Regulation政策法規
安徽省人民(min)政府關于充分利用多層次資本市(shi)場著(zhu)力(li)調結構轉方式促升級的(de)意見(jian)(皖政〔2015〕90號(hao))
各(ge)市(shi)、縣人(ren)民(min)政(zheng)府，省政(zheng)府各(ge)部門、各(ge)直屬(shu)機構：
為貫徹落實黨中央(yang)、國務院關于促(cu)進資本市(shi)(shi)場健康(kang)發展的(de)決策部署，結合我省實際，現就充分(fen)利用多層次(ci)資本市(shi)(shi)場，著力調(diao)結構轉方式促(cu)升級，提(ti)出(chu)以下意見：
一、總體要求
1指導(dao)思想。認(ren)真貫(guan)徹落實黨(dang)的(de)十八大和十八屆(jie)三中(zhong)、四中(zhong)全會精(jing)神(shen)和習近平總書(shu)記(ji)系列重要講話(hua)精(jing)神(shen)，堅(jian)(jian)持發展(zhan)速度與質量(liang)相(xiang)(xiang)(xiang)結(jie)合，堅(jian)(jian)持市(shi)(shi)場(chang)主導(dao)與政府(fu)引導(dao)相(xiang)(xiang)(xiang)結(jie)合，堅(jian)(jian)持場(chang)內(nei)市(shi)(shi)場(chang)與場(chang)外市(shi)(shi)場(chang)互動發展(zhan)相(xiang)(xiang)(xiang)結(jie)合，著力(li)培(pei)育上市(shi)(shi)（掛牌）后備資源，著力(li)增加上市(shi)(shi)（掛牌）企業數(shu)量(liang)，著力(li)擴大股權(quan)融(rong)資規模(mo)，提升直(zhi)接融(rong)資比(bi)重，提升國(guo)民(min)經(jing)濟證券(quan)化水平，提升資本市(shi)(shi)場(chang)服務實體(ti)經(jing)濟能(neng)力(li)，助(zhu)力(li)大眾(zhong)創業、萬(wan)眾(zhong)創新(xin)，促進(jin)經(jing)濟轉(zhuan)型升級。
2主要目標。到(dao)(dao)(dao)2020年末(mo)，全(quan)省(sheng)(sheng)(sheng)在(zai)滬深港證(zheng)券交易所上(shang)市公司數(shu)量(liang)(liang)力(li)爭(zheng)達(da)(da)(da)到(dao)(dao)(dao)200家，在(zai)全(quan)國中小企業(ye)股份轉讓系(xi)統（以(yi)下簡稱“新三板(ban)”）掛牌企業(ye)數(shu)量(liang)(liang)力(li)爭(zheng)達(da)(da)(da)到(dao)(dao)(dao)650家，在(zai)省(sheng)(sheng)(sheng)區域性股權交易市場掛牌企業(ye)數(shu)量(liang)(liang)力(li)爭(zheng)達(da)(da)(da)到(dao)(dao)(dao)1000家。全(quan)省(sheng)(sheng)(sheng)直接(jie)融(rong)(rong)資額年均(jun)增長15%以(yi)上(shang)，2015年至2020年直接(jie)融(rong)(rong)資凈額累(lei)計(ji)力(li)爭(zheng)達(da)(da)(da)到(dao)(dao)(dao)1萬億元，其中，股權融(rong)(rong)資額力(li)爭(zheng)達(da)(da)(da)到(dao)(dao)(dao)2000億元。全(quan)省(sheng)(sheng)(sheng)證(zheng)券化(hua)率力(li)爭(zheng)達(da)(da)(da)到(dao)(dao)(dao)60%。
二、主要任務
3推(tui)進(jin)企(qi)(qi)業(ye)(ye)(ye)(ye)上(shang)市(shi)(shi)。積極引導符合條件(jian)的企(qi)(qi)業(ye)(ye)(ye)(ye)對(dui)接(jie)滬深港(gang)交易所(suo)。推(tui)進(jin)國(guo)有(you)大(da)(da)型(xing)企(qi)(qi)業(ye)(ye)(ye)(ye)整體上(shang)市(shi)(shi)，支(zhi)持(chi)家(jia)電、建(jian)材、汽(qi)車、工程機械(xie)、能源、交通運輸等優勢行業(ye)(ye)(ye)(ye)企(qi)(qi)業(ye)(ye)(ye)(ye)在主板(ban)、中(zhong)小板(ban)上(shang)市(shi)(shi)融(rong)(rong)(rong)資(zi)，助推(tui)傳統(tong)優勢產業(ye)(ye)(ye)(ye)改(gai)造升級。圍繞加快戰略(lve)性(xing)新(xin)興產業(ye)(ye)(ye)(ye)集聚發展基地建(jian)設(she)，對(dui)接(jie)戰略(lve)新(xin)興產業(ye)(ye)(ye)(ye)板(ban)和創(chuang)業(ye)(ye)(ye)(ye)板(ban)，助推(tui)戰略(lve)性(xing)新(xin)興產業(ye)(ye)(ye)(ye)企(qi)(qi)業(ye)(ye)(ye)(ye)和科技(ji)創(chuang)新(xin)型(xing)企(qi)(qi)業(ye)(ye)(ye)(ye)上(shang)市(shi)(shi)。推(tui)動(dong)符合條件(jian)的農村商業(ye)(ye)(ye)(ye)銀行加快上(shang)市(shi)(shi)進(jin)程。探(tan)索推(tui)進(jin)互聯網金(jin)融(rong)(rong)(rong)、融(rong)(rong)(rong)資(zi)（金(jin)融(rong)(rong)(rong)）租(zu)賃(lin)等金(jin)融(rong)(rong)(rong)、類金(jin)融(rong)(rong)(rong)機構上(shang)市(shi)(shi)。