)(gua)牌(pai)企(qi)(qi)(qi)(qi)業(ye)(ye)(ye)(ye)開(kai)展信貸、債券(quan)和(he)股權(quan)(quan)融(rong)(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)提(ti)供(gong)增信服務(wu)。省(sheng)(sheng)本級(ji)相關專項資(zi)(zi)(zi)(zi)金(jin)(jin)，對符合條件(jian)的(de)(de)掛(gua)(gua)牌(pai)企(qi)(qi)(qi)(qi)業(ye)(ye)(ye)(ye)優先按(an)政(zheng)策給予(yu)支持(chi)。對在(zai)區(qu)(qu)域(yu)(yu)性(xing)(xing)(xing)股權(quan)(quan)市場(chang)掛(gua)(gua)牌(pai)并實(shi)現(xian)(xian)股權(quan)(quan)融(rong)(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)300萬(wan)元(yuan)以(yi)上的(de)(de)企(qi)(qi)(qi)(qi)業(ye)(ye)(ye)(ye)，省(sheng)(sheng)財政(zheng)按(an)其(qi)中介費用的(de)(de)50%予(yu)以(yi)補助(zhu)(zhu)；對在(zai)區(qu)(qu)域(yu)(yu)性(xing)(xing)(xing)股權(quan)(quan)市場(chang)嚴格按(an)照有關規定發行債券(quan)實(shi)現(xian)(xian)融(rong)(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)的(de)(de)企(qi)(qi)(qi)(qi)業(ye)(ye)(ye)(ye)，省(sheng)(sheng)財政(zheng)按(an)30%予(yu)以(yi)貼(tie)息(xi)補助(zhu)(zhu)，融(rong)(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)補助(zhu)(zhu)累(lei)計不超過(guo)50萬(wan)元(yuan)。根據企(qi)(qi)(qi)(qi)業(ye)(ye)(ye)(ye)掛(gua)(gua)牌(pai)融(rong)(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)的(de)(de)整體情(qing)況，對區(qu)(qu)域(yu)(yu)性(xing)(xing)(xing)股權(quan)(quan)市場(chang)運(yun)營(ying)機(ji)構(gou)予(yu)以(yi)適(shi)當(dang)支持(chi)。各(ge)市州可對屬地企(qi)(qi)(qi)(qi)業(ye)(ye)(ye)(ye)進入區(qu)(qu)域(yu)(yu)性(xing)(xing)(xing)股權(quan)(quan)市場(chang)掛(gua)(gua)牌(pai)和(he)融(rong)(rong)(rong)(rong)(rong)(rong)資(zi)(zi)(zi)(zi)予(yu)以(yi)適(shi)當(dang)支持(chi)。
（三）培育(yu)(yu)和(he)發展合(he)(he)格(ge)(ge)(ge)投(tou)(tou)(tou)資(zi)者。參(can)(can)與(yu)區(qu)域性(xing)(xing)股(gu)(gu)(gu)權市(shi)場的投(tou)(tou)(tou)資(zi)者應為(wei)(wei)符合(he)(he)有關規定(ding)的合(he)(he)格(ge)(ge)(ge)投(tou)(tou)(tou)資(zi)者。不得通過拆分、代(dai)持等(deng)方式變(bian)相突破合(he)(he)格(ge)(ge)(ge)投(tou)(tou)(tou)資(zi)者標準或單(dan)只私募證(zheng)券持有人數量(liang)上限(xian)。投(tou)(tou)(tou)資(zi)機(ji)構(gou)和(he)中介機(ji)構(gou)參(can)(can)與(yu)區(qu)域性(xing)(xing)股(gu)(gu)(gu)權市(shi)場活動，須按規定(ding)取得會(hui)員(yuan)資(zi)格(ge)(ge)(ge)。