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<div class="contant_model"> <div class="contant_c contant_c_clear"> <h2 class="title contant_blue">上市公司行业分类指引</h2> <div class="contArticle"> <span>作者:佚名</span> <span>来源:本站整ç?/span> <span>发布时间ï¼?015å¹?4æœ?0æ—?/span> <span>点击数: <script language="JavaScript" type="text/JavaScript" src="/Common/GetHits.aspx?id=4836"></script> </span> <span>ã€?a href="/User/Content/Favorite.aspx?Action=add&Id=4836">收藏</a>ã€?/span> <span>ã€?a href="/Print.aspx?id=4836">打印文章</a>ã€?/span> </span> <span><span id="content_AdminEdit"></span> <script type="text/javascript"> function CheckAdminStatus(id) { var x=new AjaxRequest('XML',''); x.para = ['itemId='+id]; x.post('admineditcheck','/ajax.aspx',function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; if(status=='OK') { var managedir = "/Common/GetContentEdit.aspx?itemId=4836" ; document.getElementById("content_AdminEdit").innerHTML = "ã€?a href='" + managedir + "' target='_blank'>进入后台编辑</a>ã€?; } }); } 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document.getElementById("content_signin").innerHTML = "【已签收ã€?; break; } }); } function AutoSigninContent(id,time) { var secs = time; var wait = secs * 1000; document.getElementById("content_signin").innerHTML = "【自动签收[" + secs +"]秒ã€?; for(i = 1; i <= secs; i++) { window.setTimeout("UpdateAutoSigninTime(" + i + "," + secs + ")", i * 1000); } window.setTimeout("SigninContent('"+id+"')", wait); } function UpdateAutoSigninTime(number,wait) { printnr = wait - number; document.getElementById("content_signin").innerHTML = "【自动签收[" + printnr +"]秒ã€?; } function SigninContent(id) { var x = new AjaxRequest('XML','content_SigninAjaxStatus'); x.para = ['itemId='+id]; x.post('SigninContent', '/ajax.aspx', function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; document.getElementById("content_SigninAjaxStatus").style.display = "none"; switch (status) { case "Signined": document.getElementById("content_signin").innerHTML = "【已签收ã€?; break; case "NotSignined": document.getElementById("content_signin").innerHTML = "【签收失败ã€?; break; case "SigninOutTime": document.getElementById("content_signin").innerHTML = "【已过签收截止时间ã€?; break; } } ); } GetContentSigninStatus('4836'); </script></span> </div> <div class="c_content_text"> <div class="c_content_overflow" id="fontzoom"> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正大标宋简ä½?">上市公司监管指引ç¬?/span><span lang="EN-US">2</span><span style="font-family: 方正大标宋简ä½?">å?/span><span lang="EN-US">——</span></span><span lang="EN-US" style="font-size:21.0pt;mso-fareast-font-family:方正大标宋简ä½?><o:p></o:p></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正大标宋简ä½?">上市公司募集资金管理和使用的监管要求</span></span><span lang="EN-US" style="font-size:21.0pt;mso-fareast-font-family:方正大标宋简ä½?><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span lang="EN-US"> </span></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">为了加强对上市公司募集资金的监管,提高募集资金使用效益,根据《证券法》以及《上市公司证券发行管理办法》、《首次公开发行股票并上市管理办法》、《首次公开发行股票并在创业板上市管理暂行办法》等规定,现明确监管要求如下ï¼?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning: 0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">一、上市公司董事会应当对募集资金投资项目的可行性进行充分论证,确信投资项目具有较好的市场前景和盈利能力,有效防范投资风险,提高募集资金使用效益ã€?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning: 0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">二、上市公司的董事、监事和高级管理人员应当勤勉尽责,督促上市公司规范使用募集资金,自觉维护上市公司募集资金安全,不得参与、协助或纵容上市公司擅自或变相改变募集资金用途ã€?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning: 0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">三、上市公司应当建立并完善募集资金存储、使用、变更、监督和责任追究的内部控制制度,明确募集资金使用的分级审批权限、决策程序、风险控制措施及信息披露要求ã€?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning: 0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">四、上市公司应当将募集资金存放于经董事会批准设立的专项账户集中管理和使用,并在募集资金到位后一个月内与保荐机构、存放募集资金的商业银行签订三方监管协议。募集资金专项账户不得存放非募集资金或用作其他用途ã€?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning: 0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">五、上市公司募集资金应当按照招股说明书或募集说明书所列用途使用。上市公司改变招股说明书或募集说明书所列资金用途的,必须经股东大会作出决议ã€?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning: 0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">六、上市公司募集资金原则上应当用于主营业务。除金融类企业外,募集资金投资项目不得为持有交易性金融资产和可供出售的金融资产、借予他人、委托理财等财务性投资,不得直接或间接投资于以买卖有价证券为主要业务的公司ã€?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning: 0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:31.2pt;mso-char-indent-count: 2.0;line-height:28.0pt;mso-line-height-rule:exactly;mso-list:l0 level1 lfo1"><!--[if !supportLists]--><span style="font-size:16px;"><span lang="EN-US">七ã€?/span><!--[endif]--><span style="font-family: 方正仿宋简ä½?">暂时闲置的募集资金可进行现金管理,其投资的产品须符合以下条件ï¼?