证券监管

Search documents
突发!涉嫌严重职务违法,郭旭东被查!
中国基金报· 2025-10-10 08:34
中国基金报记者 晨曦 金融反腐重磅来了! 10月10日,中央纪委国家监委官网通报: 中国证监会原发行审核委员会主任委员、发行监管 部副主任、一级巡视员郭旭东涉嫌严重职务违法,主动投案 ,目前正接受中央纪委国家监委 驻中国证监会纪检监察组和浙江省台州市监委监察调查。 公开信息显示,郭旭东在证监会履职超20年,其间从事IPO发审工作多年,曾担任第九届、第 十届、第十一届以及第十七届、第十八届发审委委员职务。 【导读】中国证监会原发行审核委员会主任委员、发行监管部副主任、一级巡视员郭旭东接 受监察调查 2007年,郭旭东的名字首次出现在证监会发审委的名单中,为兼职委员,2008年和2009年 连任发审委兼职委员。2010年,郭旭东暂别IPO审核工作,此后先后出任证监会非上市公众 公司部副巡视员、副主任及证监会公众公司部副主任。 2017年9月,郭旭东回归发审委,职位为证监会发行监管部副主任,位列发审委委员会名单 之首。2019年,郭旭东辞职消息传出。2020年7月,证监会发布公告,免去郭旭东第十八届 发审委委员职务。 2021年,有媒体报道称,郭旭东加盟当代集团,出任副董事长一职。彼时,郭旭东的选择被 认为是"过渡 ...
突发!涉嫌严重职务违法,郭旭东被查!
Zhong Guo Ji Jin Bao· 2025-10-10 08:33
10月10日,中央纪委国家监委官网通报:中国证监会原发行审核委员会主任委员、发行监管部副主任、一级巡视员郭旭东涉嫌严重职务违法,主动投案, 目前正接受中央纪委国家监委驻中国证监会纪检监察组和浙江省台州市监委监察调查。 【导读】中国证监会原发行审核委员会主任委员、发行监管部副主任、一级巡视员郭旭东接受监察调查 金融反腐重磅来了! 公开信息显示,郭旭东在证监会履职超20年,其间从事IPO发审工作多年,曾担任第九届、第十届、第十一届以及第十七届、第十八届发审委委员职务。 2007年,郭旭东的名字首次出现在证监会发审委的名单中,为兼职委员,2008年和2009年连任发审委兼职委员。2010年,郭旭东暂别IPO审核工作,此后 先后出任证监会非上市公众公司部副巡视员、副主任及证监会公众公司部副主任。 2017年9月,郭旭东回归发审委,职位为证监会发行监管部副主任,位列发审委委员会名单之首。2019年,郭旭东辞职消息传出。2020年7月,证监会发布 公告,免去郭旭东第十八届发审委委员职务。 2021年,有媒体报道称,郭旭东加盟当代集团,出任副董事长一职。彼时,郭旭东的选择被认为是"过渡期安排"。 ...
证监会:对从事IPO业务的中介机构开展常态化滚动式现场检查
Sou Hu Cai Jing· 2025-09-23 07:42
文/梧桐小编 9月22日,中国证监会发布《中共中国证券监督管理委员会委员会关于二十届中央第三轮巡视整改进展情况的通报》。针对巡视反馈重点问题整改落实情 况,《通报》指出:坚持目标导向、问题导向,推动股票发行注册制走深走实。严把发行上市准入关。压实中介机构责任,配合制定关于规范中介机构为 公司公开发行股票提供服务的规定,修订保荐机构执业质量评价办法,对从事IPO业务的中介机构开展常态化滚动式现场检查。优化新股发行定价机制, 修订证券发行承销管理办法及配套细则。聚焦服务新质生产力发展,强化资本市场功能发挥。抓好"科技十六条""科创板八条"的落地实施,支持优质科技 型企业发行上市。多措并举活跃并购重组市场,发布"并购六条",推动典型案例落地。 根据中央统一部署,2024年4月15日至7月20日,中央第八巡视组对中国证券监督管理委员会(以下简称中国证监会)党委开展了常规巡视。2024年10月19 日,中央巡视组向中国证监会党委反馈了巡视意见。按照巡视工作有关要求,现将巡视整改进展情况予以公布。 一、党委履行巡视整改主体责任情况 中国证监会党委坚持把中央巡视整改作为重大政治任务,深入学习贯彻习近平总书记在听取二十届中央 ...