鼓勵支持區(qu)域性(xing)(xing)股(gu)(gu)(gu)權市(shi)場運營機(ji)構(gou)積極發展會(hui)員(yuan)，擴大會(hui)員(yuan)隊伍，為(wei)(wei)企(qi)業(ye)掛(gua)牌和(he)融(rong)資(zi)提供全方位服務。培育(yu)(yu)一(yi)(yi)批(pi)具備一(yi)(yi)定(ding)風(feng)險承受(shou)能力的合(he)(he)格(ge)(ge)(ge)投(tou)(tou)(tou)資(zi)者，并做好培訓服務工作(zuo)。要積極引導民間資(zi)本成為(wei)(wei)合(he)(he)格(ge)(ge)(ge)投(tou)(tou)(tou)資(zi)者，投(tou)(tou)(tou)資(zi)掛(gua)牌企(qi)業(ye)。要吸(xi)引各(ge)類(lei)金融(rong)機(ji)構(gou)、投(tou)(tou)(tou)資(zi)機(ji)構(gou)作(zuo)為(wei)(wei)機(ji)構(gou)投(tou)(tou)(tou)資(zi)商會(hui)員(yuan)，開展股(gu)(gu)(gu)權報(bao)價(jia)、定(ding)向(xiang)增資(zi)、代(dai)理買賣、投(tou)(tou)(tou)資(zi)咨詢等(deng)服務。
（四）支持引導中(zhong)介(jie)機(ji)構(gou)(gou)開(kai)展服務(wu)。充分發(fa)(fa)揮(hui)中(zhong)介(jie)機(ji)構(gou)(gou)在促(cu)進區(qu)域(yu)性(xing)股權市(shi)場發(fa)(fa)展中(zhong)的(de)積極作用，依(yi)托金融機(ji)構(gou)(gou)、投(tou)資機(ji)構(gou)(gou)、會(hui)(hui)計師(shi)事務(wu)所、律(lv)師(shi)事務(wu)所、資產評估(gu)事務(wu)所、信用評級公司等中(zhong)介(jie)機(ji)構(gou)(gou)，為投(tou)資者和企業(ye)提(ti)供盡職調(diao)查、信息披(pi)露、審(shen)計、驗資、評估(gu)、法(fa)律(lv)等專業(ye)服務(wu)。區(qu)域(yu)性(xing)股權市(shi)場運營(ying)機(ji)構(gou)(gou)要(yao)積極發(fa)(fa)展專業(ye)服務(wu)商會(hui)(hui)員，加強與主(zhu)要(yao)圍(wei)繞區(qu)域(yu)性(xing)股權市(shi)場開(kai)展業(ye)務(wu)的(de)中(zhong)介(jie)機(ji)構(gou)(gou)的(de)戰(zhan)略合作。
（五）建(jian)立(li)工(gong)商登(deng)(deng)記(ji)(ji)(ji)綠色通道。省級工(gong)商行政管理(li)(li)(li)部門應與區(qu)域性股(gu)(gu)權市場運(yun)營機構建(jian)立(li)相關信(xin)息(xi)共享和工(gong)作協調機制，為企(qi)(qi)業到區(qu)域性股(gu)(gu)權市場登(deng)(deng)記(ji)(ji)(ji)、托(tuo)管、掛(gua)牌、融資提供綠色通道，確保企(qi)(qi)業注冊(ce)信(xin)息(xi)和股(gu)(gu)權變更、股(gu)(gu)權質押、股(gu)(gu)權凍結等(deng)登(deng)(deng)記(ji)(ji)(ji)事項(xiang)及時、準確，切實維護(hu)企(qi)(qi)業股(gu)(gu)東合法(fa)權益。非上市股(gu)(gu)份公司(si)在工(gong)商行政管理(li)(li)(li)部門辦(ban)理(li)(li)(li)股(gu)(gu)權出(chu)質登(deng)(deng)記(ji)(ji)(ji)時，出(chu)質雙方(fang)可(ke)委托(tuo)湖南省股(gu)(gu)權登(deng)(deng)記(ji)(ji)(ji)管理(li)(li)(li)中心(xin)按規(gui)定(ding)代理(li)(li)(li)辦(ban)理(li)(li)(li)出(chu)質登(deng)(deng)記(ji)(ji)(ji)手續。
