2019Main Contents of Annual Insurance Training (Section Creation Theme) Reprinted fromV under the Ficus Tree 3On January 18, a series of training courses on sponsored representatives of securities companies in 2019 (special topic of Securities Creation Board) sponsored by China Securities Association and Shanghai Stock Exchange was held first in Shanghai.There are about 100 securities dealers participating in the conference, covering almost all of them.It is reported that there are three sessions of the training meeting, held in Shanghai, Beijing and Guangzhou respectively. The participants are mainly the heads of the responsible securities firms and investment banking departments. I. The Key Points of the Management Measures for Registration of Section Creative Board and the Prospectus for Prospecting Shares (1) Measures for the Administration of Registration The registration system is not for whoever wants to issue it, emphasizing all aspects of supervision, and emphasizing the responsibility of intermediaries. Institutionalization of on-site inspection: Regulators should establish and improve the system of on-site inspection of information disclosure and make it regular.In addition to special provisions, the sponsorship method shall be applied to the sponsorship of the Section Creative Board. According to the characteristics of the board, sponsors should make targeted internal control arrangements and prepare and submit registration application documents. (2) Guidelines for Prospectus The core principles in the compilation of the "prospectus" criteria of Kechuangban are as follows: 1Fixed plate positioning, emphasized the information disclosure of the characteristics of the company, reflecting the innovation of the basic system of the company. (1) Disclosure of industry development and competition In the section of Business and Technology, we should disclose the uniqueness, innovation and sustained innovation ability of innovative business and mode, and disclose the development situation and future development trend of new business, new industry, new format and new mode in the past three years according to the basic situation of the industry. (2) Core technology, technicians and technological innovation mechanism The business and technology section reveals main products, technology sources, core technology and technology advancement, and discloses a series of details. (3) Risk factors Disclosure risk according to the characteristics of science and technology enterprises. (4) Fund-raising and investment Considering that the investment direction of science and technology ventures is mostly sophisticated technology, which is different from the asset-based investment of traditional industries, it is difficult to make a clear definition and quantitative prediction. Referring to the mature international market practices, the disclosure of fund-raising investment is optimized. It is clear that the direction of investment plus the proportion of investment can be disclosed, and the management system of fund-raising is also disclosed. (5) Special matters Disclosure of participation and follow-up investment; arrangement of agreement control structure; special disclosures of unprofitable enterprises, etc.2. Guided by the needs of investors, we should focus on improving information disclosure matters, enhancing the effectiveness of information disclosure, emphasizing the importance principle, and putting forward higher requirements for the level and depth of information disclosure of sponsors. (1) To incorporate the situation of the directors, supervisors and core technicians into the basic information section of the issuer, so as to facilitate investors'understanding. (2) Integrate corporate governance with peer competition and affiliated transactions into a section entitled "Corporate governance and independence". (3) Effectiveness: Put competition investigation and concluding comments in professional reports, not in prospectus; require appropriate simplification of information disclosure with low relevance to investment decisions, highlight key points; simplify information disclosure of historical evolution and major asset restructuring. (4) Importance aspect: We should disclose the confirmation basis and judgment criteria of importance, and disclose all important matters related to financial and accounting information.According to the characteristics of enterprises and the decision-making requirements of investors, ma

docxDoc 2019 series of training courses for recommendation representatives of securities companies (special topic of science and technology innovation board)

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