As of March 3 1 day, * * * has received the self-inspection reports of 6 10 enterprises, including 138, 265 and 207 for the main board, small and medium-sized board and growth enterprise market respectively; There are 107 companies that have submitted applications to suspend the review because they have not completed the self-inspection work, 28 main boards, 49 small and medium-sized boards and 30 growth enterprise markets. During this period, 162 enterprises submitted applications for termination of review, including 9 mainboards, 47 small and medium-sized enterprises and 106 growth enterprises.
According to the deployment of special inspection work, by March 3rd1day, after the self-inspection stage of intermediary institutions is over, relevant departments of CSRC will review the self-inspection report and arrange spot checks in early April.
On April 3, the CSRC conducted a spot check on the selected enterprises. This selection is based on the principles of fairness, justice and openness, and is randomly selected by lottery. The issuance department and the Growth Enterprise Market Department provide a list of all enterprises under review that have submitted self-inspection reports, and the Securities Industry Association presides over this selection. The specific selection behavior is completed by the members of the Investment Banking Committee of the Association. This time, * * * selected 30 enterprises, accounting for about 5% of the enterprises that have submitted the self-inspection report, including 7 main boards, 3 small and medium-sized boards 10 and 0 growth enterprise market10. More than 30 Chinese and foreign media reporters witnessed the extraction work.
A spokesman for the CSRC pointed out that since some enterprises have not submitted self-inspection reports, the selection of the spot check list will be carried out twice. According to the feedback, the extension shall not exceed two months, and the relevant self-inspection report shall be submitted before May 3 1. After these enterprises submit self-inspection reports, the second batch of enterprises will be selected for spot checks.
By May 3 1 day, if neither the self-inspection report nor the application for terminating the review is submitted, the CSRC will start a special review procedure and require another accounting firm to review the issuer's financial information; The CSRC will decide whether to conduct on-site inspection or require the inspection to intervene in advance depending on the review.
In view of the fact that the purpose of this special inspection is to promote intermediaries to return to their posts, the spot check process focuses on intermediaries that have violated regulations in the past. Relevant intermediaries include three categories: those who have been subject to administrative punishment by the CSRC since 20 10; Regulatory measures are taken by the issuing department, the Growth Enterprise Market Department and the accounting department; Intermediaries that have been put on file for inspection due to their initial business. When extracting, within the scope of enterprises sponsored or audited by the above-mentioned intermediary institutions, half of the number to be extracted in advance, and the other half will be extracted together with other audited enterprises if not extracted.