14-上海证券交易所证券上市审核暂⾏规定（英⽂）
Circular of Shanghai Stock Exchange on Promulgating the Interim Provisions on the Examination of Securities Listing in Shanghai Stock Exchange
In order to regulate the examination of the listing of curities, suspension of listing and termination of listing, this Exchange has formulated the Interim Provisions on the Examination of Securities Listing in Shanghai Stock Exchange, which are hereby promulgated and shall come into force as of the day of promulgation.
Shanghai Stock Exchange
June 12, 2006
Interim Provisions on the Examination of Securities Listing in Shanghai Stock Exchange
Chapter I General Provisions
Article 1 The prent Provisions are formulated according to the Rule of Shanghai Stock Exchange for Stock Listing (hereinafter referred to as the Rule for Stock Listing), Rule of Shanghai Stock Exchange f
or the Listing of Enterpri Bonds (hereinafter referred to as the Rule for Enterpri Bonds Listing) as well as other relevant rules for the purpo of regulating the examination of curities listing in Shanghai Stock Exchange (hereinafter referred to as this Exchange), protecting the legitimate rights and interests of investors and maintaining the order of the curities market.
Article 2 The examination on the following matters shall be governed by the prent Provisions. In the abnce of the relevant provisions in the prent Provisions on any matter concerned, it shall be governed by the Rule for Stock Listing, the Rule for Enterpri Bond Listing as well as other relevant provisions:
jingba(1) The initial public offering of stocks, enterpri bonds and corporate bonds listing;
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(2) The re-listing of any stocks, enterpri bonds, corporate bonds and convertible corporate bonds who listing has been suspended;
(3) The suspension or termination of listing of any stocks, enterpri bonds, corporate bonds and convertible corporate bonds; and
(4) Any other listing of curities, suspension of listing, recovery of listing and termination of listing that this Exchange shall handle.
Article 3 The Listing Committee as established by this Exchange shall conduct examination on the matters as prescribed in the preceding paragraph. This Exchange shall make a decision on examination according to the examination opinions as produced by the Listing Committee. Where the listing Committee conducts examination, it may carry it out in such forms as examination meeting, direct voting through communications or any other form.
Article 4 The members of the Listing Committee shall independently perform their functions and duties in their own names and shall not be interfered by any entity or individual.
Chapter II Listing Committee
Article 5 The members of the Listing Committee shall be singled out by this Exchange from tho qualified experts in such specialties as accounting, law and related fields as well as qualified
professionals in any other organizations, which shall be publicized to the general public.
Article 6 The term of office of the members of the Listing Committee is 2 years and can be resumed upon expiration.
This Exchange may, according to the real situation, adjust the term of tenure as well as the number
of tenures of the members of the Listing Committee.
Article 7 A member of the Listing Committee shall meet the following requirements:
(1) Having a good knowledge of the relevant laws and administrative regulations on and state policies for curities;
(2) Having a good knowledge of curities operations as well as the operating rules of this Exchange;
(3) Having good creditworthiness within his ctor and having no record of being given any criminal or administrative punishment or any disciplinary sanction by any lf-regulatory organization;
(4) Upholding the relevant principles, being honest and clean and strictly obrving the law; and
(5) Satisfying any other requirement as t by this Exchange.
Article 8 A member of the Listing Committee shall obrve the following provisions when performing his functions and duties:
(1) Showing due diligence and accountability and prudently examining the relevant materials in an all-round way;
(2) Taking part in the examination according to the relevant requirements, independently airing his opinions and exercising his right of voting according to the requirements of the relevant laws, administrative regulations as well as the Rules of this Exchange;
(3) Not accepting any prent from any entity or individual relating to the examined items and not cretly contacting any of the aforesaid entities or individuals;
(4) Keeping confidential all state crets and commercial crets of the related entities as accessible in the performance of his duties and functions and not divulging any information on the meeting to the general public;
(5) Not eking any interest for himlf or any other person by taking advantage of the non-public information obtained in the performance of his duties and functions; and
(6) Meeting other requirement as t by this Exchange.
Article 9 Where a member of the Listing Committee is under any of the following circumstances, this
Exchange shall dismiss him:扬州新东方学校
(1) Failing to meet the requirements as prescribed by Article 7 of the prent Provisions;
(2) Violating the provisions of Article 8 of the prent Provisions with rious circumstances;
(3) Failing to take part in the examination for 2 times or more within his term of office;
(4) Offering to resign upon his own request; or
(5) Under any other circumstance as prescribed by this Exchange.
老友记第二季下载Article 10 An examination shall be attended by 7 members as singled out by this Exchange from the Listing Committee, among whom the actual participants shall be no less than 5 and there shall be at least a lawyer and an accountant as well.
Article 11 Where a member that has been singled out by this Exchange to attend an examination has any direct or indirect interest relationship with the relevant applicant or examined matter, thereby affecting the impartial performance of his functions and duties, he shall apply for withdrawal in a timely manner.