加強縣域和細分行業(ye)(ye)(ye)(ye)上(shang)市(shi)(shi)后備(bei)企(qi)(qi)業(ye)(ye)(ye)(ye)培育，大(da)(da)力推(tui)動(dong)企(qi)(qi)業(ye)(ye)(ye)(ye)股份制改(gai)造，到(dao)(dao)2020年末，力爭全省(sheng)(sheng)上(shang)市(shi)(shi)（掛牌）后備(bei)資(zi)源庫企(qi)(qi)業(ye)(ye)(ye)(ye)達到(dao)(dao)3000家(jia)。（責(ze)任單位：省(sheng)(sheng)政府(fu)金(jin)融(rong)(rong)(rong)辦、省(sheng)(sheng)發展改(gai)革委(wei)、省(sheng)(sheng)經濟和信息化委(wei)、省(sheng)(sheng)科技(ji)廳、省(sheng)(sheng)國(guo)資(zi)委(wei)、安(an)(an)徽(hui)銀監(jian)局(ju)、安(an)(an)徽(hui)證(zheng)(zheng)監(jian)局(ju)、徽(hui)商銀行、國(guo)元證(zheng)(zheng)券、華(hua)安(an)(an)證(zheng)(zheng)券、省(sheng)(sheng)農信社，列(lie)第一位的為(wei)牽(qian)頭單位，下(xia)同(tong)）
4支持(chi)上市公(gong)(gong)司(si)再融資(zi)(zi)(zi)(zi)和(he)并(bing)購(gou)重(zhong)組(zu)(zu)。推動(dong)上市公(gong)(gong)司(si)股(gu)債并(bing)舉，公(gong)(gong)募(mu)私募(mu)并(bing)行，多渠道再融資(zi)(zi)(zi)(zi)。引導上市公(gong)(gong)司(si)利用資(zi)(zi)(zi)(zi)本市場(chang)跨地(di)(di)區、跨所有(you)制(zhi)并(bing)購(gou)重(zhong)組(zu)(zu)，創新商業(ye)模式，整(zheng)合(he)產(chan)業(ye)鏈(lian)(lian)，提(ti)升(sheng)價值鏈(lian)(lian)，做大產(chan)業(ye)群。搶抓國(guo)家(jia)“一帶一路”戰略(lve)機遇，對接國(guo)際產(chan)能和(he)裝(zhuang)備制(zhi)造合(he)作，支持(chi)有(you)條件的上市公(gong)(gong)司(si)借助資(zi)(zi)(zi)(zi)本市場(chang)融資(zi)(zi)(zi)(zi)工具并(bing)購(gou)重(zhong)組(zu)(zu)海內外(wai)產(chan)業(ye)鏈(lian)(lian)高端資(zi)(zi)(zi)(zi)產(chan)以及研發、品牌與技術資(zi)(zi)(zi)(zi)源，提(ti)升(sheng)企(qi)業(ye)綜合(he)競爭力。（責任單位：省(sheng)政府(fu)金融辦、省(sheng)發展改(gai)革委(wei)(wei)、省(sheng)經濟和(he)信息化委(wei)(wei)、省(sheng)國(guo)資(zi)(zi)(zi)(zi)委(wei)(wei)、省(sheng)商務廳(ting)、省(sheng)地(di)(di)稅局(ju)(ju)、省(sheng)國(guo)稅局(ju)(ju)、安徽證(zheng)監局(ju)(ju)）
5推進企(qi)(qi)業在(zai)“新三(san)板(ban)”掛(gua)牌(pai)(pai)(pai)。利用“新三(san)板(ban)”包容(rong)性強、靈(ling)活快捷的特點，支(zhi)持(chi)暫未達到公開(kai)發行上市(shi)標準(zhun)的各類(lei)創新型(xing)、創業型(xing)、成(cheng)長型(xing)中小微企(qi)(qi)業在(zai)“新三(san)板(ban)”掛(gua)牌(pai)(pai)(pai)融資。支(zhi)持(chi)文化創意、互聯網、類(lei)金融等新興行業、新商(shang)業模式企(qi)(qi)業及中小金融機構(gou)掛(gua)牌(pai)(pai)(pai)，拓(tuo)展掛(gua)牌(pai)(pai)(pai)企(qi)(qi)業行業領(ling)域。鼓勵掛(gua)牌(pai)(pai)(pai)企(qi)(qi)業通過做(zuo)市(shi)交易等方(fang)式促進股權順暢(chang)流轉，完善治(zhi)理機制，提升企(qi)(qi)業價(jia)值。支(zhi)持(chi)“新三(san)板(ban)”優質掛(gua)牌(pai)(pai)(pai)企(qi)(qi)業分(fen)層或轉板(ban)上市(shi)。（責任單位：省政府金融辦、安徽(hui)證(zheng)監(jian)局、省農信社、國元證(zheng)券(quan)、華安證(zheng)券(quan)）
6加(jia)快區(qu)(qu)域性(xing)股(gu)權(quan)(quan)(quan)(quan)交易市(shi)(shi)場(chang)建設(she)。推(tui)進省(sheng)(sheng)(sheng)(sheng)區(qu)(qu)域性(xing)股(gu)權(quan)(quan)(quan)(quan)交易市(shi)(shi)場(chang)“綜合(he)(he)融(rong)資(zi)服務中心(xin)(xin)(xin)”功能建設(she)。鼓勵初創期創新(xin)型小微企(qi)業(ye)規范改(gai)制(zhi)，在(zai)省(sheng)(sheng)(sheng)(sheng)區(qu)(qu)域性(xing)股(gu)權(quan)(quan)(quan)(quan)交易市(shi)(shi)場(chang)先行掛(gua)(gua)牌(pai)、股(gu)權(quan)(quan)(quan)(quan)登(deng)記(ji)托管(guan)，條件成熟后(hou)轉“新(xin)三(san)板”掛(gua)(gua)牌(pai)或(huo)直接申(shen)請公開發(fa)行上市(shi)(shi)。