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期货和衍生品行业监管动态

inquiry, pricing and placement with institutional investors as the main participants
will be improved.

Fourthly, to improve the system of major asset reorganization of listed

companies. The unified registration system shall be implemented for listed companies

issuing shares to purchase assets in all market segments. The regulations shall also

improve the reorganization recognition criteria and pricing mechanism, and

strengthen the supervision of reorganization activities during and after the event.

Fifthly, to strengthen supervision and enforcement and investor protection. The

regulations shall crack down hard illegal acts in the process of securities issuance,

sponsorship and underwriting in accordance with the law. The regulations shall also

refine the arrangement of the system of ordering buyback.

In addition, the arrangements related to the registration system of NEEQ will be

generally consistent with those of the stock exchanges, with differentiated
arrangements based on the characteristics of small and medium enterprises (SMEs).

http://www.csrc.gov.cn/csrc/c100028/c7123213/content.shtml

5. 中国证监会发布境外上市备案管理相关制度规则（2023 年 2 月 17 日）

2023 年 2 月 17 日，经国务院批准，中国证监会发布境外上市备案管理相关

制度规则，自 2023 年 3 月 31 日起实施。

此次发布的制度规则共 6 项，包括《境内企业境外发行证券和上市管理试行

办法》（以下简称《管理试行办法》）和 5 项配套指引。

《管理试行办法》共六章三十五条，主要内容：一是完善监管制度。对境内

企业直接和间接境外上市活动统一实施备案管理，明确境内企业直接和间接境外

发行上市证券的适用情形。二是明确备案要求。明确备案主体、备案时点、备案
程序等要求。三是加强监管协同。建立境内企业境外发行上市监管协调机制，完

善跨境证券监管合作安排，建立备案信息通报等机制。四是明确法律责任。明确

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