In view of this kind of work scene, there is a professional platform to help solve it, improve the efficiency of lawyers, reduce the error rate of documents, and better complete the shareholder penetration verification.
Taking the shareholder penetration review of IPO project as an example, this paper understands how the AutoDocs document work automation platform can efficiently complete the shareholder penetration review.
Problems existing in traditional shareholder penetration verification method
Stricter supervision increases the difficulty of verification;
In the process of IPO audit, with the deepening of business practice, the verification requirements of the regulatory authorities for shareholder penetration verification are gradually expanded from whether the initial equity is clear and whether the number of shareholders exceeds 200. , to see whether there are three types of shareholders and shareholders' qualifications, and then to expand to the current investigation of sudden shareholding, illegal shareholding, and shareholding of securities regulatory system personnel. There are more and more verification tasks, and the verification is becoming more and more difficult.
The heavy workload has affected the progress of the declaration:
In the process of shareholder penetration verification, in addition to collecting data and shareholders' related information through public channels, it is also necessary to organize these collected data into documents, analyze shareholders' shareholding and make verification papers, which will bring huge workload to issuers and intermediaries during the verification process and seriously affect the time and progress of project declaration.
Automatic solution of AutoDocs
Figure 1: AutoDocs automation platform page
In shareholder penetration verification, data collection is only the most basic work, and the real core lies in how to process, analyze data and make documents according to business rules. Through the automation platform of AutoDocs, the issuer can automatically complete all the work in the process of shareholder penetration verification, and efficiently and accurately complete the verification of regulatory requirements.
AutoDocs provides the following automated solutions for shareholder penetration verification: #3p4# Collect data.
Multi-channel data collection: collect shareholder data in real time through official and third-party data sources such as enterprise information network, enterprise annual report, eye survey and enterprise survey to ensure the accuracy of verification data to the greatest extent;
Unlimited penetration to the end: support unlimited penetration to domestic shareholders and meet the most stringent verification requirements;
Set penetration standards according to regulatory requirements: adjust penetration standards according to different project requirements, effectively reducing the workload of follow-up verification by issuers and intermediaries, such as:
According to the regulatory requirements of the "ultimate holder", intelligently identify and terminate wholly state-owned or holding entities, new third board enterprises and collectively-owned enterprises; or
According to the regulatory requirements of "importance level", the shareholders of100000 shares or less110000 shares will be automatically terminated during the penetration process;
Independent replacement data: users can modify and replace shareholder data at any level during penetration;
Automatically detect and modify wrong data: automatically identify and prompt wrong shareholder data such as name registration error and missing shareholding ratio information, and support users to modify and re-conduct penetration verification in the system;
Provide value-added services for consulting domestic and overseas industrial and commercial archives: assist in consulting domestic industrial and commercial archives, and obtain identity information of natural person shareholders and shareholder files of overseas enterprises (such as Hong Kong, Singapore, the United States, Germany, etc.). ).
#3img4# analysis data
Calculate the final benefit ratio: In the process of penetration verification, each shareholder under a shareholding path may have multiple complex shareholding situations such as repeated shareholding and cross-shareholding, and the calculated shareholding paths may be as many as tens of millions. In order to calculate the final benefit ratio accurately manually, we use the self-developed algorithm to calculate all the shareholding paths of each shareholder holding the issuer and calculate the most accurate final benefit ratio.
Identify special shareholders: automatically identify whether there are special shareholders such as financial institutions, insurance institutions, private equity funds and private equity fund managers;
Identification of suspected resignees of the CSRC: Collect on-the-job or resigned employees publicly disclosed by the CSRC and management units through the whole network, match natural person shareholders, and help determine the scope of suspected resignees of the CSRC;
Compare historical data: automatically cache all historical report data in the system and provide comparative analysis of historical data, so that the issuer can quickly grasp the changes of shareholders during the penetration process.
3 making documents
According to IPO project standards, quickly make shareholder penetration verification data into declaration documents or shareholder confirmation letters;
Make a detailed list of shareholders' penetrating verification opinions: according to a lot of past project experience and the requirements of professional teams, form some professional report templates, which support Excel and Word formats;
Making shareholder confirmation letters: generating specific confirmation letters with shareholders as the main body to improve the efficiency of communication with shareholders;
Customized file template: In addition to automatically generating standard file templates, files can also provide customized development services for users based on the use of document automation platform.
Figure 2: System Report Style Preview Page
Figure 3:Word version-shareholder confirmation letter file style (information comes from open sources)
4 making paper
Making shareholders' online verification papers: automatic online verification and screenshot can be realized by automatically simulating manual operation through the machine, and the online verification papers corresponding to shareholders' penetration verification can be quickly generated in batches;
Making verification papers for employees leaving the CSRC: conducting real-time online verification on the websites of the CSRC and management units, and assisting in making online verification papers for employees leaving the CSRC.
Figure 4: Example of screenshot of shareholder verification draft
Figure 5: Verification Page of Resigned Persons of CSRC
Why do many IPO project teams choose cases?
Professional and efficient: AutoDocs' team members are all from domestic first-line law firms and investment banks, and have provided automation solutions for more than 500 IPO projects with rich experience. We have deep cooperation with more than 150 head law firms and investment banking teams, and * * * we also transform professional and rigorous business rules into algorithms and automation products;
Extreme experience: Our solution experts provide 7*24 hours consultation, training and guidance services to solve any problems in the use of the system at any time;
Security compliance: We attach great importance to the data security of customers and projects. We provide physical, system, data, file and content protection, and process tracing and abnormal monitoring run through the whole workflow, ensuring the stable supply of services and the data security of customers in all directions.
In addition to shareholder penetration verification, AutoDocs also provides IPO verification solutions:
Automatic online verification and risk public opinion monitoring: Real-time online verification of industrial and commercial, administrative compliance, litigation and other information of corporate shareholders, molecular companies, branches and key personnel through official channels, and automatic screenshot and data capture;
Correlation and horizontal competition analysis: automatically analyze the issuer's potential related parties according to regulatory requirements, analyze the potential related parties through key personnel clues, conduct penetration verification and horizontal competition analysis on the issuer and its actual controller's foreign-invested enterprises, automatically analyze whether there is correlation between customer suppliers and enterprises or key personnel of enterprises, and conduct penetration verification on customer suppliers;
Automatic document generation: documents such as confirmation letter, documents of the third meeting, compliance certificate and commitment letter are automatically generated.
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