（六(liu)）加強與其他多層次資本市場(chang)(chang)(chang)互聯互通(tong)。加強區(qu)(qu)域(yu)(yu)性股權(quan)市場(chang)(chang)(chang)運營(ying)(ying)機構(gou)(gou)與深(shen)滬交(jiao)易(yi)(yi)所和(he)全國股轉系(xi)(xi)統的(de)合(he)作對(dui)(dui)接，積極(ji)探索建立(li)合(he)作對(dui)(dui)接和(he)互聯互通(tong)機制，實(shi)現(xian)(xian)聯動發展；積極(ji)推動掛(gua)牌企業在符(fu)合(he)條(tiao)件時轉板至新三板或(huo)首發上市。加強與外(wai)(wai)(wai)省(sheng)區(qu)(qu)域(yu)(yu)性股權(quan)市場(chang)(chang)(chang)的(de)協同發展，共享(xiang)專業服(fu)務(wu)機構(gou)(gou)和(he)合(he)格投資者等(deng)方(fang)面(mian)資源；積極(ji)學習(xi)和(he)借鑒(jian)外(wai)(wai)(wai)省(sheng)經驗，創新服(fu)務(wu)方(fang)式，加強服(fu)務(wu)企業能力(li)；推進區(qu)(qu)域(yu)(yu)性股權(quan)市場(chang)(chang)(chang)運營(ying)(ying)機構(gou)(gou)交(jiao)易(yi)(yi)系(xi)(xi)統與中證機構(gou)(gou)間報價(jia)系(xi)(xi)統進行系(xi)(xi)統對(dui)(dui)接，與證券公司柜臺市場(chang)(chang)(chang)、外(wai)(wai)(wai)省(sheng)區(qu)(qu)域(yu)(yu)性股權(quan)市場(chang)(chang)(chang)等(deng)私(si)募市場(chang)(chang)(chang)實(shi)現(xian)(xian)信息和(he)交(jiao)易(yi)(yi)聯網，形成聚(ju)集效應，實(shi)現(xian)(xian)資源共享(xiang)。
（七(qi)）加大對區(qu)(qu)域(yu)性股(gu)(gu)(gu)權(quan)市場運(yun)營(ying)機構的(de)支(zhi)持(chi)(chi)力度。湖南(nan)股(gu)(gu)(gu)權(quan)交易(yi)所是(shi)依(yi)照(zhao)國家有關規定(ding)，經省政府批(pi)準設(she)立的(de)區(qu)(qu)域(yu)性股(gu)(gu)(gu)權(quan)市場運(yun)營(ying)機構。支(zhi)持(chi)(chi)有關部門、高新園區(qu)(qu)、行(xing)業協會等(deng)與湖南(nan)股(gu)(gu)(gu)權(quan)交易(yi)所開展戰略合(he)作，優(you)化資源(yuan)配置(zhi)。支(zhi)持(chi)(chi)湖南(nan)股(gu)(gu)(gu)交所增(zeng)資擴股(gu)(gu)(gu)，力爭主要(yao)指標進(jin)(jin)入行(xing)業前列。支(zhi)持(chi)(chi)湖南(nan)股(gu)(gu)(gu)權(quan)交易(yi)所引(yin)進(jin)(jin)金融高端人才，對符合(he)條件的(de)金融高端人才，所在市州人民(min)政府按個人稅(shui)收對地方貢獻的(de)一定(ding)比例予以獎勵(li)，并提供落戶、居住(zhu)、子(zi)女教育等(deng)便利服務。
三、工作保障
（一）提(ti)高對(dui)發(fa)(fa)展(zhan)(zhan)區(qu)(qu)域(yu)(yu)性(xing)(xing)(xing)股權市場(chang)(chang)的(de)認(ren)識。區(qu)(qu)域(yu)(yu)性(xing)(xing)(xing)股權市場(chang)(chang)是主要服(fu)務(wu)于(yu)(yu)省內中小(xiao)微(wei)企(qi)業(ye)的(de)私募股權市場(chang)(chang)，是多層次資(zi)(zi)本(ben)市場(chang)(chang)的(de)重(zhong)要組成部(bu)分。