H Company Listed On NEEQ Review Compliance Issues And Countermeasures Research

SMEs financing difficulty is an important problem which restricts the development of our national economy.Due to its asset-light,and irregular development issues,SMEs face indirect financing difficulties.Solution lies in developing direct financing.Direct financing of SMEs in NEEQ(National Equities Exchange and Quotations)appears to provide a new path.A large number of listed small and medium enterprises come to NEEQ to solve their financing problems.However,at this stage,the number of listed enterprises is more than 10,000.In the case of tightening up for regulation and supervision,researching enterprises listed ban supervision and new compliance issues,and making suggestions for improving the tone of NEEQ of enterprise success are of great significance.This article chooses H company as a case study,because it is representative.According to the train of thought of three-step research ideas:discovering,analyzing,and solving the problem,this article combines theoretical analysis and case study and studies the compliance issues when H lists on NEEQ.First,this article explains the system of present situation of the development of NEEQ,as well as the enterprises listed ban policy,new legislation and review key points,to provide the basis for the analysis of the problem.Then this article introduces the compliance issues before H company listing on NEEQ,in business,corporate governance and corporate finance.Next this article analyzes problems of H company in equity structure,internal finance and operation,such as actual controller problem,share-holding entrustment problem,VAM problem,shareholders' investment problem,financial index problem,connected transaction and horizontal competition problem,occupying funds problem,director,Supervisor,Executives and the core employees problem,internal control system problem and the continued business capacity Hudge problems,and provides solution based on its condition.According to above listed problems,this article offers countermeasures which are able to strengthen the regulation.And through the analysis of H,this article summarizes general ideas of solving the above review compliance issues and procedures,which encourages innovation,normalizes company operation.improves corporate governance,and strengthens financial compliance,namely:identifying causes of compliance issues,solving problems according to the relevant laws and regulations,and emphasizing problem solviing processes and making information disclosure.