建立工商(shang)登(deng)記(ji)部門與省(sheng)(sheng)(sheng)(sheng)區(qu)(qu)域性(xing)股(gu)權(quan)(quan)(quan)(quan)交易市(shi)(shi)場(chang)登(deng)記(ji)制(zhi)度(du)對接機制(zhi)，規范開展(zhan)股(gu)權(quan)(quan)(quan)(quan)質押融(rong)資(zi)。將省(sheng)(sheng)(sheng)(sheng)區(qu)(qu)域性(xing)股(gu)權(quan)(quan)(quan)(quan)交易市(shi)(shi)場(chang)掛(gua)(gua)牌(pai)企(qi)業(ye)納入地方征信(xin)系統，建立健全簡便、實用、準確的(de)適合(he)(he)區(qu)(qu)域性(xing)股(gu)權(quan)(quan)(quan)(quan)交易市(shi)(shi)場(chang)的(de)信(xin)息披(pi)露機制(zhi)。支持(chi)(chi)省(sheng)(sheng)(sheng)(sheng)股(gu)權(quan)(quan)(quan)(quan)托管(guan)交易中心(xin)(xin)(xin)探索報價交易模式，引(yin)導支持(chi)(chi)國(guo)元(yuan)證(zheng)券(quan)、華安(an)證(zheng)券(quan)等(deng)券(quan)商(shang)開展(zhan)柜(ju)臺交易。（責(ze)任單位：省(sheng)(sheng)(sheng)(sheng)股(gu)權(quan)(quan)(quan)(quan)托管(guan)交易中心(xin)(xin)(xin)、省(sheng)(sheng)(sheng)(sheng)政府金融(rong)辦、省(sheng)(sheng)(sheng)(sheng)發(fa)展(zhan)改(gai)革委、省(sheng)(sheng)(sheng)(sheng)工商(shang)局、省(sheng)(sheng)(sheng)(sheng)地稅局、省(sheng)(sheng)(sheng)(sheng)國(guo)稅局、人行合(he)(he)肥中心(xin)(xin)(xin)支行、國(guo)元(yuan)證(zheng)券(quan)、華安(an)證(zheng)券(quan)）
7加(jia)(jia)大(da)股(gu)(gu)(gu)(gu)權(quan)投(tou)(tou)資(zi)力(li)度。省(sheng)(sheng)(sheng)(sheng)信(xin)用擔保集(ji)團(tuan)和(he)(he)(he)省(sheng)(sheng)(sheng)(sheng)投(tou)(tou)資(zi)集(ji)團(tuan)發(fa)(fa)起設立(li)產(chan)業(ye)(ye)發(fa)(fa)展基(ji)金，支(zhi)(zhi)持(chi)省(sheng)(sheng)(sheng)(sheng)內(nei)(nei)企(qi)(qi)業(ye)(ye)面(mian)向境內(nei)(nei)外進行產(chan)業(ye)(ye)資(zi)源整合，加(jia)(jia)快(kuai)省(sheng)(sheng)(sheng)(sheng)內(nei)(nei)重大(da)招商引資(zi)項目落地(di)建設，促(cu)進戰(zhan)略(lve)性(xing)新興產(chan)業(ye)(ye)加(jia)(jia)快(kuai)發(fa)(fa)展。支(zhi)(zhi)持(chi)國元證(zheng)券(quan)(quan)、華安(an)證(zheng)券(quan)(quan)發(fa)(fa)起設立(li)股(gu)(gu)(gu)(gu)權(quan)投(tou)(tou)資(zi)與做(zuo)市（報價交(jiao)(jiao)易(yi)）基(ji)金，為我(wo)省(sheng)(sheng)(sheng)(sheng)在“新三板(ban)”和(he)(he)(he)省(sheng)(sheng)(sheng)(sheng)區(qu)域(yu)性(xing)股(gu)(gu)(gu)(gu)權(quan)交(jiao)(jiao)易(yi)市場掛牌企(qi)(qi)業(ye)(ye)及擬掛牌企(qi)(qi)業(ye)(ye)提供股(gu)(gu)(gu)(gu)權(quan)投(tou)(tou)資(zi)、做(zuo)市和(he)(he)(he)報價交(jiao)(jiao)易(yi)服務。推動市、縣（市、區(qu)）設立(li)天使投(tou)(tou)資(zi)基(ji)金，通過與園區(qu)孵化器融合發(fa)(fa)展等多(duo)種方(fang)式，支(zhi)(zhi)持(chi)初創(chuang)期創(chuang)新型(xing)企(qi)(qi)業(ye)(ye)加(jia)(jia)快(kuai)發(fa)(fa)展。探(tan)索發(fa)(fa)展基(ji)于(yu)互聯網(wang)和(he)(he)(he)大(da)數據的股(gu)(gu)(gu)(gu)權(quan)眾籌融資(zi)平臺。鼓(gu)勵合肥、蕪湖、蚌(bang)埠等有條件的地(di)方(fang)著力(li)提高私募基(ji)金聚集(ji)能力(li)。支(zhi)(zhi)持(chi)省(sheng)(sheng)(sheng)(sheng)區(qu)域(yu)性(xing)股(gu)(gu)(gu)(gu)權(quan)交(jiao)(jiao)易(yi)市場搭建各類私募股(gu)(gu)(gu)(gu)權(quan)投(tou)(tou)資(zi)機(ji)構與中(zhong)小(xiao)微企(qi)(qi)業(ye)(ye)線上線下對接平臺。