規(gui)范(fan)發(fa)(fa)展(zhan)(zhan)區(qu)(qu)域(yu)(yu)性(xing)(xing)(xing)股權市場(chang)(chang)，是金融(rong)創(chuang)新發(fa)(fa)展(zhan)(zhan)、推動供(gong)給側(ce)改革、服(fu)務(wu)實體經濟(ji)的(de)重(zhong)大舉(ju)措(cuo)，有(you)利(li)(li)(li)于(yu)(yu)拓(tuo)寬中小(xiao)微(wei)企(qi)業(ye)融(rong)資(zi)(zi)渠道，降低企(qi)業(ye)杠(gang)桿率；有(you)利(li)(li)(li)于(yu)(yu)規(gui)范(fan)民(min)間(jian)投資(zi)(zi)行為，引導(dao)社會資(zi)(zi)本(ben)投向實體經濟(ji)；有(you)利(li)(li)(li)于(yu)(yu)促(cu)進(jin)企(qi)業(ye)規(gui)范(fan)發(fa)(fa)展(zhan)(zhan)，增強企(qi)業(ye)資(zi)(zi)本(ben)流動性(xing)(xing)(xing)，為股權投資(zi)(zi)提(ti)供(gong)有(you)效的(de)進(jin)入(ru)與(yu)退(tui)出渠道；有(you)利(li)(li)(li)于(yu)(yu)推動金融(rong)服(fu)務(wu)創(chuang)新，更好地服(fu)務(wu)企(qi)業(ye)和區(qu)(qu)域(yu)(yu)經濟(ji)發(fa)(fa)展(zhan)(zhan)。
（二）明確區(qu)(qu)域性(xing)股(gu)(gu)(gu)權(quan)市(shi)(shi)(shi)場(chang)(chang)(chang)的功能定(ding)位。明確區(qu)(qu)域性(xing)股(gu)(gu)(gu)權(quan)市(shi)(shi)(shi)場(chang)(chang)(chang)“一(yi)平臺(tai)四功能”的定(ding)位，著(zhu)力將其(qi)打造為(wei)我(wo)省中小微企(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)登(deng)記、股(gu)(gu)(gu)權(quan)交(jiao)易(yi)、投(tou)(tou)融(rong)資(zi)(zi)服務(wu)、培(pei)訓咨詢四大核心功能服務(wu)體系。在區(qu)(qu)域性(xing)股(gu)(gu)(gu)權(quan)市(shi)(shi)(shi)場(chang)(chang)(chang)發(fa)行(xing)(xing)(xing)或(huo)轉讓(rang)證(zheng)券(quan)的，限于股(gu)(gu)(gu)票、可(ke)轉換為(wei)股(gu)(gu)(gu)票的公(gong)司債券(quan)以及(ji)國務(wu)院有關(guan)部(bu)門(men)(men)按程(cheng)(cheng)序認可(ke)的其(qi)他(ta)證(zheng)券(quan)，不(bu)得違規發(fa)行(xing)(xing)(xing)或(huo)轉讓(rang)私(si)募債券(quan)。區(qu)(qu)域性(xing)股(gu)(gu)(gu)權(quan)市(shi)(shi)(shi)場(chang)(chang)(chang)運營機構要在證(zheng)券(quan)監管(guan)部(bu)門(men)(men)和(he)(he)(he)地方(fang)政府(fu)金融(rong)主管(guan)部(bu)門(men)(men)的指(zhi)導與監管(guan)下，組(zu)織(zhi)區(qu)(qu)域性(xing)股(gu)(gu)(gu)權(quan)市(shi)(shi)(shi)場(chang)(chang)(chang)活動(dong)，保障市(shi)(shi)(shi)場(chang)(chang)(chang)規范(fan)穩(wen)健運行(xing)(xing)(xing)；依照有關(guan)規定(ding)為(wei)企(qi)(qi)業(ye)(ye)(ye)(ye)股(gu)(gu)(gu)權(quan)和(he)(he)(he)債權(quan)等(deng)(deng)金融(rong