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广东局督促辖区上市公司完善治理机制 公平对待全体投资者

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发布日期:2015-08-05 10:13         访问次数:7221

按照证监会"公(gong)平在身(shen)边"投资者(zhe)保护专项活动(dong)的工作(zuo)部署,今年以来(lai),广东局通过(guo)督促辖区上市公(gong)司完(wan)善投票表决机(ji)制和(he)分红政策(ce)、优化诉求(qiu)处理机(ji)制、切实履(lv)行公(gong)开承诺等举(ju)措,推(tui)动(dong)上市公(gong)司完(wan)善治(zhi)理机(ji)制,公(gong)平对待全(quan)体投资者(zhe)的利益和(he)诉求(qiu),让投资者切实感受到"公(gong)平在身边"。

一、完善(shan)投票(piao)表决机制,保障中小投资者(zhe)参与权

健全(quan)有效的(de)(de)投票(piao)表决机(ji)制是投资者参与上(shang)(shang)市(shi)公司治(zhi)理、实(shi)现自(zi)我(wo)权益(yi)保护(hu)的(de)(de)直接途径。为(wei)(wei)此,广东局年初组(zu)织(zhi)工作人员对辖区(qu)上(shang)(shang)市(shi)公司章(zhang)程(cheng)中(zhong)有关中(zhong)小投资者单(dan)独计票(piao)、征集(ji)投票(piao)权、网络投票(piao)等机(ji)制建设情况(kuang)进行了全(quan)面摸(mo)查,并对部分未建立完善上(shang)(shang)述治(zhi)理机(ji)制的(de)(de)上(shang)(shang)市(shi)公司进行了通(tong)(tong)报。同(tong)时(shi),还专门编发《证券期货法制工作通(tong)(tong)讯(xun)(公司治(zhi)理专刊)》,宣传(chuan)《上(shang)(shang)市(shi)公司章(zhang)程(cheng)指引》等相(xiang)关法规政(zheng)策的(de)(de)最新修(xiu)(xiu)订(ding)情况(kuang),督促辖区(qu)上(shang)(shang)市(shi)公司以召开2014年年度股东大会为(wei)(wei)契机(ji)完成公司章(zhang)程(cheng)和(he)相(xiang)关制度的(de)(de)修(xiu)(xiu)订(ding)工作,完善中(zhong)小投资者单(dan)独计票(piao)、征集(ji)投票(piao)权、网络投票(piao)等机(ji)制,切实(shi)保障全(quan)体投资者参与管理决策的(de)(de)权利(li)。截(jie)至目前,辖区(qu)218家(jia)上(shang)(shang)市(shi)公司中(zhong)已对照修(xiu)(xiu)订(ding)公司章(zhang)程(cheng)的(de)(de)有124家(jia),修(xiu)(xiu)订(ding)议案(an)已经(jing)董事会审议通(tong)(tong)过的(de)(de)11家(jia),其余83家(jia)均已提(ti)出(chu)修(xiu)(xiu)订(ding)计划。

二、落实现(xian)金分红政策,切实回报投资(zi)者(zhe)

今(jin)年(nian)以(yi)来,广(guang)东局(ju)通过(guo)全(quan)面排查,发现(xian)(xian)辖(xia)区部分(fen)(fen)(fen)(fen)(fen)上(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)未按(an)照监管(guan)(guan)指(zhi)(zhi)引(yin)明确(que)规(gui)定(ding)现(xian)(xian)金(jin)(jin)(jin)分(fen)(fen)(fen)(fen)(fen)红(hong)(hong)与(yu)股(gu)票(piao)股(gu)利的(de)(de)优先顺序、利润(run)(run)分(fen)(fen)(fen)(fen)(fen)配(pei)政策及(ji)其(qi)调(diao)整的(de)(de)决策程(cheng)序和机制、利润(run)(run)分(fen)(fen)(fen)(fen)(fen)配(pei)的(de)(de)形式和现(xian)(xian)金(jin)(jin)(jin)分(fen)(fen)(fen)(fen)(fen)红(hong)(hong)期间间隔,以(yi)及(ji)现(xian)(xian)金(jin)(jin)(jin)分(fen)(fen)(fen)(fen)(fen)红(hong)(hong)的(de)(de)具(ju)体条件等(deng)事项。针对排查发现(xian)(xian)的(de)(de)问题,广(guang)东局(ju)专门发文(wen)督促上(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)按(an)照《上(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)监管(guan)(guan)指(zhi)(zhi)引(yin)第3号——上(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)现(xian)(xian)金(jin)(jin)(jin)分(fen)(fen)(fen)(fen)(fen)红(hong)(hong)》等(deng)文(wen)件要求,对利润(run)(run)分(fen)(fen)(fen)(fen)(fen)配(pei)相关制度再(zai)次进行(xing)自(zi)查,对不符合(he)规(gui)定(ding)的(de)(de)条款(kuan)进行(xing)修(xiu)订完善,引(yin)导上(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)提高现(xian)(xian)金(jin)(jin)(jin)分(fen)(fen)(fen)(fen)(fen)红(hong)(hong)水平。经统计,今(jin)年(nian)辖(xia)区已实(shi)(shi)施或拟(ni)实(shi)(shi)施现(xian)(xian)金(jin)(jin)(jin)分(fen)(fen)(fen)(fen)(fen)红(hong)(hong)的(de)(de)上(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)达(da)172家(jia),占辖(xia)区上(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)总(zong)数的(de)(de)80%,分(fen)(fen)(fen)(fen)(fen)红(hong)(hong)总(zong)额324亿元,同(tong)比增长了33.8%。