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning: 0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">(一)安全性高,满足保本要求,产品发行主体能够提供保本承诺ï¼?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning:0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">(二)流动性好,不得影响募集资金投资计划正常进行ã€?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning:0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">投资产品不得质押,产品专用结算账户(如适用)不得存放非募集资金或用作其他用途,开立或注销产品专用结算账户的,上市公司应当及时报交易所备案并公告ã€?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning: 0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">使用闲置募集资金投资产品的,应当经上市公司董事会审议通过,独立董事、监事会、保荐机构发表明确同意意见。上市公司应当在董事会会议后</span><span lang="EN-US">2</span><span style="font-family: 方正仿宋简ä½?">个交易日内公告下列内容:</span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size: 10.0pt;mso-font-kerning:0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">(一)本次募集资金的基本情况,包括募集时间、募集资金金额、募集资金净额及投资计划等;</span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning: 0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">(二)募集资金使用情况;</span></span><span lang="EN-US" style="font-size: 15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning:0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">(三)闲置募集资金投资产品的额度及期限,是否存在变相改变募集资金用途的行为和保证不影响募集资金项目正常进行的措施;</span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning: 0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">(四)投资产品的收益分配方式、投资范围及安全性;</span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning:0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">(五)独立董事、监事会、保荐机构出具的意见ã€?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning:0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">八、暂时闲置的募集资金可暂时用于补充流动资金。暂时补充流动资金,仅限于与主营业务相关的生产经营使用,不得通过直接或间接安排用于新股配售、申购,或用于股票及其衍生品种、可转换公司债券等的交易ã€?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning: 0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">闲置募集资金暂时用于补充流动资金的,应当经上市公司董事会审议通过,独立董事、监事会、保荐机构发表明确同意意见并披露。单次补充流动资金最长不得超è¿?/span><span lang="EN-US">12</span><span style="font-family: 方正仿宋简ä½?">个月ã€?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size: 10.0pt;mso-font-kerning:0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">九、上市公司实际募集资金净额超过计划募集资金金额的部分(下称超募资金)可用于永久补充流动资金和归还银行借款,每</span><span lang="EN-US">12</span><span style="font-family: 方正仿宋简ä½?">个月内累计金额不得超过超募资金总额çš?/span><span lang="EN-US">30%</span><span style="font-family: 方正仿宋简ä½?">ã€?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning: 0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">超募资金用于永久补充流动资金和归还银行借款的,应当经上市公司股东大会审议批准,并提供网络投票表决方式,独立董事、保荐机构应当发表明确同意意见并披露。上市公司应当承诺在补充流动资金后的</span><span lang="EN-US">12</span><span style="font-family: 方正仿宋简ä½?">个月内不进行高风险投资以及为他人提供财务资助并披露ã€?/span></span><span lang="EN-US" style="font-size:15.0pt; mso-bidi-font-size:10.0pt;mso-font-kerning:0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">十、上市公司以自筹资金预先投入募集资金投资项目的,可以在募集资金到账后</span><span lang="EN-US">6</span><span style="font-family: 方正仿宋简ä½?">个月内,以募集资金置换自筹资金。置换事项应当经董事会审议通过,会计师事务所出具鉴证报告,并由独立董事、监事会、保荐机构发表明确同意意见并披露ã€?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning: 0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">十一、上市公司应当真实、准确、完整地披露募集资金的实际使用情况。董事会应当每半年度全面核查募集资金投资项目的进展情况,出具《公司募集资金存放与实际使用情况的专项报告》并披露。年度审计时,上市公司应聘请会计师事务所对募集资金存放与使用情况出具鉴证报告ã€?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning: 0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">募集资金投资项目实际投资进度与投资计划存在差异的,上市公司应当解释具体原因。当期存在使用闲置募集资金投资产品情况的,上市公司应当披露本报告期的收益情况以及期末的投资份额、签约方、产品名称、期限等信息ã€?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning: 0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">十二、独立董事应当关注募集资金实际使用情况与上市公司信息披露情况是否存在差异。经</span><span lang="EN-US">1/2</span><span style="font-family: 方正仿宋简ä½?">以上独立董事同意,独立董事可以聘请会计师事务所对募集资金存放与使用情况出具鉴证报告,上市公司应当积极配合,并承担必要的费用ã€?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning: 0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">十三、保荐机构应当按照《证券发行上市保荐业务管理办法》的规定,对上市公司募集资金的管理和使用履行保荐职责,做好持续督导工作。保荐机构应当至少每半年度对上市公司募集资金的存放与使用情况进行一次现场核查。每个会计年度结束后,保荐机构应当对上市公司年度募集资金存放与使用情况出具专项核查报告并披露ã€?/span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-font-kerning: 0pt"><o:p></o:p></span></p> <p> </p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><span style="font-family: 方正仿宋简ä½?">十四、本监管指引自公布之日起施行。中国证监会《关于进一步规范上市公司募集资金使用的通知》(证监公司字ã€?/span><span lang="EN-US">2007</span><span style="font-family: 方正仿宋简ä½?">ã€?/span><span lang="EN-US">25</span><span style="font-family: 方正仿宋简ä½?">号)同时废止ã€?/span></span><span lang="EN-US" style="font-size:14.0pt;mso-bidi-font-size: 10.0pt;color:black"><o:p></o:p></span></p> </div> </div> <div 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