Full containment IPO fraud audit 5 new principles unveiled 19 legal issues concerned-clonecd

Full containment IPO: financial fraud audit 5 new principles unveiled 19 legal issues of concern: Sina App live on-line blogger to guide the purchase of new shares: the stock market is the most simple way to pick up the money from the public, the author China WeChat brokerage comprehensive containment "Hu cloud IPO fraud", regulators continue to sponsor a "knock the alarm", to prevent the "sick declaration". The broker Chinese reporter was informed that the latest news from the regulatory authorities, "the prevention of financial fraud, audit risk prevention" is the focus of IPO audit work, "performance disclosure compliance audit supervision department of financial supervision is the core. Asked the major sponsor maintain sensitivity, on the issue of abnormal financial information strictly, prevent the sick declaration. Regulators also said, to establish inspection mechanism field starting enterprises, and included in the scope of daily audit requirements, and strictly control the starting conditions of issue and the securities information disclosure standards, to conduct self correction in the IPO project, once found not to comply with the conditions of issue matters, shall promptly take the initiative to withdraw the recommendation. Regulators will be integrated use of special nuclear, on-site inspection, to take regulatory measures, the transfer of inspection and other means to deal with illegal acts. In today’s regulatory training sessions held, regulators also revealed that the five principles of IPO financial audit, IPO audit focus on the top 19 legal issues, the following will be listed one by one. IPO financial audit of the five principles of IPO financial fraud has been criticized by the market, tighter regulation is consensus. Southern China listed brokerage insurance agency brokerage Chinese to reporters, in a training session today supervision department recently held, first proposed five basic principles: one is the IPO audit supervision according to law, strict supervision and comprehensive supervision. The regulatory authorities will fully contain "IPO fraud", to further improve the regulatory process and work efficiency. The two is the compliance audit, system audit, IPO audit integrity audit: consideration from the declaration enterprise’s history, changes in equity, the overall change, mergers and acquisitions, all related transactions, competition, business development, business model, industry competition, governance structure, basic accounting work angle. "Financial audit is not an isolated act." Commission stressed that the relevant person in charge of the issuance of the Department, is about to set up the first enterprise on-site inspection mechanism, and included in the scope of the daily audit, financial audit will be a serious review of the issuer and the sponsor of a number of materials. The three is from the industry – Business – financial perspective, good capital market entry off: in the "real" on the basis of the financial accounting information disclosure, and strive to achieve "complete and accurate" requirement, and meet the timeliness requirements. Four is to urge the main market players diligence. Clear regulatory requirements, the sponsor strictly, prevent sick reporting, should pay attention to the issuer during the reporting period the profit growth and abnormal trading, prevention of profit manipulation; securities companies should control risk of a sound internal control system, give full play to the kernel, the risk control department for supervising the project staff working papers and log. To establish the corresponding theory review相关的主题文章: