中小企业新三板挂牌合规性路径选择——以水处理ZCSW公司新三板挂牌为例

新三板市场在为中小企业的发展拓宽融资渠道的同时,也通过挂牌过程,规范了企业的经营管理。水处理中小企业在开展BOT、BT等方式运营时,前期需要垫付大量资金,融资是其面临的较大难题,新三板市场有助于解决其融资难的困境。本文以ZCSW公司新三板挂牌为例,运用归纳分类的方法,详细分析水处理中小企业在新三板挂牌前合规性存在的问题,并从持续经营能力合规性、公司治理规范合规性、股份发行与转让合规性等视角,有针对性地提出在实务操作过程中的解决举措,为水处理中小企业登陆新三板市场提供了可行解决办法。

New OTC market has broadened the financing channels for small and medium-sized enterprises. The operating management of enterprises is being standardized during the listing process. Small and medium enterprises in water treatment, when developing the operation in BOT, BT, need to advance a lot of money especially in early stages of the project,so the financing is a big problem for these enterprises. New OTC market is helpful to solve the financing difficulties of SMEs. This disquisition shows a detailed analysis of ZCSW, one of the water treatment small and medium enterprises before listing, by using the classification method from the compliance perspectives of sustainable operating ability, corporate governance, stock issuance and share transfer, puts forward the corresponding solutions and provides reference for these enterprises to be listed successfully.