证监会、沪深交易所,最新发布
中国基金报· 2025-09-23 00:11
Core Viewpoint - The article discusses the progress of the third round of inspections by the 20th Central Committee, emphasizing the importance of deepening reforms in the capital market, enhancing risk management, and maintaining strict party governance in financial institutions [4][10]. Group 1: Regulatory Reforms - The China Securities Regulatory Commission (CSRC) aims to deepen reforms in the Sci-Tech Innovation Board, Growth Enterprise Market, and Beijing Stock Exchange, focusing on improving the issuance and listing mechanisms to cultivate patient capital [3][4]. - The CSRC is committed to implementing comprehensive reforms in the capital market, accelerating the development of a multi-level bond market, and enhancing the regulatory framework for futures [4][5]. Group 2: Risk Management and Supervision - The article highlights the need to enhance risk resolution and regulatory enforcement capabilities, promoting the entry of long-term funds into the market and improving the effectiveness of inspections [5][11]. - It emphasizes the importance of a comprehensive regulatory system that includes entry, ongoing supervision, and exit mechanisms to better protect investors' rights [5][9]. Group 3: Party Governance - The article stresses the necessity of maintaining the party's comprehensive leadership over the capital market, ensuring that party directives are integrated into all aspects of market policy and governance [4][11]. - It calls for a robust approach to anti-corruption and strict governance within financial institutions, aiming to create a clean and accountable cadre of officials [6][13]. Group 4: Continuous Improvement and Accountability - The article advocates for a long-term and effective approach to inspection rectification, integrating it with ongoing reforms and party governance to ensure sustained improvements [6][9]. - It highlights the importance of regular evaluations of completed rectification tasks to prevent regression and ensure accountability at all levels [6][9].
证监会:深化科创板、创业板、北交所改革 完善发行上市等制度机制 培育壮大耐心资本
智通财经网· 2025-09-22 10:52
智通财经APP获悉,9月22日,中共中国证券监督管理委员会委员会发布关于二十届中央第三轮巡视整 改进展情况的通报,落实落细全面深化资本市场改革各项部署。深入落实党的二十届三中全会部署,加 快推进新一轮全面深化资本市场改革任务落地。聚焦服务新质生产力发展,深化科创板、创业板、北交 所改革,完善发行上市等制度机制,培育壮大耐心资本。加快多层次债券市场发展,推动完善中国特色 期货监管制度和业务模式。扩大高水平制度型开放,提升我国资本市场的吸引力竞争力。 下一步,中国证监会党委将以永远在路上的坚韧和执着,严肃认真抓好持续整改,不断巩固拓展整改成 效。驻证监会纪检监察组将持续加大对巡视整改工作的监督。全面提升风险化解处置和监管执法能力。 坚持投融资协调发展,深入推进公募基金改革,协同各方持续推动各类中长期资金入市和占比提升,加 强战略性力量储备和稳市机制建设。突出依法严惩、依责严防,加快补齐上市公司、行业机构等法规制 度短板,统筹扩大检查覆盖面和提升检查有效性,进一步提高违法违规线索发现能力,完善与相关部 委、地方党委政府对第三方配合造假的综合惩戒协作机制,进一步健全"准入—持续监管—退出"全链条 监管体系,更好发挥日 ...
资深律师回归美国证交会 执掌IPO和信披审查部门
Xin Lang Cai Jing· 2025-09-10 16:48
来源:格隆汇APP 格隆汇9月11日|美国证交会(SEC)主席保罗·阿特金斯周三为其领导团队任命了一位关键成员,执掌审 查企业IPO及公司信息披露的部门。美国证交会表示,吉布森律所的合伙人詹姆斯·莫洛尼将从下月起出 任证交会公司融资部负责人。莫洛尼曾在1994年至2000年间在证交会任职,先后负责并购事务及公司融 资部相关工作。公司融资部负责审阅企业提交的财务报告,确保企业向投资者充分披露潜在风险。该部 门还就如何遵守证交会规则发布指引,例如高管薪酬披露、或对非通用会计准则(non-GAAP)盈利指标 的报告要求。莫洛尼声明称:"前方工作繁重,我期待重返公司融资部,与同事们一道制定明智、务实 且有效的监管规则,助力企业发展,使投资者从中受益。" ...
