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官媒證券日報:券商有責任從源頭上保護投資者合法權益
近期內地股市持續波動,《證券日報》在頭版文章指出,內地券商應主動做好盡職調查、項目核查、信息披露督導等工作,以勤勉、審慎、專業的態度切實履行資本市場「看門人」責任,從源頭上保護投資者合法權益。 首先,券商投行業務應建立與註冊制匹配的審核理念和風險管理模式,「三道防線」各司其職,歸位盡責。加強項目遴選,嚴把上市公司質量關,避免「帶病申報」。 其次,調整投行作業模式,全流程把控項目風險。在項目立項、內核、現場檢查等環節加強管控,尤其需要重視盡職調查,關注項目實質性風險。 最後,注重投行類業務定價發行環節的風險把控,提高對投行類業務估值定價的能力以及對項目的發行、承銷能力,在發行環節持續完善定價配售、包銷、跟投等機制。
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