（責任單位：省(sheng)(sheng)(sheng)(sheng)信(xin)用擔保集(ji)團(tuan)、省(sheng)(sheng)(sheng)(sheng)投(tou)(tou)資(zi)集(ji)團(tuan)、省(sheng)(sheng)(sheng)(sheng)發(fa)(fa)展改革委(wei)、省(sheng)(sheng)(sheng)(sheng)經濟和(he)(he)(he)信(xin)息化委(wei)、省(sheng)(sheng)(sheng)(sheng)科技廳(ting)、省(sheng)(sheng)(sheng)(sheng)財政(zheng)(zheng)廳(ting)、省(sheng)(sheng)(sheng)(sheng)國資(zi)委(wei)、省(sheng)(sheng)(sheng)(sheng)政(zheng)(zheng)府(fu)金融辦、安(an)徽證(zheng)監局，各市人民政(zheng)(zheng)府(fu)，國元證(zheng)券(quan)(quan)、華安(an)證(zheng)券(quan)(quan)、省(sheng)(sheng)(sheng)(sheng)股(gu)(gu)(gu)(gu)權(quan)托管(guan)交(jiao)(jiao)易(yi)中(zhong)心）
8發展期(qi)(qi)(qi)(qi)貨(huo)(huo)及(ji)衍(yan)生品(pin)(pin)市場。推進與(yu)期(qi)(qi)(qi)(qi)貨(huo)(huo)交(jiao)易(yi)所戰略合作，爭(zheng)取將我(wo)省優(you)勢產品(pin)(pin)納(na)入(ru)期(qi)(qi)(qi)(qi)貨(huo)(huo)交(jiao)易(yi)品(pin)(pin)種(zhong)范圍(wei)。鼓勵國有(you)企(qi)(qi)業(ye)規范參與(yu)期(qi)(qi)(qi)(qi)貨(huo)(huo)市場，支(zhi)(zhi)持鋼鐵、有(you)色金(jin)屬(shu)、煤炭、糧油等行業(ye)企(qi)(qi)業(ye)開展套(tao)期(qi)(qi)(qi)(qi)保值。爭(zheng)取設立(li)銅、鋼材、農產品(pin)(pin)、煤炭等大(da)宗商(shang)品(pin)(pin)期(qi)(qi)(qi)(qi)貨(huo)(huo)交(jiao)割倉庫(ku)。探(tan)索利(li)用期(qi)(qi)(qi)(qi)貨(huo)(huo)市場服務(wu)現代農業(ye)、大(da)宗商(shang)品(pin)(pin)交(jiao)易(yi)的途(tu)徑和模(mo)式，加大(da)對(dui)開展套(tao)期(qi)(qi)(qi)(qi)保值業(ye)務(wu)企(qi)(qi)業(ye)信貸(dai)支(zhi)(zhi)持力(li)度。組織開展期(qi)(qi)(qi)(qi)貨(huo)(huo)及(ji)相(xiang)關衍(yan)生品(pin)(pin)政(zheng)策及(ji)業(ye)務(wu)培訓，提高企(qi)(qi)業(ye)利(li)用期(qi)(qi)(qi)(qi)貨(huo)(huo)市場能(neng)力(li)。（責任(ren)單(dan)位：安(an)(an)徽證監局(ju)、省政(zheng)府金(jin)融辦、省農委、徽商(shang)期(qi)(qi)(qi)(qi)貨(huo)(huo)、華安(an)(an)期(qi)(qi)(qi)(qi)貨(huo)(huo)、安(an)(an)糧期(qi)(qi)(qi)(qi)貨(huo)(huo)）
9擴大債(zhai)(zhai)(zhai)券(quan)(quan)融(rong)(rong)資(zi)(zi)規模(mo)。支(zhi)(zhi)持(chi)符合(he)(he)(he)條件的(de)企(qi)業(ye)(ye)(ye)利用交易所市(shi)(shi)(shi)場(chang)、銀行間(jian)市(shi)(shi)(shi)場(chang)、省(sheng)(sheng)(sheng)區(qu)域性股權(quan)交易市(shi)(shi)(shi)場(chang)、境外債(zhai)(zhai)(zhai)券(quan)(quan)市(shi)(shi)(shi)場(chang)，靈(ling)活運用企(qi)業(ye)(ye)(ye)債(zhai)(zhai)(zhai)、公司債(zhai)(zhai)(zhai)、可轉(zhuan)債(zhai)(zhai)(zhai)、永續債(zhai)(zhai)(zhai)、中(zhong)小企(qi)業(ye)(ye)(ye)集合(he)(he)(he)債(zhai)(zhai)(zhai)、中(zhong)小企(qi)業(ye)(ye)(ye)集合(he)(he)(he)票據(ju)、中(zhong)小企(qi)業(ye)(ye)(ye)私募(mu)債(zhai)(zhai)(zhai)、中(zhong)期(qi)票據(ju)、短期(qi)融(rong)(rong)資(zi)(zi)券(quan)(quan)等(deng)多元化(hua)(hua)(hua)融(rong)(rong)資(zi)(zi)工具(ju)實施(shi)債(zhai)(zhai)(zhai)券(quan)(quan)融(rong)(rong)資(zi)(zi)，拓展融(rong)(rong)資(zi)(zi)渠道。支(zhi)(zhi)持(chi)市(shi)(shi)(shi)、縣(xian)（市(shi)(shi)(shi)、區(qu)）政府融(rong)(rong)資(zi)(zi)平臺市(shi)(shi)(shi)場(chang)化(hua)(hua)(hua)轉(zhuan)型(xing)，推進(jin)其發(fa)行城(cheng)市(shi)(shi)(shi)停車(che)場(chang)、城(cheng)市(shi)(shi)(shi)地下(xia)綜合(he)(he)(he)管廊(lang)、養老產(chan)業(ye)(ye)(ye)、戰略性新(xin)興產(chan)業(ye)(ye)(ye)、創新(xin)創業(ye)(ye)(ye)示范基(ji)地、電網(wang)改造(zao)等(deng)專項債(zhai)(zhai)(zhai)券(quan)(quan)，參與(yu)PPP項目建設(she)。