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随着资本市场的发展,监管资源严重不足,对上市公司分类监管的需求日益迫切,本文回顾了过往对上市公司分类监管的法规探索,对其他公司分类监管的法规进行了借鉴。在此基础上,江苏证监局结合实际,选取对江苏辖区占比三分之一的上市公司进行验证,初步建立了符合实情的上市公司分类监管指标体系,提出了作为《证券法》修改的配套文件,从规范性法律文件层面上明确上市公司分类监管,力求上市公司监管不断适应资本市场的创新发展。
With the development of capital market, there is a serious shortage of regulatory resources and the demand for classified supervision of listed companies is becoming more and more urgent. This paper reviews the past regulatory research on the classified supervision of listed companies and draws lessons from the regulations of other companies. On this basis, Jiangsu Securities Regulatory Bureau, based on the actual situation, selects one-third of the listed companies in Jiangsu Province for verification, and initially establishes the classified supervision index system of listed companies in conformity with the actual conditions, and proposes the system as the revision of “Securities Law” Documents, from a normative legal documents clear supervision and control of listed companies, and strive to continuously monitor the listed companies to adapt to the innovation and development of the capital market.