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1、创业板上市公司持续监管办法(试行)【制定机关】 【发文字号】 【公布日期】 【施行日期】 【效力位阶】 【法规类别】MeasuresfortheContinuousRegulationofCompaniesListedontheChiNext(forTrialImplementation)中国证券监督管理委员会中国证券监督管理委员会令第169号2020.06.122020.06.12部门规章证券监督管理机构与市场监管,营商环境优化Issuingauthority:InstrumentalitiesoftheStateCouncil,ACommissionsjChinaSecuRegulator
2、yCommissionDocumentNumber:OrderNo.169oftheChinaSecuritiesRegulatoryCommissionDateissued:06-12-2020Effectivedate:06-12-20201.evelofAuthority:DepartmentalRulesAreaofLaw:SecuritiesOrderoftheChinaSecuritiesRegulatory中国证券监督管理委员会令Commission(第169号)创业板上市公司持续监管办法 (试行)已经2020年6月1日中 国证券监督管理委员会2020年第5 次委务会议审议通过,
3、现予公布, 自公布之日起施行。(No.169)TheMeasuresfortheContinuousRegulationofCompaniesListedontheChiNext(forTrialImplementation),asdeliberatedandadoptedatthe5thexecutivemeetingoftheChinaSecuritiesRegulatoryCommissiononJune1,2020,areherebyissued,andshallcomeintoforceonthedateofissuance.June 12, 2020ChairmanoftheChi
4、naSecurities中国证券监督管理委员会主席:易RegulatoryCommission:YiHuiman会满附件1:创业板上市公司持续监管2020年6月12日Annex 1: MeasuresfortheContinuousRegulationofCompaniesListedontheChiNext(forTrialImplementation)Annex 2: ExplanationontheLegislationoftheMeasuresfortheContinuousRegulationofCompaniesListedontheChiNext(forTrialImplemen
5、tation)MeasuresfortheContinuousRegulationofCompaniesListedontheChiNext(forTrialImplementation)Article1Forthepurposesofregulatingtheactsofrelevantpartiesafterthelistingofenterprisesstocks,depositaryreceipts,andtheirderivativesontheChiNextoftheShenzhenStockExchange(hereinafterreferredtoastheuSZSEn),su
6、pportingandguidingenterprisesfurtherdevelopment,andprotectinginvestors*lawfulrightsandinterests,theseMeasuresaredevelopedinaccordancewiththeSecuritiesLawofthePeoplesRepublicofChina(hereinafterreferredtoasthe“SecuritiesLawn),theCompanyLawofthePeoplesRepublicofChina,theNoticebytheGeneralOfficeoftheSta
7、teCouncilofForwardingtheSeveralOpinionsoftheChinaSecuritiesRegulatoryCommissiononLaunchingthePilotProgramforInnovativeEnterprisestoOfferStocksorDepositoryReceiptswithinChina,andrelevantlawsandregulations.办法(试行)附件2:创业板上市公司持续监 管办法(试行)立法说明创业板上市公司持续监管办法(试 行)第一条为了规范企业股票、 存托凭证及其衍生品种在深圳证券 交易所(以下简称交易所)创业板 上
8、市后相关各方的行为,支持引导 企业更好地发展,保护投资者合法 权益,根据中华人民共和国证券 法(以下简称证券法)、中 华人民共和国公司法国务院办 公厅转发证监会关于开展创新企业 境内发行股票或存托凭证试点若干 意见的通知以及相关法律法规, 制定本办法。第二条中国证券监督管理委 员会(以下简称中国证监会)根据 证券法等法律法规、本办法和 中国证监会其他相关规定,对创业 板上市公司(以下简称上市公司) 及相关主体进行监督管理。Article2TheChinaSecuritiesRegulatoryCommission(hereinafterreferredtoastheuCSRCn)shall,i
9、naccordancewiththeSecuritiesLawandotherlawsandregulations,theseMeasuresandotherrelevantprovisionsoftheCSRC5conductthesupervisionandadministrationofcompanieslistedontheChiNext(hereinafterreferredtoasuIistedcompaniesn)andrelevantentities.InthecaseofanydiscrepancybetweentheseMeasuresandotherrelevantpro
10、visionsoftheCSRC5theseMeasuresshallprevail.Article3TheSZSEshall,inaccordancewiththeMeasuresfortheAdministrationofStockExchanges,theseMeasuresandotherrelevantprovisions,establishasystemofrulesforthecontinuousregulationoftheChiNextcenteringonstocklistingrules,anddevelopspecificimplementationrulesinsuc
11、haspectsascontinuousinformationdisclosure,shareholdingreduction,mergers,acquisitionsandrestructurings,equityincentives,anddelisting.ListedcompaniesshallcomplywiththerulesoftheSZSEoncontinuousregulation.Article4Alistedcompanyshallmaintainasound,effectiveandtransparentgovernancesystemandsupervisionmec
12、hanismtoensurethestandardoperationoftheshareholders*meeting,theboardofdirectorsandtheboardofsupervisors,andurgedirectors,supervisorsandseniorexecutivestofulf川theirobligationsofloyaltyanddiligence,safeguardthelawfulrightsofallshareholders,proactivelyfulfillsocialresponsibilities,andprotectthebasicrig
13、htsandinterestsofstakeholders.中国证监会其他相关规定与本办法 规定不一致的,适用本办法。第三条交易所根据证券交 易所管理办法、本办法等有关规 定,建立以股票上市规则为中心的 创业板持续监管规则体系,在持续 信息披露、股份减持、并购重组、 股权激励、退市等方面制定具体实 施规则。上市公司应当遵守交易所 持续监管实施规则。第四条上市公司应当保持健 全、有效、透明的治理体系和监督 机制,保证股东大会、董事会、监 事会规范运作,督促董事、监事和 高级管理人员履行忠实、勤勉义务, 保障全体股东合法权利,积极履行 社会责任,保护利益相关者的基本 权益。第五条上市公司控股股东、
14、 实际控制人应当诚实守信,规范行 使权利,严格履行承诺,维持公司 独立性,维护公司和全体股东的共 同利益。Article5Thecontrollingshareholderandactualcontrollerofalistedcompanyshallhavegoodfaith,exercisetheirrightsinastandardmanner,strictlyfulfilltheirundertakings,maintaintheindependenceofthecompany,andsafeguardthecommoninterestsofthecompanyandallshareh
15、olders.Article6Alistedcompanyshallactivelydistributereturnstoshareholders,andformulateandimplementshareholderreturnpoliciessuchascashdividendsandsharerepurchaseaccordingtoitsconditionsanddevelopmentstage.Article7Alistedcompanywithdifferentialarrangementsonvotingrightsshallstipulateinthecompanysbylaw
16、ssuchmattersasthequalificationofholdersofshareswithspecialvotingrights,arrangementsontheproportionofthenumberofvotingrightsofshareswithspecialvotingrightstothenumberofvotingrightsofordinaryshares,thescopeofmattersoftheshareholders*meetingonwhichholderscanvotebasedonthesharesheldbythemwithspecialvotingrights,lock-uparrangementsandtransferrestrictionsforshareswithspecialvotingrights,andth