推動地方法(fa)人金(jin)融(rong)(rong)機構發(fa)行小微企(qi)業(ye)(ye)(ye)、“三農”金(jin)融(rong)(rong)債(zhai)(zhai)(zhai)，補(bu)充信(xin)貸資(zi)(zi)金(jin)來源。推進(jin)資(zi)(zi)產(chan)證券(quan)(quan)化(hua)(hua)(hua)產(chan)品發(fa)行，拓展信(xin)貸投放空間(jian)。鼓勵省(sheng)(sheng)(sheng)信(xin)用擔(dan)保(bao)集團和符合(he)(he)(he)條件的(de)市(shi)(shi)(shi)、縣(xian)（市(shi)(shi)(shi)、區(qu)）國(guo)(guo)有(you)融(rong)(rong)資(zi)(zi)擔(dan)保(bao)機構發(fa)揮政策性擔(dan)保(bao)作用，為中(zhong)小企(qi)業(ye)(ye)(ye)、中(zhong)小法(fa)人金(jin)融(rong)(rong)機構和重點項目債(zhai)(zhai)(zhai)券(quan)(quan)融(rong)(rong)資(zi)(zi)提供擔(dan)保(bao)增信(xin)。（責任單(dan)位(wei)：省(sheng)(sheng)(sheng)政府金(jin)融(rong)(rong)辦、省(sheng)(sheng)(sheng)發(fa)展改革委(wei)、省(sheng)(sheng)(sheng)經濟和信(xin)息(xi)化(hua)(hua)(hua)委(wei)、省(sheng)(sheng)(sheng)國(guo)(guo)資(zi)(zi)委(wei)、人行合(he)(he)(he)肥中(zhong)心支(zhi)(zhi)行、安徽(hui)銀監(jian)局、安徽(hui)證監(jian)局、徽(hui)商銀行、省(sheng)(sheng)(sheng)農信(xin)社、省(sheng)(sheng)(sheng)信(xin)用擔(dan)保(bao)集團）
10加(jia)快中介機(ji)構(gou)創新發展。支持(chi)銀行(xing)、證(zheng)券(quan)、期(qi)(qi)(qi)貨(huo)(huo)(huo)(huo)(huo)公司(si)申請相關業(ye)(ye)務(wu)(wu)(wu)牌(pai)照，交叉持(chi)牌(pai)，拓展業(ye)(ye)務(wu)(wu)(wu)范(fan)圍。鼓(gu)(gu)勵國元證(zheng)券(quan)、華(hua)安(an)(an)證(zheng)券(quan)加(jia)快建設(she)(she)現(xian)代投資(zi)(zi)銀行(xing)，立(li)足安(an)(an)徽(hui)(hui)深(shen)耕(geng)細作，面(mian)向全國做大做強(qiang)。支持(chi)省(sheng)(sheng)(sheng)(sheng)股權(quan)托管交易中心(xin)增(zeng)資(zi)(zi)擴(kuo)股，壯大資(zi)(zi)本實(shi)力，拓展服(fu)務(wu)(wu)(wu)業(ye)(ye)務(wu)(wu)(wu)，增(zeng)強(qiang)服(fu)務(wu)(wu)(wu)能(neng)力。探索(suo)設(she)(she)立(li)服(fu)務(wu)(wu)(wu)于“新三板(ban)”、區域(yu)(yu)性股權(quan)交易市(shi)場的小微證(zheng)券(quan)公司(si)。鼓(gu)(gu)勵徽(hui)(hui)商期(qi)(qi)(qi)貨(huo)(huo)(huo)(huo)(huo)、華(hua)安(an)(an)期(qi)(qi)(qi)貨(huo)(huo)(huo)(huo)(huo)、安(an)(an)糧(liang)期(qi)(qi)(qi)貨(huo)(huo)(huo)(huo)(huo)等(deng)期(qi)(qi)(qi)貨(huo)(huo)(huo)(huo)(huo)公司(si)引進(jin)(jin)戰略投資(zi)(zi)者，加(jia)速上市(shi)（掛牌(pai)）進(jin)(jin)程(cheng)。支持(chi)有條件的期(qi)(qi)(qi)貨(huo)(huo)(huo)(huo)(huo)公司(si)成立(li)資(zi)(zi)產(chan)管理(li)、風險管理(li)、投資(zi)(zi)咨詢等(deng)子公司(si)，開(kai)展集團化經營。探索(suo)省(sheng)(sheng)(sheng)(sheng)屬證(zheng)券(quan)、期(qi)(qi)(qi)貨(huo)(huo)(huo)(huo)(huo)業(ye)(ye)機(ji)構(gou)實(shi)施管理(li)層持(chi)股，構(gou)建企業(ye)(ye)內(nei)部(bu)股權(quan)激勵機(ji)制。發展證(zheng)券(quan)期(qi)(qi)(qi)貨(huo)(huo)(huo)(huo)(huo)投資(zi)(zi)咨詢、資(zi)(zi)信(xin)評級(ji)、資(zi)(zi)產(chan)評估(gu)機(ji)構(gou)以及會計師、律師事(shi)務(wu)(wu)(wu)所等(deng)各類中介機(ji)構(gou)，提高專業(ye)(ye)化服(fu)務(wu)(wu)(wu)水平。大力引進(jin)(jin)境內(nei)外(wai)實(shi)力強(qiang)的中介機(ji)構(gou)，鼓(gu)(gu)勵其(qi)總部(bu)或區域(yu)(yu)性總部(bu)落戶我(wo)省(sheng)(sheng)(sheng)(sheng)。