三、加强承诺履行(xing)监管(guan),及时(shi)查处背(bei)信行(xing)为

强化(hua)上(shang)市(shi)公(gong)司(si)诚(cheng)(cheng)信(xin)监(jian)(jian)管有助于夯(hang)实(shi)公(gong)司(si)治(zhi)理(li)运行(xing)基础,广(guang)东局(ju)按(an)照证监(jian)(jian)会资本市(shi)场诚(cheng)(cheng)信(xin)数(shu)据库建设的(de)有关(guan)要求,及时、动态(tai)更新(xin)辖区上(shang)市(shi)公(gong)司(si)新(xin)增(zeng)以(yi)及履(lv)(lv)行(xing)情况(kuang)发生(sheng)变化(hua)的(de)公(gong)开承(cheng)(cheng)(cheng)诺信(xin)息(xi),完善上(shang)市(shi)公(gong)司(si)诚(cheng)(cheng)信(xin)监(jian)(jian)管数(shu)据库。切实(shi)加强承(cheng)(cheng)(cheng)诺履(lv)(lv)行(xing)监(jian)(jian)管,将仍在承(cheng)(cheng)(cheng)诺履(lv)(lv)行(xing)期限(xian)内的(de)32家上(shang)市(shi)公(gong)司(si)、42项承(cheng)(cheng)(cheng)诺事项列(lie)为持续重点关(guan)注(zhu)事项,今(jin)年以(yi)来(lai)共督促(cu)辖区6家上(shang)市(shi)公(gong)司(si)的(de)相(xiang)关(guan)承(cheng)(cheng)(cheng)诺方(fang)以(yi)现金或股(gu)(gu)权等形(xing)式(shi)履(lv)(lv)行(xing)了业绩补偿承(cheng)(cheng)(cheng)诺;针对某公(gong)司(si)控(kong)股(gu)(gu)股(gu)(gu)东未在承(cheng)(cheng)(cheng)诺期限(xian)内将其著名(ming)系(xi)列(lie)商标转让(rang)给上(shang)市(shi)公(gong)司(si)的(de)背信(xin)行(xing)为,对相(xiang)关(guan)控(kong)股(gu)(gu)股(gu)(gu)东采取出具(ju)警示函的(de)行(xing)政监(jian)(jian)管措施,督促(cu)及时整改(gai)。

四、优化(hua)纠纷处(chu)理机制,畅(chang)通投(tou)资(zi)者(zhe)诉求(qiu)渠道

广东局在(zai)日(ri)常监管中持(chi)续督(du)促辖(xia)区上市(shi)(shi)公(gong)(gong)司(si)(si)承担(dan)投(tou)(tou)(tou)(tou)资(zi)(zi)者(zhe)(zhe)投(tou)(tou)(tou)(tou)诉(su)处(chu)(chu)理(li)(li)首要责(ze)任,在(zai)辖(xia)区上市(shi)(shi)公(gong)(gong)司(si)(si)已全(quan)面(mian)建立投(tou)(tou)(tou)(tou)资(zi)(zi)者(zhe)(zhe)投(tou)(tou)(tou)(tou)诉(su)处(chu)(chu)理(li)(li)工(gong)作制(zhi)度的(de)(de)(de)基础上,通(tong)过电(dian)子(zi)(zi)邮(you)件、电(dian)话提(ti)醒、约见谈(tan)话等(deng)方式督(du)促新上市(shi)(shi)公(gong)(gong)司(si)(si)及时建立投(tou)(tou)(tou)(tou)资(zi)(zi)者(zhe)(zhe)投(tou)(tou)(tou)(tou)诉(su)处(chu)(chu)理(li)(li)工(gong)作制(zhi)度并在(zai)公(gong)(gong)司(si)(si)网(wang)站(zhan)(zhan)进(jin)行(xing)公(gong)(gong)示。选取(qu)45家(jia)新上市(shi)(shi)、因筹划重大事(shi)(shi)项停牌以及涉及投(tou)(tou)(tou)(tou)诉(su)举(ju)报(bao)较多的(de)(de)(de)上市(shi)(shi)公(gong)(gong)司(si)(si)的(de)(de)(de)投(tou)(tou)(tou)(tou)资(zi)(zi)者(zhe)(zhe)关系管理(li)(li)工(gong)作进(jin)行(xing)抽查(cha),重点检(jian)查(cha)各公(gong)(gong)司(si)(si)热线(xian)电(dian)话、电(dian)子(zi)(zi)邮(you)件回复情况和(he)公(gong)(gong)司(si)(si)网(wang)站(zhan)(zhan)建设(she)情况,对存在(zai)不足的(de)(de)(de)个别公(gong)(gong)司(si)(si)进(jin)行(xing)督(du)促整改,确保上市(shi)(shi)公(gong)(gong)司(si)(si)投(tou)(tou)(tou)(tou)资(zi)(zi)者(zhe)(zhe)沟通(tong)渠(qu)道便捷畅通(tong)。针(zhen)对具有可调(diao)解(jie)性的(de)(de)(de)举(ju)报(bao)、投(tou)(tou)(tou)(tou)诉(su)事(shi)(shi)项,制(zhi)定了《涉及辖(xia)区上市(shi)(shi)公(gong)(gong)司(si)(si)的(de)(de)(de)有关举(ju)报(bao)、投(tou)(tou)(tou)(tou)诉(su)事(shi)(shi)项调(diao)解(jie)处(chu)(chu)理(li)(li)工(gong)作要点》,引导上市(shi)(shi)公(gong)(gong)司(si)(si)自行(xing)与投(tou)(tou)(tou)(tou)资(zi)(zi)者(zhe)(zhe)做好(hao)和(he)解(jie)工(gong)作,及时高效化解(jie)矛盾纠纷。

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