(1) Sponsoring securities firms
The sponsoring brokerage firm is mainly responsible for the reorganization of listed companies, the standardization of listed companies, the production and core of application materials, listing applications and subsequent continuous supervision. The specific work is as follows:
1. According to relevant national laws and regulations, assist enterprises to carry out shareholding system reform and set up joint stock limited companies. The specific work includes:
(1) Conduct due diligence on the enterprise;
(two) to assist enterprises, accounting firms, law firms and other intermediary institutions to formulate overall plans for restructuring and conduct legal and financial feasibility studies;
(three) the formation of joint-stock reform working group;
(4) To investigate the assets and financial status of the enterprise, put forward rectification opinions or suggestions to the enterprise for the part whose assets and financial status do not meet the requirements of reorganization, and assist the enterprise and accounting firm to solve related financial problems;
(five) to assist enterprises and law firms to solve legal problems in the process of enterprise restructuring;
(six) to formulate a timetable for the reform of the enterprise shareholding system;
(seven) to assist enterprises and law firms to make and compile the application documents for the establishment of a joint stock limited company through enterprise restructuring;
(8) Assist enterprises to communicate and coordinate with relevant government departments, and obtain all approvals for shareholding system reform;
(9) Assist the enterprise to hold the founding meeting and the first meeting of the first board of directors;
(10) Assist enterprises to complete other work related to the establishment of a joint stock limited company.
2. Provide guidance for the joint stock limited company established after the enterprise restructuring before the listing of the New Third Board.
3. According to the relevant regulations on the listing of the New Third Board, conduct due diligence on the joint stock limited company, propose solutions to the problems found, and assist enterprises to implement relevant measures.
4. Coordinate and arrange intermediary agencies to enter the market to carry out related work, and make them make listing application materials on time.
5. Assist enterprises to communicate with relevant authorities, promote the capital operation of enterprises, and carry out the listing work smoothly.
6. Be responsible for making the materials required for enterprises to apply for listing on the New Third Board, and provide reference for related work.
7. Enterprises apply for the core of the materials listed on the New Third Board.
8. Submit relevant materials for listing application to the national share transfer system for small and medium-sized enterprises, and give timely feedback.
9. After an enterprise goes public, the sponsoring brokerage firm shall continuously supervise and recommend the listed companies to be honest and trustworthy, standardize the performance of information disclosure obligations, and improve the corporate governance mechanism.
(2) Accounting firms
Enterprises applying for listing on the New Third Board shall employ accounting firms with securities business qualifications to undertake relevant auditing and capital verification. The main work is as follows:
(1) Responsible for enterprise restructuring audit and issue audit reports;
(2) Responsible for verifying the capital of the enterprise and issuing relevant capital verification reports;
(three) responsible for the audit of enterprise financial statements, and issue biennial and first audit reports;
(4) Issue special opinions on the differences between the original financial statements and the declared financial statements of the issuer;
(5) Providing financial and accounting consulting services related to the listing of the New Third Board.
(3) Law firms
Enterprises applying for listing on the New Third Board must employ law firms as legal advisers according to law, and their main work is as follows:
(1) To demonstrate the legality of the reorganization plan of listed enterprises;
(2) to guide the establishment or change of joint-stock companies of listed enterprises;
(three) to review the legal issues involved in the listing process of enterprises, and to assist enterprises to standardize, adjust and improve;
(4) to judge the legality of the company's historical evolution, ownership structure, assets, organization and operation, independence, taxation and other legal matters;
(5) to judge the legality of various legal documents in the process of listing;
(6) Assist and guide enterprises to draft articles of association and other corporate legal documents;
(seven) legal opinions and other documents required for listing;
(8) Provide witness opinions on relevant listing application documents.