)類產品(pin)提供掛(gua)牌(pai)、轉讓(rang)、融(rong)資(zi)(zi)、登(deng)記托管(guan)、結算等(deng)(deng)服務(wu)；協助(zhu)培(pei)育企(qi)(qi)業(ye)(ye)(ye)(ye)上市(shi)(shi)(shi)和(he)(he)(he)新三板掛(gua)牌(pai)后備(bei)資(zi)(zi)源(yuan)；組(zu)織(zhi)和(he)(he)(he)管(guan)理市(shi)(shi)(shi)場(chang)(chang)(chang)交(jiao)易(yi)活動(dong)，公(gong)布市(shi)(shi)(shi)場(chang)(chang)(chang)信息；通過掛(gua)牌(pai)推動(dong)企(qi)(qi)業(ye)(ye)(ye)(ye)股(gu)(gu)(gu)份制改(gai)造，建立現代企(qi)(qi)業(ye)(ye)(ye)(ye)制度，提升企(qi)(qi)業(ye)(ye)(ye)(ye)的治理水平和(he)(he)(he)規范(fan)程(cheng)(cheng)度；開(kai)展對掛(gua)牌(pai)企(qi)(qi)業(ye)(ye)(ye)(ye)、中介(jie)機構的業(ye)(ye)(ye)(ye)務(wu)培(pei)訓和(he)(he)(he)監督管(guan)理，加(jia)強(qiang)投(tou)(tou)資(zi)(zi)者適當(dang)性(xing)管(guan)理和(he)(he)(he)投(tou)(tou)資(zi)(zi)者教(jiao)育，及(ji)時防范(fan)和(he)(he)(he)化解市(shi)(shi)(shi)場(chang)(chang)(chang)風(feng)險。
（三(san)）加強區(qu)(qu)(qu)域性(xing)(xing)(xing)股(gu)權(quan)(quan)(quan)市(shi)場(chang)的監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督管(guan)(guan)(guan)理。省(sheng)(sheng)(sheng)政府(fu)金融辦要切實履行(xing)區(qu)(qu)(qu)域性(xing)(xing)(xing)股(gu)權(quan)(quan)(quan)市(shi)場(chang)日常監(jian)(jian)(jian)(jian)(jian)(jian)(jian)管(guan)(guan)(guan)職(zhi)責(ze)，研究制(zhi)(zhi)定區(qu)(qu)(qu)域性(xing)(xing)(xing)股(gu)權(quan)(quan)(quan)市(shi)場(chang)管(guan)(guan)(guan)理辦法(fa)(fa)，監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督區(qu)(qu)(qu)域性(xing)(xing)(xing)股(gu)權(quan)(quan)(quan)市(shi)場(chang)業務(wu)(wu)(wu)活動(dong)，依法(fa)(fa)查處違法(fa)(fa)違規(gui)(gui)行(xing)為(wei)，并承擔相(xiang)應風險(xian)處置(zhi)責(ze)任。省(sheng)(sheng)(sheng)內(nei)只設(she)立一(yi)家區(qu)(qu)(qu)域性(xing)(xing)(xing)股(gu)權(quan)(quan)(quan)市(shi)場(chang)運(yun)營機(ji)(ji)(ji)構(gou)(gou)，對在省(sheng)(sheng)(sheng)內(nei)開展區(qu)(qu)(qu)域性(xing)(xing)(xing)股(gu)權(quan)(quan)(quan)市(shi)場(chang)業務(wu)(wu)(wu)的其他(ta)運(yun)營機(ji)(ji)(ji)構(gou)(gou)，省(sheng)(sheng)(sheng)政府(fu)金融辦要積極穩妥進行(xing)清理、整合(he)。各地金融工作部(bu)門要加強區(qu)(qu)(qu)域性(xing)(xing)(xing)股(gu)權(quan)(quan)(quan)市(shi)場(chang)屬地分支機(ji)(ji)(ji)構(gou)(gou)日常監(jian)(jian)(jian)(jian)(jian)(jian)(jian)管(guan)(guan)(guan)。證(zheng)(zheng)(zheng)監(jian)(jian)(jian)(jian)(jian)(jian)(jian)、銀監(jian)(jian)(jian)(jian)(jian)(jian)(jian)、保監(jian)(jian)(jian)(jian)(jian)(jian)(jian)等金融監(jian)(jian)(jian)(jian)(jian)(jian)(jian)管(guan)(guan)(guan)部(bu)門在湘機(ji)(ji)(ji)構(gou)(gou)根據(ju)各自職(zhi)能對在區(qu)(qu)(qu)域性(xing)(xing)(xing)股(gu)權(quan)(quan)(quan)市(shi)場(chang)開展業務(wu)(wu)(wu)的相(xiang)關(guan)機(ji)(ji)(ji)構(gou)(gou)履行(xing)監(jian)(jian)(jian)(jian)(jian)(jian)(jian)管(guan)(guan)(guan)責(ze)任。區(qu)(qu)(qu)域性(xing)(xing)(xing)股(gu)權(quan)(quan)(quan)市(shi)場(chang)運(yun)營機(ji)(ji)(ji)構(gou)(gou)要嚴格履行(xing)自律(lv)管(guan)(guan)(guan)理職(zhi)責(ze)，完善市(shi)場(chang)業務(wu)(wu)(wu)規(gui)(gui)則，監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督掛牌企業、中介(jie)機(ji)(ji)(ji)構(gou)(gou)等市(shi)場(chang)主體信(xin)(xin)(xin)息(xi)(xi)披露(lu)行(xing)為(wei)，建立風險(xian)監(jian)(jian)(jian)(jian)(jian)(jian)(jian)測(ce)、評估、預(yu)警和(he)處置(zhi)制(zhi)(zhi)度。區(qu)(qu)(qu)域性(xing)(xing)(xing)股(gu)權(quan)(quan)(quan)市(shi)場(chang)運(yun)營機(ji)(ji)(ji)構(gou)(gou)要建設(she)符(fu)合(he)有關(guan)法(fa)(fa)律(lv)法(fa)(fa)規(gui)(gui)和(he)證(zheng)(zheng)(zheng)監(jian)(jian)(jian)(jian)(jian)(jian)(jian)會(hui)制(zhi)(zhi)定的信(xin)(xin)(xin)息(xi)(xi)技術管(guan)(guan)(guan)理規(gui)(gui)范的信(xin)(xin)(xin)息(xi)(xi)系統。區(qu)(qu)(qu)域性(xing)(xing)(xing)股(gu)權(quan)(quan)(quan)市(shi)場(chang)運(yun)營機(ji)(ji)(ji)構(gou)(gou)及開立投資者賬戶、辦理登記結算業務(wu)(wu)(wu)的有關(guan)機(ji)(ji)(ji)構(gou)(gou)應按規(gui)(gui)定向省(sheng)(sheng)(sheng)政府(fu)金融辦和(he)證(zheng)(zheng)(zheng)監(jian)(jian)(jian)(jian)(jian)(jian)(jian)會(hui)報送信(xin)(xin)(xin)息(xi)(xi)，將(jiang)有關(guan)信(xin)(xin)(xin)息(xi)(xi)系統與證(zheng)(zheng)(zheng)監(jian)(jian)(jian)(jian)(jian)(jian)(jian)會(hui)指定的監(jian)(jian)(jian)(jian)(jian)(jian)(jian)管(guan)(guan)(guan)信(xin)(xin)(xin)息(xi)(xi)系統進行(xing)對接。
湖南省人民(min)政府辦公廳
2017年3月6日