Article 12 A working group of the Listing Committee (hereinafter referred to as the working group) shall be established within the company department as well as bond funds department of this Exchange, which shall handle the following affairs:
(1) Accepting the IPO application materials;
(2) Confirming whether the lected members can attend the examination;
(3) Delivering the examination materials to the relevant members;
(4) Attending the examination meeting and formulating the meeting minutes;
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(5) Producing Decisions on Examination and rving them on the relevant applicants; and
(6) Handling any other matter as required by the Listing Committee.
Chapter III Procedures for Examination公司行业英语培训
Article 13 Where an issuer files an application for listing or re-listing according to the provisions of items (1) and (2) of Article 2 of the prent Provisions, he shall, according to such provisions as the
Rule for Stock Listing and the Rule for Enterpri Bonds Listing, submit the relevant materials to this Exchange.
Article 14 In the ca of any suspension or termination of listing to the curities as listed in this Exchange, the relevant business departments of this Exchange shall put forward a suggestion on disposal, submit it to the Listing Committee and notify the issuer concerned as well.
Article 15 Where an issuer believes that any member of the Listing Committee has any direct interest relation in the examined matter concerned regarding IPO or re-listing and thus is not suitable to attend an examination, it shall, at the same time of submitting its application materials, file a written application for withdrawal and give an explanation as well.
Where an issuer believes that any member of the Listing Committee who has been publicized by this Exchange to the general public has any direct interest relation in the examined matter concerned regarding the suspension of listing or termination of listing and thus is not suitable for attending an examination, it shall, within 3 days as of the day of notification as prescribed by Article 14 of the prent Provisions, file a written application for withdrawal to this Exchange and give an explanation as well.
Whether the relevant members shall withdraw, it shall be determined by this Exchange after examination.
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Article 16 The working group shall, before making an examination, deliver the relevant materials to the members that attend the examination.
Article 17 Where any member who has been designated to attend an examination finds out that he shall withdraw or fails to attend the examination for any special reason, he shall notify the working group before the examination is carried out, submit a written application and give an explanation thereon. This Exchange shall, upon verification, make relevant adjustment of the members who shall attend the examination.
Article 18 Where the Listing Committee holds a meeting for examination, the meeting shall be presided over by the convener as designated by this Exchange from the members that attend the examination. An examination meeting shall be held according to the following procedures:
(1) Where the number of members that attend the examination meeting reach the prescribed headcount, the members shall fill out the due statements on whether they have any contact with the relevant applicant beforehand or whether they should withdraw, which shall be delivered to the
working group for verification before the convener announces the commencement of the meeting and takes charge of the presidency thereof;
(2) The convener organizes the members to voice their views on the examined items one by one;
(3) The convener summarizes the major examination opinions of the members so as to formulate the examination opinions from the examination meeting;
(4) The members confirm the transcripts of the examination meeting as well as the records of examination opinions and affix their signature thereto;
(5) The members cast votes; and
(6) The working group supervis the voting and summarizes the result thereof;
(7) The convener announces the result of voting; and
(8) The members sign their names on the voting results of the examination meeting.
Article 19 Where any member that attends an examination believes it necessary, he may request thi
s Exchange to notify the relevant applicant to be interrogated or may request this Exchange employ the relevant professional institutions or experts to air their special opinions thereon. Article 20 The Listing Commission shall conduct examination on the examined items in a one-off manner. Where any big issue is yet to be verified or under any circumstance where any member may be riously affected in making a correct judgment, the voting for the relevant examined items may, upon the connt of more than half of the members, be suspended for one time. Article 21 The voting of examined items shall be subject to open ballot. Each member who attends an examination has one vote. An examination resolution will not become valid until it is agreed to by 2/3 members or more who attend the examination.
Article 22 This Exchange shall, within the term as prescribed by the Rule for Stock Listing and the Rule for Enterpri Bonds Listing, make a decision on the examined matters as prescribed by the provisions of Article 2 of the prent Provisions. In particular, the time for an issuer to submit the relevant supplementary documents according to the requirements of this Exchange, the time to adjust the date of meeting becau of the withdrawal of any member as well as the time for this Exchange to employ the relevant special institutions or experts to voice their special opinions shall not be calculated into the term for this Exchange to make a decision.
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Article 23 Where an applicant, relevant agency or the reprentative thereof has, when submitting the relevant materials or being interrogated, any fal or misleading statement or conceal any important fact, this Exchange shall, according to the relevant provisions and the relevant circumstances, make a circulation of criticisms or public denouncement.
Article 24 Where a curities issuer is dissatisfied with any decision as made by this Exchange, it may, within the prescribed time limit, apply with the Review Committee of this Exchange for review, yet the execution of the decisions of this Exchange shall not be stopped during the period of review.
猖狂的意思Chapter IV Supplementary Provisions
Article 25 The prent Provisions shall take effect after being adopted by its Council upon deliberation. The revision of the prent Provisions shall also be subject to the aforesaid rule for effectiveness.
Article 26 The prent Provisions shall come into force as of the day of promulgation.
