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  • 证监会发布《关于上市公司内幕信息知情人登记管理制度的规定》 ...

    发布时期:2021-3-8 19:46
    阅读:135 回复:3

    图片来源:微摄  中国金融网讯 为贯彻落实2020年3月1日起施行的新《证券法》,进一步规范上市公司内幕信息知情人登记和报送行为,加强内幕交易综合防控,证监会对《关于上市公司建立内幕信息知情人登记管理制度的 ...

    2020-8-29-北京金融街-证监会-4.jpg

           图片来源:微摄

      中国金融网讯   为贯彻落实2020年3月1日起施行的新《证券法》,进一步规范上市公司内幕信息知情人登记和报送行为,加强内幕交易综合防控,证监会对《关于上市公司建立内幕信息知情人登记管理制度的规定》进行了修订,于2020年9月18日向社会公开征求意见,并根据反馈情况进一步完善,形成了《关于上市公司内幕信息知情人登记管理制度的规定》(以下简称《登记管理制度》),现发布施行。

      《登记管理制度》主要修订内容如下:一是落实新《证券法》规定。根据新《证券法》,进一步明确内幕信息知情人、内幕信息的定义和范围。二是压实上市公司防控内幕交易的主体责任。规定董事长、董事会秘书等应当对内幕信息知情人档案签署书面确认意见;要求上市公司根据重大事项的变化及时补充报送相关内幕信息知情人档案及重大事项进程备忘录。三是强化证券交易所在内幕交易防控方面的职责。授权证券交易所对上市公司内幕信息知情人档案填报所涉重大事项范围、填报具体内容、填报人员范围,对需要制作重大事项进程备忘录的事项、填报内容等作出具体规定;同时要求证券交易所应当将内幕信息知情人档案及重大事项进程备忘录等信息及时与中国证监会及其派出机构共享。四是明确中介机构的配合义务。要求证券公司、律师事务所等证券服务机构协助配合上市公司及时报送内幕信息知情人档案及重大事项进程备忘录,并依照相关执业规则的要求对相关信息进行核实。

      下一步,证监会将继续贯彻“建制度、不干预、零容忍”方针,不断完善内幕交易防控机制,依法严厉打击内幕交易行为,切实维护市场秩序。



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