【中英文对照版】创业板上市公司持续监管办法(试行).docx

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,ACommissionsjChinaSecuRegulatoryCommissionDocumentNumber：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，现予公布， 自公布之日起施行。(No.169)TheMeasuresfortheContinuousRegulationofCompaniesListedontheChiNext(forTrialImplementation),asdeliberatedandadoptedatthe5thexecutivemeetingoftheChinaSecuritiesRegulatoryCommissiononJune1,2020,areherebyissued,andshallcomeintoforceonthedateofissuance.June 12, 2020ChairmanoftheChinaSecurities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(forTrialImplementation)MeasuresfortheContinuousRegulationofCompaniesListedontheChiNext(forTrialImplementation)Article1Forthepurposesofregulatingtheactsofrelevantpartiesafterthelistingofenterprises'stocks,depositaryreceipts,andtheirderivativesontheChiNextoftheShenzhenStockExchange(hereinafterreferredtoastheuSZSEn),supportingandguidingenterprises'furtherdevelopment,andprotectinginvestors*lawfulrightsandinterests,theseMeasuresaredevelopedinaccordancewiththeSecuritiesLawofthePeople'sRepublicofChina(hereinafterreferredtoasthe“SecuritiesLawn),theCompanyLawofthePeople'sRepublicofChina,theNoticebytheGeneralOfficeoftheStateCouncilofForwardingtheSeveralOpinionsoftheChinaSecuritiesRegulatoryCommissiononLaunchingthePilotProgramforInnovativeEnterprisestoOfferStocksorDepositoryReceiptswithinChina,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,inaccordancewiththeSecuritiesLawandotherlawsandregulations,theseMeasuresandotherrelevantprovisionsoftheCSRC5conductthesupervisionandadministrationofcompanieslistedontheChiNext(hereinafterreferredtoasuIistedcompaniesn)andrelevantentities.InthecaseofanydiscrepancybetweentheseMeasuresandotherrelevantprovisionsoftheCSRC5theseMeasuresshallprevail.Article3TheSZSEshall,inaccordancewiththeMeasuresfortheAdministrationofStockExchanges,theseMeasuresandotherrelevantprovisions,establishasystemofrulesforthecontinuousregulationoftheChiNextcenteringonstocklistingrules,anddevelopspecificimplementationrulesinsuchaspectsascontinuousinformationdisclosure,shareholdingreduction,mergers,acquisitionsandrestructurings,equityincentives,anddelisting.ListedcompaniesshallcomplywiththerulesoftheSZSEoncontinuousregulation.Article4Alistedcompanyshallmaintainasound,effectiveandtransparentgovernancesystemandsupervisionmechanismtoensurethestandardoperationoftheshareholders*meeting,theboardofdirectorsandtheboardofsupervisors,andurgedirectors,supervisorsandseniorexecutivestofulf川theirobligationsofloyaltyanddiligence,safeguardthelawfulrightsofallshareholders,proactivelyfulfillsocialresponsibilities,andprotectthebasicrightsandinterestsofstakeholders.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、 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,andsafeguardthecommoninterestsofthecompanyandallshareholders.Article6Alistedcompanyshallactivelydistributereturnstoshareholders,andformulateandimplementshareholderreturnpoliciessuchascashdividendsandsharerepurchaseaccordingtoitsconditionsanddevelopmentstage.Article7Alistedcompanywithdifferentialarrangementsonvotingrightsshallstipulateinthecompany'sbylawssuchmattersasthequalificationofholdersofshareswithspecialvotingrights,arrangementsontheproportionofthenumberofvotingrightsofshareswithspecialvotingrightstothenumberofvotingrightsofordinaryshares,thescopeofmattersoftheshareholders*meetingonwhichholderscanvotebasedonthesharesheldbythemwithspecialvotingrights,lock-uparrangementsandtransferrestrictionsforshareswithspecialvotingrights,andth