Page 48 - 期货和衍生品行业监管动态（2023年2月）

期货和衍生品行业监管动态

为支持企业依法依规境外上市，配套《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》），证监会联合财政部、国家保密局、国

家档案局对《关于加强在境外发行证券与上市相关保密和档案管理工作的规定》
（证监会公告〔2009〕29 号）进行修订，形成了《关于加强境内企业境外发行

证券和上市相关保密和档案管理工作的规定》（以下简称《规定》），自 2023

年 3 月 31 日起与《管理试行办法》同步施行。

本次修订主要包括：一是调整适用范围，衔接《管理试行办法》，明确适用

于企业直接和间接境外上市。二是为相关主体在境外上市活动中保密和档案管理

工作提供更清晰明确的指引。三是完善跨境监管合作安排，为安全高效开展跨境

监管合作提供制度保障。从公开征求意见情况看，市场各方积极支持《规定》修

订，认为有利于促进境外上市活动健康有序发展。

证监会将持续推进资本市场高水平制度型开放，积极拓展现有跨境监管合作

机制的有益成果，营造良好的境外上市监管环境，支持企业依法依规境外上市。

Release of the Revised Provisions on Confidentiality and Archives

Administration as Supplement to CSRC Regulations on Filing-based

Administration of Overseas Offering and Listing (2023/2/24)

In order to support domestic companies’°overseas securities offering and listing

pursuant to laws and regulations, as a supplement to the Trial Administrative

Measures of Overseas Securities Offering and Listing by Domestic

Companies (hereinafter referred to as the Trial Measures), China Securities

Regulatory Commission (the CSRC), Ministry of Finance of the People’s Republic of

China, National Administration of State Secrets Protection, and National Archives

Administration of China, have jointly revised the Provisions on Strengthening

Confidentiality and Archives Administration for Overseas Securities Offering and

Listing (Announcement No.29 [2009] of the CSRC, hereinafter referred to as
the Provisions). The revised Provisions is issued under the title the Provisions on

Strengthening Confidentiality and Archives Administration of Overseas Securities

36