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1、国务院关于进一步提高上市公司质量的意见OpinionsoftheStateCouncilforFurtherImprovingtheQualityofListedCompanies制定机关:国务院发文字号:国发202014号公布日期:2020.10.05施行日期:2020.10.05效力位阶:国务院规范性文件法规类别:上市公司营商环境优化IssuingAuthority:StateCouncilDocumentNumber:No.142020oftheStateCouncilDateIssued:10-05-2020EffectiveDate:10-05-20201.evelofAuthori
2、ty:RegulatoryDocumentsoftheStateCouncilAreaofLaw:ListedCompaniesOptimizationofDoingBusinessOpinionsoftheStateCouncilforFurtherImprovingtheQualityofListedCompanies国务院关于进一步提高上市公司质量的意见(No.142020oftheStateCouncil)(国发(2020)14号)Thepeoplesgovernmentsofallprovinces,autonomousregions,andmunicipalitiesdirectl
3、yundertheCentralGovernment;andallministriesandcommissionsoftheStateCouncilandallinstitutionsdirectlyundertheStateCouncil:各省、自治区、直辖市人民政府,国务院各部委、各直属机构:Thecapitalmarkethasabutterflyeffectonfinancialoperation,andlistedcompaniesarethecornerstoneofthecapitalmarket.Improvingthequalityoflistedcompaniesisani
4、nherentrequirementforadvancingthesounddevelopmentofthecapitalmarketandan资本市场在金融运行中具有牵一发而动全身的作用,上市公司是资本市场的基石。提高上市公司质量是推动资本市场健康发展的内在要求,是新时代加快完善社会主义市场经济体制的重要内 容。国务院批转证监会关于提 高上市公司质量意见的通知(国发(2005) 34号)印发以 来,我国上市公司数量显著增 长、质量持续提升,在促进国民 经济发展中的作用日益凸显。但 也要看到,上市公司经营和治理 不规范、发展质量不高等问题仍 较突出,与建设现代化经济体 系、推动经济高质量发展的
5、要求 还存在差距。同时,面对新冠肺 炎疫情影响,上市公司生产经营 和高质量发展面临新的考验。为 进一步提高上市公司质量,现提 出如下意见。一、总体要求以习近平新时代中国特色社会主 义思想为指导,全面贯彻党的十 九大和十九届二中、三中、四中 全会精神,认真落实党中央、国 务院决策部署,贯彻新发展理 念,坚持市场化、法治化方向, 按照深化金融供给侧结构性改革 要求,加强资本市场基础制度建 设,大力提高上市公司质量。坚 持存量与增量并重、治标与治本 结合,发挥各方合力,强化持续importantcontentforacceleratingtheimprovementofthesocialistmar
6、keteconomysysteminthenewera.SincetheissuanceoftheNoticeoftheStateCouncilonApprovingandForwardingtheOpinionsoftheChinaSecuritiesRegulatoryCommissionforEnhancingtheQualityofListedCompanies(OrderNo.342005,StateCouncil),listedcompaniesinChinaavewitnessedasignificantincreaseinquantityandcontinuousimprove
7、mentinquality,havingplayedanincreasinglyprominentroleinadvancingthedevelopmentofthenationaleconomy.However,itshallbenoticedthatsuchproblemsasunregulatedbusinessoperationandgovernance,andlow-qualitydevelopmentoflistedcompaniesareprominentaswell,showingagapbetweenthecurrentsituationandtherequirementsf
8、orbuildingamoderneconomicsystemandadvancingthehigh-qualityeconomicdevelopment.Meanwhile,duetotheimpactoftheCOVID-19Outbreak,listedcompaniesfacenewchallengesinproductionandbusinessoperation,andhigh-qualitydevelopment.Forthepurposesoffurtherimprovingthequalityoflistedcompanies,thefollowingopinionsareh
9、erebyputforward.I. GeneralrequirementsUndertheguidanceofXiJinpingThoughtonSocialismwithChineseCharacteristicsinaNewEra,thespiritofthe19thCPCNationalCongressandtheSecond,ThirdandFourthPlenarySessionsofthe19thCPCCentralCommitteeshallbecomprehensivelyimplemented,thedecisionsanddeploymentsoftheCPCCentra
10、lCommitteeandtheStateCouncilshallbediligentlyimplemented,thenewdevelopmentconceptshallbeimplemented,themarket-orientedandlegalizationdirectionshallbeinsistedon,andtheconstructionofthebasicsystemofthecapitalmarketshallbestrengthenedaccordingtotherequirementsfordeepeningthesupply-sidestructuralreformo
11、fthefinancialsectorsoastovigorouslyimprovethequalityoflistedcompanies.Layingequalstressonstockandincrementandcombiningsymptomswiththerootcausesshallbeinsistedon,jointforcesofallpartiesshallbemaximized,continuoussupervisionshallbestrengthened,andthestructureanddevelopmentenvironmentoflistedcompaniess
12、hallbeoptimizedtosignificantlyimprovetheregulatedoperationoflistedcompanies,continuouslyimprovetheinformationdisclosurequality,effectivelyresolvetheprominentproblems,significantlyimprovethesustainabledevelopmentcapabilityandoverallquality,andprovidestrongsupportfortheconstructionofaregulated,transpa
13、rent,open,dynamicandresilientcapitalmarketandthepromotionofhigh-qualityeconomicdevelopment.II. Improvingthegovernanceleveloflistedcompanies监管,优化上市公司结构和发展 环境,使上市公司运作规范性明 显提升,信息披露质量不断改 善,突出问题得到有效解决,可 持续发展能力和整体质量显著提 高,为建设规范、透明、开放、 有活力、有韧性的资本市场,促 进经济高质量发展提供有力支 撑。二、提高上市公司治理水平(一)规范公司治理和内部控 制。完善公司治理制度规则,明
14、确控股股东、实际控制人、董 事、监事和高级管理人员的职责 界限和法律责任。控股股东、实 际控制人要履行诚信义务,维护 上市公司独立性,切实保障上市 公司和投资者的合法权益。股东 大会、董事会、监事会、经理层 要依法合规运作,董事、监事和 高级管理人员要忠实勤勉履职, 充分发挥独立董事、监事会作 用。建立董事会与投资者的良好 沟通机制,健全机构投资者参与1. Regulatingcorporategovernanceandinternalcontrols.Therulesofthecorporategovernancesystemshallbeimprovedandthedemarcationo
15、fresponsibilitiesandlegalresponsibilitiesofcontrollingshareholders,actualcontrollers,directors,supervisorsandseniorexecutivesshallbespecified.Controllingshareholdersandactualcontrollersshallperformtheirfiduciaryduties,maintaintheindependenceoflistedcompanies,andeffectivelyprotectthelawfulrightsandin
16、terestsoflistedcompaniesandinvestors.Thegeneralmeetingofshareholders,theboardofdirectors,theboardofsupervisors,andthemanagementshalloperateincompliancewiththelawsandregulations,andthedirectors,supervisorsandseniorexecutivesshallperformtheirdutiesfaithfullyanddiligently,andfullymaximizetheroleofindependentdirectorsandtheboardofsupervisors.A