支持(chi)省(sheng)(sheng)(sheng)(sheng)內(nei)外(wai)證(zheng)券(quan)、期(qi)(qi)(qi)貨(huo)(huo)(huo)(huo)(huo)、基(ji)金等(deng)金融機(ji)構(gou)在我(wo)省(sheng)(sheng)(sheng)(sheng)建設(she)(she)后(hou)臺服(fu)務(wu)(wu)(wu)基(ji)地。（責任單位：省(sheng)(sheng)(sheng)(sheng)政府金融辦、安(an)(an)徽(hui)(hui)證(zheng)監(jian)局、安(an)(an)徽(hui)(hui)銀監(jian)局、國元證(zheng)券(quan)、華(hua)安(an)(an)證(zheng)券(quan)、徽(hui)(hui)商期(qi)(qi)(qi)貨(huo)(huo)(huo)(huo)(huo)、華(hua)安(an)(an)期(qi)(qi)(qi)貨(huo)(huo)(huo)(huo)(huo)、安(an)(an)糧(liang)期(qi)(qi)(qi)貨(huo)(huo)(huo)(huo)(huo)）
11促進(jin)(jin)資本(ben)(ben)(ben)市(shi)(shi)(shi)(shi)場(chang)(chang)區(qu)域(yu)統籌發展。搶抓股票發行注冊(ce)制(zhi)改革(ge)機遇，合肥、蕪湖等市(shi)(shi)(shi)(shi)要(yao)發揮“領頭(tou)羊”作(zuo)用，持續(xu)推進(jin)(jin)更多企(qi)(qi)業(ye)(ye)上(shang)(shang)(shang)市(shi)(shi)(shi)(shi)（掛(gua)牌(pai)(pai)）和轉(zhuan)板升級(ji)，擴大多層次資本(ben)(ben)(ben)市(shi)(shi)(shi)(shi)場(chang)(chang)板塊規模；皖(wan)北、皖(wan)南、大別(bie)山片區(qu)等欠發達地區(qu)要(yao)加(jia)快推進(jin)(jin)企(qi)(qi)業(ye)(ye)上(shang)(shang)(shang)市(shi)(shi)(shi)(shi)（掛(gua)牌(pai)(pai)）工作(zuo)，自我加(jia)壓，迎頭(tou)趕(gan)上(shang)(shang)(shang)，加(jia)大后備資源培育力度，形成企(qi)(qi)業(ye)(ye)上(shang)(shang)(shang)市(shi)(shi)(shi)(shi)（掛(gua)牌(pai)(pai)）梯次展開(kai)、可持續(xu)發展的良好格(ge)局；推進(jin)(jin)企(qi)(qi)業(ye)(ye)上(shang)(shang)(shang)市(shi)(shi)(shi)(shi)（掛(gua)牌(pai)(pai)）向縣域(yu)延(yan)伸，力爭(zheng)實(shi)現企(qi)(qi)業(ye)(ye)多層次資本(ben)(ben)(ben)市(shi)(shi)(shi)(shi)場(chang)(chang)上(shang)(shang)(shang)市(shi)(shi)(shi)(shi)（掛(gua)牌(pai)(pai)）縣域(yu)全覆蓋。（責(ze)任單位：省(sheng)政府金融辦，各市(shi)(shi)(shi)(shi)人民政府）
12防范化解(jie)市(shi)場(chang)風(feng)(feng)險(xian)。密切關注上市(shi)（掛牌）公(gong)司、債券(quan)發(fa)行主(zhu)(zhu)體生(sheng)產經(jing)營(ying)動態(tai)，加(jia)強信用風(feng)(feng)險(xian)監(jian)測，防范化解(jie)退(tui)市(shi)風(feng)(feng)險(xian)和(he)債券(quan)違約風(feng)(feng)險(xian)。加(jia)強和(he)改進監(jian)管(guan)，督導相(xiang)關中(zhong)介機(ji)構規(gui)范執業(ye)，發(fa)揮中(zhong)介機(ji)構發(fa)現、預(yu)警重大風(feng)(feng)險(xian)作用。規(gui)范市(shi)場(chang)杠(gang)桿融資(zi)，降低融資(zi)杠(gang)桿率。開展投資(zi)者(zhe)教育，提高風(feng)(feng)險(xian)自擔(dan)和(he)維權意識。嚴密防范和(he)依法(fa)打擊各(ge)(ge)類(lei)證券(quan)、期貨(huo)違法(fa)違規(gui)行為，促進依法(fa)合(he)規(gui)經(jing)營(ying)。完善投資(zi)者(zhe)信訪(fang)投訴機(ji)制，切實加(jia)強投資(zi)者(zhe)保護。按照“誰(shui)(shui)監(jian)管(guan)、誰(shui)(shui)負責(ze)”“誰(shui)(shui)主(zhu)(zhu)管(guan)、誰(shui)(shui)負責(ze)”和(he)風(feng)(feng)險(xian)處(chu)(chu)置(zhi)屬(shu)地原則，建立健全資(zi)本(ben)市(shi)場(chang)突發(fa)事件快速反(fan)應、應急(ji)處(chu)(chu)置(zhi)和(he)風(feng)(feng)險(xian)防控長效機(ji)制，確保不發(fa)生(sheng)區域性系統性風(feng)(feng)險(xian)。（責(ze)任(ren)單位：省政府(fu)金融辦、安徽(hui)證監(jian)局、省公(gong)安廳、省工商(shang)局，各(ge)(ge)市(shi)人民政府(fu)）
三、政策保障
