【中英文对照版】中国证监会关于高质量建设北京证券交易所的意见.docx

中国证监会关于高质量建设 北京证券交易所的意见中国证监会各派出机构，各 交易所，各下属单位，各协 会，会内各部门：深化新三板改革，设立北京 证券交易所，打造服务创新 型中小企业主阵地，是以习 近平同志为核心的党中央作 出的重大决策部署，是建设 中国特色现代资本市场的重 要任务。北京证券交易所 （以下简称北交所）正式运 行以来，创新型中小企业快中国证监会关于高质量建设北京证券交易所的意见OpinionsoftheChinaSecuritiesRegulatoryCommissionontheHigh-qualityBuildingoftheBeijingStockExchange制定机关：中国证券监督管理委员会公布日期：2023.08.31施行日期：2023.08.31效力位阶：部门规范性文件法规类别：证券交易所与业务管理IssuingAuthority：ChinaSecuritiesRegulatoryCommissionDateIssued：08-31-2023EffectiveDate：08-31-20231.evelofAuthority：DepartmentalRegulatoryDocumentsAreaofLaw:StockExchangesandBusinessManagementOpinionsoftheChinaSecuritiesRegulatoryCommissionontheHigh-qualityBuildingoftheBeijingStockExchangeAlllocalofficesoftheChinaSecuritiesRegulatoryCommission(uCSRCn),allexchanges,allsubordinateentities,allassociations,andalldepartmentsoftheCSRC:DeepeningthereformoftheNEEQandformingtheBeijingStockExchangeastheprimaryplatformservinginnovativesmallandmedium-sizedenterprisesarethemajordecisionsandarrangementsmadebytheCPCCentralCommitteewithComradeXiJinpingasitscore,andareimportanttasksinbuildingamoderncapitalmarketwithChinesecharacteristics.SincetheofficialoperationoftheBeijingStockExchange(“BSE")，innovativesmallandmedium-sizedenterpriseshavegatheredrapidlyandthemarketfunctionhasbeensteadilyexerted.Atpresentandintheforeseeablefuture,itiscrucialfortheBSEtoexpanditssize,improveitsfunctions,deepeninteractionatdifferentlevels,andconsolidateitsecosystem.TheseOpinionsaredevelopedforthepurposesofseizingdevelopmentopportunities,furtherimplementingtheguidingprinciplesofthe20thNationalCongressoftheCommunistPartyofChinaandtherelevantdecisionsandplansoftheCPCCentralCommitteeandtheStateCouncil,andcomprehensivelypromotingthehigh-qualitydevelopmentoftheBSE.I.Generalrequirements1. Guidingideology速集聚，市场功能稳步发 挥。当前和今后一段时期， 是北交所规模发展攻坚期、 功能完善关键期、层层互动 深化期、生态培育巩固期。 为把握发展机遇，进一步落 实党的二十大精神和党中 央、国务院相关决策部署， 全面推进北交所高质量发 展，制定本意见。一、总体要求（一）指导思想以习近平新时代中国特色社 会主义思想为指导，全面贯 彻党的二十大精神，坚持 “两个毫不动摇“，紧紧围 绕“打造一个规范、透明、 开放、有活力、有韧性的资 本市场”的总目标，完整、 准确、全面贯彻新发展理 念，坚持稳中求进工作总基 调，坚持市场化、法治化方 向，坚持敬畏市场、敬畏法 治、敬畏专业、敬畏风险， 形成合力的监管理念，按照 坚守定位、发挥特色、错位 发展的要求，紧紧围绕服务 中小企业这个主题，以高质 量扩容为牵引，以优化投融 资结构为依托，以关键制度 机制创新为突破，全力推进 北交所高质量发展。UndertheguidanceofXiJinpingThoughtonSocialismwithChineseCharacteristicsforaNewEra,theguidingprinciplesofthe20thCPCNationalCongressshallbecomprehensivelyimplemented.Effortsshallbemadetoconsolidateanddevelopthepublicsector,andatthesametimeencourage,support,andguidethedevelopmentofthenonpublicsector.Thenewdevelopmentphilosophyshallbeappliedinacomplete,accurate,andcomprehensivemannerforthepurposesofbuildingawell-regulated,transparent,open,dynamic,andresilientcapitalmarket.Thegeneralprincipleofpursuingprogresswhileensuringstabilityshallbeadheredto.Thedirectionofmarket-orientedandlaw-baseddevelopmentshallbeadheredto.Theregulatoryphilosophyofrespectingthemarket,theruleoflaw,professionals,andriskstocreateasynergyshallbeadheredto.Inaccordancewiththerequirementsofstickingtopositioningandleveragingcharacteristicanddifferentialdevelopment,smallandmedium-sizedenterprisesshallbeserved.Throughhigh-qualityexpansionandinvestmentandfinancingstructureoptimization,breakthroughsshallbemadeinkeyinstitutionalmechanismstofullypromotethehigh-qualitydevelopmentoftheBSE.2. WorkprinciplesTheeffortstoservethenationalsituationshallbeadheredto.Theinnovativedevelopmentofsmallandmedium-sizedenterprisesshallbesupported,andthereformoftheNEEQshallbedeepened.TheBSEshallbebuiltwithhighqualityastheprimaryplatformservinginnovativesmallandmedium-sizedenterprises,thuseffectivelyenhancingtheabilityofthecapitalmarkettoservethenationalstrategy.Systematicthinkingshallbeadheredto.Improvingthefunctionsofthemarket,promotingthesounddevelopmentofsmallandmedium-sizedenterprises,andsupportingtheself-relianceofhigh-levelscienceandtechnologyshallbecloselyintegratedtohelpthevirtuouscircleof',technology-industry-finance".Aproblem-orientedapproachshallbeadopted.Practicalandeffectivemeasurestoaddressthedifficultiesandchallengesinmarketdevelopmentshallbegraduallyintroduced.Theeffortstoimprovethebasicsystemandmarketfunctionsshallbecoordinatedtopromotetheimprovementofmarketecologyandefficiency.（二）工作原则坚持服务大局。支持中小企 业创新发展，深化新三板改 革，高质量建设北交所，打 造服务创新型中小企业主阵 地，切实提升资本市场服务 国家战略的能力。坚持系统思维。将健全市场 功能与促进中小企业健康发 展、支持高水平科技自立自 强等紧密结合起来，助力 “科技-产业-金融”良性循环。坚持问题导向。聚焦市场建 设难点堵点问题，循序渐进 推出务实管用措施，统筹完 善基础制度、健全市场功 能，促进市场生杰改善和效 率提升。坚持综合施策。紧扣市场定 位，统筹规模建设与质量提 升、投资端融资端结构优化 与交易机制改革、一二级市 场协调发展、多层次资本市Differentiatedmeasuresshallbeapplied.Large-scaleexpansionandqualityimprovement,theoptimizationoftheinvestmentandfinancingstructureandthereformofthetradingmechanism,thedevelopmentoftheprimaryandsecondarymarkets,andtheinterconnectionofmulti-levelcapitalmarketsshallbecoordinatedbasedon场互联互通。marketpositioning.Thecombinationofshort-andlong-termtargetsshallbeadheredto.Therelationshipbetweenreformprogress,developmentspeed,andmarketaffordabilityshallbegrasped.Boththecurrentsituationandlong-termdevelopmentshallbeconsideredtopromotetheformationofasus