【中英文对照版】首发企业现场检查规定(2024修订).docx

中国证券监督管理委员会公告现公布首发企业现场检查规定，自公布之日起施行。附件：1.首发企业现场检查规定2.首发企业现场检查规定修订说明中国证监会首发企业现场检查规定(2024修订)ProvisionsontheOn-siteInspectionsofIPOEnterprises(2024Revision)制定机关：中国证券监督管理委员会发文字号：中国证券监督管理委员会公告20241号公布日期：2024.03.15施行日期：2024.03.15效力位阶：部门规范性文件法规类别：证券监督管理机构与市场监管IssuingAuthority：ChinaSecuritiesRegulatoryCommissionDocumentNumber：AnnouncementNo.12024oftheChinaSecuritiesRegulatoryCommissionDaIeIssued：03-15-2024EffectiveDale：03-15-20241.evelofAuthority:DepartmentalRegulatoryDocumentsAreaof1.aw:SecuritiesRegulatorInstitutionsandMarketSupervisionandManagementAnnouncementoftheChinaSecuritiesRegulatoryCommission(No.12024)(2024)1号)TheProvisionsontheOn-siteInspectionsofIPOEnterprisesareherebyissuedandshallcomeintoforceonthedateofissuance.Annexes:1.ProvisionsontheOn-siteInspectionsofIPOEnterprises2.ExplanationsonRevisingtheProvisionsontheOn-siteInspectionsofIPOEnterprisesChinaSecuritiesRegulatoryCommissionMarch15,20242024年3月15日首发企业现场检查规定第一章总则第一条为规范首发企业现场检查行为，强化首发企业信息披露监管，督促保荐人、证券服务机构归位尽责，保护投资者合法权益，维护证券市场秩序，根据中华人民共和国证券法中华人民共和国公司法首次公开发行股票注册管理办法存托凭证发行与交易管理办法（试行）等，制定本规定。第二条本规定所称现场检查，是指针对申请首次公开发行股票或存托凭证并在境内证券交易所（以下简称交易所）上市的企业（以下简称检查对象），由中国证券监督管理委员会（以下简称证监会）、证监会派出机构或交易所作为检查机构，在检查对象的生产、经营、管理场所以及其他相关场所，采取一定方式对其信息披露质量及保荐人、证券服务机构执业质量进行监督ProvisionsontheOn-siteInspectionsofIPOEnterprisesChapterIGeneralProvisionsArticle1TheseProvisionsaredevelopedinaccordancewiththeSecurities1.awofthePeople'sRepublicofChina,theCompany1.awofthePeople'sRepublicofChina,theMeasuresfortheAdministrationoftheRegistrationofInitialPublicOfferingsofStocks,theMeasuresfortheAdministrationofOfferingandTradingofDepositaryReceipts(forTrialImplementation),amongothers,forthepurposesofregulatingon-siteinspectionsofIPOenterprises,strengtheningtheregulationofIPOenterprises'informationdisclosure,supervisingthedutifulfulfillmentofdutiesbysponsors,andsecuritiesserviceinstitutions,protectingthelawfulrightsandinterestsofinvestors,andmaintainingtheorderofthesecuritiesmarket.Article2ForthepurposeoftheseProvisions,Onsiteinspectionsmeanssupervisoryinspectionsoftheinformationdisclosurequalityofenterprisesthatapplyfortheinitialpublicofferingsofstocksordepositoryreceiptsandlistingondomesticstockexchanges(hereinafterreferredtoas“exchanges")(hereinafterreferredtoasuinspectees11)andthepracticingqualityofsponsorsandsecuritiesserviceinstitutionsconductedbytheChinaSecuritiesRegulatoryCommission(hereinafterreferredtoastheuCSRCn)oritslocalofficesorexchangeswhichactasinspectioninstitutionsbycertainmeansatinspectees'production,operationandmanagementpremisesandotherrelatedplaces.检查的行为。Article3On-siteinspectionisanimportantsupplementtowrittenexaminationandanimportantmeansofjudgingwhetheranissuermeetstheofferingandlistingconditions,informationdisclosurerequirementsandthepracticingqualityofintermediaries,amongothers.Inspecteesandsponsorsandsecuritiesserviceinstitutionsshalleffectivelyassumecorrespondingresponsibilities,fullydisclosetheinformationnecessaryforinvestorstomakeindependentinvestmentvaluejudgments,andensurethattheinformationdisclosedisauthentic,accurate,andcomplete.第三条现场检查是书面审核的重要补充，是判断发行人是否符合发行上市条件、信息披露要求及中介机构执业质量等的重要手段。检查对象及保荐人、证券服务机构应当切实承担相应责任，充分披露投资者自主进行投资价值判断所必需的信息，确保信息披露真实准确完整。Article4Inspecteesandsponsorsandsecuritiesserviceinstitutionsshallsupporton-siteinspections,andensurethattherelevantdocumentsandmaterialsprovidedandthecontentsofstatementsmadebythemwhenacceptinginquiriesareauthentic,accurateandcomplete,andshallnotrefuseorobstructon-siteinspections.第四条检查对象和保荐人、证券服务机构应当配合现场检查工作，保证提供的有关文件资料和接受问询时陈述的内容真实、准确、完整，不得拒绝、阻碍。Article5On-siteinspectionstaffmembersshallbedevotedtotheirdutiesandbehonestandfair,andensurethaton-siteinspectionsareconductedinanindependent,objective,fairandefficientmanner,andshallneitherintervenewiththenormalproductionandoperationactivitiesofInspecteesnortakeadvantageoftheirpositionstoseekillicitbenefits.第五条现场检查工作人员应当忠于职守，廉洁公正，确保现场检查独立、客观、高效，不得干预检查对象正常的生产经营活动，不得利用职务便利牟取不正当利益。TheworkofinspectorsshallbesubjecttothesupervisionbyInspecteesandsponsorsandsecuritiesserviceinstitutions.检查人员的工作接受检查对象及保荐人、证券服务机构的监督。Article6Beforeinspectionresultsaredisclosedtothepublic,thepersonnelparticipatinginon-site第六条检查结果公开前，参与现场检查及处理的人员对检查情况负有保密义务。inspectionsandhandlingshallhavetheobligationtokeeptheinspectioninformationconfidential.第七条证监会注册部门负责现场检查的整体统筹协调及指导，包括确定检查机构、移送检查资料、组织检查沟通、协调监管合作、跟进检查进展、处理检查问题、强化结果运用、统一处理标准、共享检查信息以及组织检查培训等。Article7TheregistrationdepartmentoftheCSRCshallberesponsiblefortheoverallcoordinationandguidanceofon-siteinspections,includingdetermininginspectioninstitutions,transferringinspectionmaterials,organizinginspectioncommunication,coordinatingregulatorycooperation,followinginspectionprogress,handlinginspectionproblems,strengtheningtheapplicationofresults,unifyinghandlingstandards,sharinginspectioninformationandorganizinginspectiontrainings,amongothers.第八条证监会