13強化資金(jin)獎補。企(qi)業(ye)上市(shi)（掛牌）改制和內(nei)部資產(chan)重組、辦理上市(shi)輔導備案登記及成功在“新(xin)(xin)三板”和省(sheng)(sheng)(sheng)區域(yu)性(xing)股權交易市(shi)場掛牌融(rong)資的中小企(qi)業(ye)等(deng)獎補政(zheng)策，按照《安徽(hui)省(sheng)(sheng)(sheng)人(ren)民政(zheng)府(fu)關于金(jin)融(rong)支(zhi)持服(fu)務實體(ti)經濟發展(zhan)的意見》（皖政(zheng)〔2015〕87號）精神執行。鼓(gu)勵開展(zhan)股權激勵，對(dui)合蕪蚌自主(zhu)創新(xin)(xin)實驗區內(nei)高新(xin)(xin)技術企(qi)業(ye)全面執行股權激勵分期繳納個人(ren)所得稅(shui)優(you)惠政(zheng)策。（責任單位：省(sheng)(sheng)(sheng)財政(zheng)廳、省(sheng)(sheng)(sheng)地稅(shui)局(ju)、省(sheng)(sheng)(sheng)科技廳、安徽(hui)證監局(ju)，各市(shi)人(ren)民政(zheng)府(fu)）
14強化綜(zong)合(he)金融服務。鼓勵銀(yin)行、證(zheng)券、保(bao)(bao)險等金融機(ji)構運(yun)用多種方(fang)式加大向上市（掛牌(pai)）公司及后備(bei)企(qi)(qi)業(ye)的(de)投融資(zi)力度。省(sheng)(sheng)、市政(zheng)策(ce)性融資(zi)擔保(bao)(bao)機(ji)構要(yao)建(jian)立擔保(bao)(bao)資(zi)源(yuan)庫與(yu)上市（掛牌(pai)）后備(bei)企(qi)(qi)業(ye)資(zi)源(yuan)庫對接機(ji)制，把上市（掛牌(pai)）后備(bei)企(qi)(qi)業(ye)作(zuo)為重點(dian)服務對象(xiang)，給予擔保(bao)(bao)費率優惠，年化費率最高不超(chao)過15%。推廣新型(xing)政(zheng)銀(yin)擔合(he)作(zuo)模式，對單戶在保(bao)(bao)余額2000萬元(yuan)以(yi)下的(de)擬上市企(qi)(qi)業(ye)貸(dai)款擔保(bao)(bao)業(ye)務，擔保(bao)(bao)機(ji)構、省(sheng)(sheng)信用擔保(bao)(bao)集(ji)(ji)團、貸(dai)款銀(yin)行、地方(fang)政(zheng)府(fu)按(an)照4∶3∶2∶1比例承擔代償責(ze)任(ren)。（責(ze)任(ren)單位(wei)：人行合(he)肥中心(xin)支行、省(sheng)(sheng)政(zheng)府(fu)金融辦、省(sheng)(sheng)財政(zheng)廳、安徽銀(yin)監局、安徽保(bao)(bao)監局、省(sheng)(sheng)信用擔保(bao)(bao)集(ji)(ji)團，各市人民政(zheng)府(fu)）
15優(you)先安排(pai)項目用地。企業(ye)上(shang)市（掛(gua)牌(pai)）首發募投項目和已上(shang)市（掛(gua)牌(pai)）企業(ye)再(zai)融(rong)資募投項目，按照(zhao)《安徽省省級預留建(jian)設(she)用地計(ji)劃指標(biao)使用管理辦法》規(gui)定，優(you)先安排(pai)用地指標(biao)。各地要優(you)先辦理核準(zhun)預審，及時報(bao)批，優(you)先供地。在滬深(shen)港交易所每新增(zeng)1家上(shang)市公司，省國(guo)土(tu)資源(yuan)部門在建(jian)設(she)用地計(ji)劃分解中給予上(shang)市公司所在地政府獎(jiang)勵100畝土(tu)地指標(biao)。（責任(ren)單(dan)位：省國(guo)土(tu)資源(yuan)廳、省政府金融(rong)辦）
16優先享受扶(fu)持政(zheng)策。在同等(deng)條件(jian)下(xia)，優先支持符合(he)條件(jian)的上(shang)市（掛牌）及其后備(bei)企(qi)(qi)業(ye)(ye)申報高新技(ji)(ji)術企(qi)(qi)業(ye)(ye)、省(sheng)級(ji)以上(shang)創新型(xing)企(qi)(qi)業(ye)(ye)、農(nong)業(ye)(ye)產業(ye)(ye)化(hua)龍(long)頭企(qi)(qi)業(ye)(ye)和專、精、特(te)、新中(zhong)小(xiao)企(qi)(qi)業(ye)(ye)等(deng)資(zi)格(ge)認(ren)證，并(bing)相應給予(yu)政(zheng)策性資(zi)金扶(fu)持。探索將省(sheng)區(qu)域(yu)性股權交易(yi)市場打(da)造(zao)成各級(ji)政(zheng)府中(zhong)小(xiao)微企(qi)(qi)業(ye)(ye)扶(fu)持政(zheng)策綜合(he)運用平(ping)臺。（責任單(dan)位：省(sheng)財政(zheng)廳、省(sheng)科技(ji)(ji)廳、省(sheng)經濟和信息化(hua)委、省(sheng)農(nong)委、省(sheng)股權托管交易(yi)中(zhong)心）
四、工作措施
17加(jia)強(qiang)(qiang)(qiang)組(zu)織領導。省政(zheng)府(fu)(fu)(fu)建(jian)立推進全省多層次資本(ben)市(shi)(shi)場建(jian)設聯席會議制(zhi)度。各(ge)級政(zheng)府(fu)(fu)(fu)要把多層次資本(ben)市(shi)(shi)場建(jian)設工作(zuo)(zuo)(zuo)，納入經(jing)濟社會發展規劃(hua)，作(zuo)(zuo)(zuo)為重點工作(zuo)(zuo)(zuo)，做到組(zu)織領導、年度任(ren)務(wu)、責任(ren)部(bu)門、協調調度、考(kao)核評(ping)價和經(jing)費保障“六落實”。加(jia)強(qiang)(qiang)(qiang)金融(rong)(rong)人(ren)才隊伍建(jian)設，鼓勵金融(rong)(rong)管(guan)理(li)部(bu)門和金融(rong)(rong)機構業務(wu)骨干(gan)向(xiang)設區市(shi)(shi)、縣（市(shi)(shi)、區）流動。強(qiang)(qiang)(qiang)化市(shi)(shi)、縣（市(shi)(shi)、區）金融(rong)(rong)辦職能(neng)作(zuo)(zuo)(zuo)用，加(jia)強(qiang)(qiang)(qiang)充實力量。（責任(ren)單位：省政(zheng)府(fu)(fu)(fu)金融(rong)(rong)辦、省人(ren)力資源社會保障廳，各(ge)市(shi)(shi)人(ren)民政(zheng)府(fu)(fu)(fu)）
