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State Council Office: building a unified regulatory information platform for the CPA Industry

2021-08-27 04:38:38 Beijing daily client

8 month 23 Japan , Issued by the general office of the state council 《 Opinions on further standardizing the order of financial audit and promoting the healthy development of Certified Public Accountants industry 》( hereinafter referred to as 《 opinion 》). according to 《 opinion 》, Relevant departments should strengthen the information construction of the CPA industry , Build a unified regulatory information platform for the CPA industry , Through business reporting 、 Strengthen daily monitoring by means of electronic certificates and seals , Improve the efficiency and level of supervision , meanwhile , We should strengthen financial and accounting supervision and big data analysis , Accurately crack down on financial fraud .

《 opinion 》 Express , Since the reform and opening up , The scale of China's CPA industry is expanding , The scope of services continues to expand , The development of the industry is generally good , But there are still accounting firms “ gatekeeper ” The performance of duties is not in place 、 Lack of industry supervision and law enforcement , Enterprise financial accounting information distortion 、 Financial fraud of listed companies .

For the above problems , Proposed by the State Office , First of all, we should strengthen the supervision of accounting firms engaged in securities business according to law . The competent department of the industry shall strictly perform its duties , Enrich the strength of financial and accounting supervision and inspection , Promote the formation of a professional law enforcement inspection mechanism , Carry out effective daily supervision over accounting firms engaged in securities business . Relevant departments need to issue supervision and inspection measures for accounting firms , Highlight the key points of inspection , Increase inspection frequency , Strictly handle and punish , Establish a self inspection and self correction reporting mechanism , Strengthen the responsibility of accounting firms . Besides , Relevant departments also need to improve the coordination mechanism of relevant departments for the supervision of accounting firms engaged in securities business , Strengthen overall planning and coordination , Form a regulatory synergy , Strictly supervise accounting firms and listed companies , Investigate the audit responsibility of financial fraud according to law 、 Accounting responsibilities . Strengthen financial and accounting supervision and big data analysis , Accurately crack down on financial fraud .

《 opinion 》 Also said , We should accelerate the construction of laws and basic systems for the CPA industry . Relevant departments shall formulate a list of basic systems for the CPA industry , Timely follow up and improve relevant systems and regulations , Establish and improve institutionalization 、 A long-term mechanism for normalization ; We will accelerate the revision of the law on certified public accountants , Further improve administrative coercive measures 、 Rich regulatory tools 、 Refine the punishment standard 、 Increase punishment ; Reasonably distinguish the enterprise accounting responsibility of financial fraud from the audit responsibility of accounting firms , Clarify the legal liability of other units for issuing false certificates to certified public accountants .

In the daily supervision and credit management of the industry ,《 opinion 》 Express , We should strengthen information construction , Build a unified regulatory information platform for the CPA industry , Through business reporting 、 Strengthen daily monitoring by means of electronic certificates and seals , Improve the efficiency and level of supervision . Relevant departments should also explore the establishment of a single source system of audit report data , Promote the realization of nationwide “ One yard pass ”, Control the problem of false audit report from the source ; The measures for the administration of the list of serious dishonest subjects in the CPA industry were issued , Share and disclose relevant information according to law and regulations, and implement joint punishment ; Smooth the channels of complaints and reports , Establish a unified industry report acceptance platform , Improve the complaint handling mechanism , Achieve “ The answer to the complaint must be 、 Time limited verification , Check and deal with 、 The Department is strict ”.

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