cn-ib-inquiry-response-review

CN IB Inquiry Response Review

Turn each regulatory question into an auditable set of answer obligations, then test whether the response and intermediary work actually satisfy them.

Principles

1. Review against the regulator's verbs and subquestions, not only the response headings.
2. Separate the issuer's explanation from sponsor, counsel, and accountant procedures and opinions.
3. A conclusion without evidence is incomplete; a procedure without procedure evidence is not demonstrated.
4. Track whether material response content is synchronized into the prospectus or other filing.
5. Compare rounds so that a new explanation does not silently contradict an earlier response.
6. Mark judgment calls and likely follow-up questions explicitly.

Workflow

1. Establish scope

Confirm the inquiry round, regulator, board, filing version, response cut-off, responsible intermediaries, and documents in scope. Preserve the original question numbering and wording.

2. Decompose every question

Read references/question-decomposition.md. Split the question by:

• each operative verb such as 说明, 披露, 量化分析, 核查, or 发表明确意见;
• each period, entity, product, transaction, and exception;
• each addressed party;
• each requested comparison, explanation, evidence item, and filing update.

Use one row per atomic obligation and addressee in assets/inquiry-review-template.csv. Do not combine issuer disclosure and intermediary opinion in one untestable row.

3. Test the issuer response

For each issuer item, determine whether it is answered, partial, unanswered, or genuinely not_applicable. Check:

• direct answer to the requested point;
• relevant facts, periods, units, definitions, and denominators;
• quantitative support where the question requests it;
• explanation of exceptions and adverse evidence;
• exact source or filing locator;
• consistency with prior rounds and other filing documents.

Read references/response-quality.md before classifying completeness.