18完(wan)善工(gong)作(zuo)(zuo)機(ji)(ji)制(zhi)(zhi)。建立(li)資(zi)本市(shi)場年度(du)任務(wu)(wu)目標完(wan)成情況(kuang)月(yue)通(tong)報、季調度(du)工(gong)作(zuo)(zuo)機(ji)(ji)制(zhi)(zhi)。落實省(sheng)(sheng)屬證券(quan)機(ji)(ji)構(gou)保(bao)薦代表人(ren)聯(lian)系(xi)市(shi)縣工(gong)作(zuo)(zuo)機(ji)(ji)制(zhi)(zhi)。研(yan)究建立(li)券(quan)商(shang)(shang)等中(zhong)介機(ji)(ji)構(gou)執(zhi)業(ye)情況(kuang)評價機(ji)(ji)制(zhi)(zhi)。省(sheng)(sheng)、市(shi)、縣（市(shi)、區）有關部門要在(zai)項目申報、資(zi)金(jin)安(an)(an)排、權證辦(ban)理、行政審批（許可）、合(he)法合(he)規(gui)證明等方面，為企業(ye)上市(shi)（掛牌）開辟“綠色通(tong)道”，規(gui)范(fan)政務(wu)(wu)服務(wu)(wu)流程。（責(ze)任單位：省(sheng)(sheng)政府金(jin)融辦(ban)、省(sheng)(sheng)發展改革委、省(sheng)(sheng)科技廳(ting)、省(sheng)(sheng)經濟和信息化委、省(sheng)(sheng)公安(an)(an)廳(ting)、省(sheng)(sheng)人(ren)力資(zi)源社(she)會保(bao)障(zhang)廳(ting)、省(sheng)(sheng)國土資(zi)源廳(ting)、省(sheng)(sheng)環保(bao)廳(ting)、省(sheng)(sheng)住(zhu)房城鄉建設廳(ting)、省(sheng)(sheng)農委、省(sheng)(sheng)商(shang)(shang)務(wu)(wu)廳(ting)、省(sheng)(sheng)國資(zi)委、省(sheng)(sheng)地稅局(ju)(ju)(ju)、省(sheng)(sheng)工(gong)商(shang)(shang)局(ju)(ju)(ju)、省(sheng)(sheng)質監(jian)局(ju)(ju)(ju)、省(sheng)(sheng)安(an)(an)監(jian)局(ju)(ju)(ju)、省(sheng)(sheng)管局(ju)(ju)(ju)、省(sheng)(sheng)國稅局(ju)(ju)(ju)、合(he)肥海關、安(an)(an)徽證監(jian)局(ju)(ju)(ju)、國家外匯(hui)管理局(ju)(ju)(ju)安(an)(an)徽分局(ju)(ju)(ju)、省(sheng)(sheng)政務(wu)(wu)服務(wu)(wu)中(zhong)心，各市(shi)人(ren)民政府）
19實施目標(biao)績效考核。省(sheng)政(zheng)府(fu)(fu)將資本市(shi)場發展工作納入對各(ge)市(shi)政(zheng)府(fu)(fu)目標(biao)管理績效考核，重點(dian)考核企(qi)業(ye)改(gai)制輔導、上市(shi)（掛(gua)牌）、直接融資額(e)、股權融資額(e)等指標(biao)。省(sheng)政(zheng)府(fu)(fu)金融辦要做好(hao)相關(guan)績效考核組(zu)織實施工作。各(ge)市(shi)要按(an)照分解目標(biao)任(ren)務，細化措(cuo)施，抓好(hao)落實。（責任(ren)單位：省(sheng)政(zheng)府(fu)(fu)金融辦，各(ge)市(shi)人(ren)民政(zheng)府(fu)(fu)）
20開展業(ye)務培訓和宣傳(chuan)報道。各地要將資(zi)(zi)本市(shi)(shi)場(chang)業(ye)務知識和政(zheng)策(ce)培訓納入干部教育培訓課程。通過上門服(fu)務、集(ji)中(zhong)輪訓等多種形式，開展企業(ye)家資(zi)(zi)本市(shi)(shi)場(chang)專題培訓，激發其在多層次資(zi)(zi)本市(shi)(shi)場(chang)上市(shi)(shi)（掛(gua)牌）的積極性。各新聞(wen)媒(mei)體要加強企業(ye)上市(shi)(shi)（掛(gua)牌）和直接融(rong)資(zi)(zi)工作宣傳(chuan)報道，積極營(ying)造我省(sheng)多層次資(zi)(zi)本市(shi)(shi)場(chang)健康發展的良好氛(fen)圍。（責任單位：省(sheng)政(zheng)府金融(rong)辦、省(sheng)國資(zi)(zi)委、省(sheng)人力資(zi)(zi)源(yuan)社會保障廳、省(sheng)政(zheng)府新聞(wen)辦，各市(shi)(shi)人民政(zheng)府）
各市政府、省(sheng)(sheng)有關(guan)部門(men)要結合(he)各自(zi)實際，制定本地(di)區(qu)、本部門(men)實施意見。每(mei)年2月底前(qian)，各市政府及省(sheng)(sheng)有關(guan)部門(men)要將(jiang)上一年度(du)本意見的貫徹落實情(qing)況報省(sheng)(sheng)政府，并抄送省(sheng)(sheng)政府金融(rong)辦。
安徽省人民政府
2015年9月23日(ri)