证监会:坚决拥护党中央对易会满进行纪律审查和监察调查的决定 坚决贯彻中央关于资本市场工作重要决策部署,依法加强监管、有效防范风险,大力推动资本市场高质量发展
Zheng Quan Shi Bao· 2025-09-07 18:24
Group 1 - The China Securities Regulatory Commission (CSRC) is undergoing a disciplinary review and investigation regarding Yi Huiman's serious violations of discipline and law, reflecting the central government's strong commitment to anti-corruption efforts [1][2] - The meeting emphasized the importance of maintaining a high-pressure stance against corruption and the need for continuous self-revolution within the party, highlighting the necessity of leadership accountability and the establishment of effective mechanisms to combat both new and hidden forms of corruption [2] - The CSRC is tasked with implementing the central government's decisions on capital market work, enhancing regulatory measures, effectively preventing risks, and promoting high-quality development of the capital market to support economic recovery and modernization efforts in China [2]
刚刚!证监会表态:警钟长鸣,大力推动资本市场高质量发展|快讯
Sou Hu Cai Jing· 2025-09-07 14:00
Group 1 - The China Securities Regulatory Commission (CSRC) is undergoing a disciplinary review and investigation regarding its chairman Yi Huiman, reflecting the central government's commitment to strict governance and anti-corruption efforts [2][3] - The meeting emphasized the importance of maintaining a high-pressure stance against corruption and the need for continuous self-revolution within the party, highlighting the necessity for leaders to enhance their political judgment and execution capabilities [3] - The CSRC is tasked with implementing the central government's decisions on capital market work, focusing on legal regulation, risk prevention, and promoting high-quality development of the capital market to support economic recovery and modernization [3]
易会满被查,曾执掌证监会5年
虎嗅APP· 2025-09-06 13:30
Core Viewpoint - The investigation of Yi Huiman, former chairman of the China Securities Regulatory Commission (CSRC), highlights the ongoing issues of financial corruption and market instability in China's capital markets during his tenure [4][5][18]. Group 1: Yi Huiman's Background and Career - Yi Huiman, born in 1962, rose from a grassroots background to become the chairman of the Industrial and Commercial Bank of China (ICBC) and later the CSRC [7][8]. - He served as the chairman of the CSRC from January 2019 until his dismissal in February 2024, during which he implemented significant reforms in the capital market [11][15]. Group 2: Reforms and Market Performance - Under Yi's leadership, the CSRC introduced several reforms, including the registration system, the establishment of the Sci-Tech Innovation Board, and a normalized delisting mechanism, resulting in over 1,800 new listings in the A-share market [5][15]. - Despite these reforms, the A-share market experienced significant volatility, with the Shanghai Composite Index falling below 3,000 points 20 times during his tenure, and only a modest increase from 2,597.78 to 2,788.55 points [5][17]. Group 3: Financial Corruption and Investigations - Yi Huiman was a vocal advocate for combating financial corruption, emphasizing the need for strict oversight and accountability within the financial sector [12][13]. - His recent investigation is seen as part of a broader crackdown on corruption within the financial industry, which has seen several high-ranking officials from ICBC implicated [8][10].
易会满被查!任职工行30余年 曾称证监会工作如履薄冰
Nan Fang Du Shi Bao· 2025-09-06 05:03
Core Viewpoint - Yi Huiman has had a long career in the banking and regulatory sectors, transitioning from a senior role at the Industrial and Commercial Bank of China (ICBC) to the Chairman of the China Securities Regulatory Commission (CSRC), where he has implemented significant reforms in the capital market, including the introduction of a comprehensive registration system for A-shares [4]. Group 1: Career at ICBC - Yi Huiman joined ICBC in January 1985 and held various positions within the bank for over 30 years, including Vice President and President [2][3]. - His roles included leadership positions in multiple branches, such as Hangzhou, Zhejiang, and Jiangsu, before moving to the head office [2]. Group 2: Tenure at CSRC - Yi Huiman became the Chairman of CSRC in January 2019, with his term set to end in February 2024 [4]. - He described his transition from market participant to regulator as a significant challenge, stating he felt like a "newcomer" in the regulatory role [4]. - Under his leadership, the CSRC implemented major reforms, notably the introduction of the registration system for A-shares, which began with the Sci-Tech Innovation Board in July 2019 and was followed by the ChiNext reform in August 2020 [4]. - During his tenure, over 1900 new companies were listed on the A-share market, approaching 2000 [4]. Group 3: Market Performance - The A-share market experienced a "rise and fall" trend during Yi Huiman's leadership at CSRC, with the Shanghai Composite Index increasing by 8.76%, the Shenzhen Component Index by 14.65%, and the ChiNext Index by 34.89% from January 2019 to February 2024 [4]. - In contrast, the Sci-Tech 50 Index saw a decline of 25.66% during the same period [4].