| Announcement of the China Securities Regulatory Commission | | 中国证券监督管理委员会公告 |
| (No. 29 [2014]) | | （[2014]29号） |
| The Standard for the Contents and Formats of Information Disclosure by Companies Offering Securities to the Public No. 29–Application Documents for Initial Public Offering and Listing of Stocks on ChiNext (2014 Revision) is hereby issued and shall come into force on the date of issuance. | | 现公布《公开发行证券的公司信息披露内容与格式准则第29号--首次公开发行股票并在创业板上市申请文件（2014年修订）》，自公布之日起施行。 |
| China Securities Regulatory Commission | | 中国证监会 |
| June 11, 2014 | | 2014年6月11日 |
| Standard for the Contents and Formats of Information Disclosure by Companies Offering Securities to the Public No. 29–Application Documents for Initial Public Offering and Listing of Stocks on ChiNext (2014 Revision) | | 公开发行证券的公司信息披露内容与格式准则第29号--首次公开发行股票并在创业板上市申请文件 |
| | （2014年修订） |
| Article 1 To regulate the formats and filing of application documents for initial public offering (“IPO”) and listing of stocks on ChiNext, this Standard is developed in accordance with the Securities Law and the Measures for the Administration of Initial Public Offerings and Listing of Stocks on ChiNext. | | |
| | 第一条 为了规范首次公开发行股票并在创业板上市申请文件的格式和报送方式，根据《证券法》、《首次公开发行股票并在创业板上市管理办法》（证监会令第99号）的规定，制定本准则。 |
| Article 2 A listed company applying for an IPO and listing of its stock on ChiNext in China (hereinafter referred to as an “issuer”) shall prepare and file application documents in accordance with this Standard. | | |
| | 第二条 申请在中华人民共和国境内首次公开发行股票并在创业板上市的公司（以下简称发行人）应按本准则的要求制作和报送申请文件。 |
| Article 3 The list of application documents prescribed in this Standard is the minimum requirement for the offering application documents. As needed for review, the China Securities Regulatory Commission (“CSRC”) may require the issuer, the sponsor and related securities service agencies to provide further documents. Documents inapplicable to the issuer are not required, but a written explanation of inapplicability shall be submitted to the CSRC. | | |
| | 第三条 本准则附件规定的申请文件目录是对发行申请文件的最低要求。根据审核需要，中国证券监督管理委员会（以下简称中国证监会）可以要求发行人、保荐人和相关证券服务机构补充文件。如果某些文件对发行人不适用，可不提供，但应向中国证监会作出书面说明。 |
| Article 4 The controlling shareholder and actual controller of the issuer shall issue confirmation opinions on the prospectus, ensuring the veracity, accuracy, integrity and timeliness of the contents associated with them in the prospectus and that they do not instigate the issuer to disclose any information in violation of regulations or disclose information with any false record, misleading statement or material omission. | | |
| | 第四条 发行人控股股东、实际控制人应当对招股说明书出具确认意见，确认招股说明书中与其相关的内容真实、准确、完整、及时，且不存在指使发行人违反规定披露信息，或者指使发行人披露有虚假记载、误导性陈述或重大遗漏的信息的情形。 |
| Article 5 The sponsor shall issue special opinions on the growth potentiality of the issuer, and include such opinions as an annex to the sponsorship letter for the IPO. If the Issuer is an independent innovation enterprise, the sponsor shall indicate the issuer's capacity for independent innovation in the special opinions. | | |
| | 第五条 保荐人应当对发行人的成长性出具专项意见，并作为发行保荐书的附件。发行人为自主创新企业的，还应当在专项意见中说明发行人的自主创新能力。 |
| Article 6 Once accepted, the application documents may not be supplemented, withdrawn, or replaced without the consent of the CSRC. | | |
| | 第六条 申请文件一经受理，未经中国证监会同意，不得增加、撤回或更换。 |
| Article 7 In the initial filing of application documents, the issuer shall submit one original and two photocopies, and, as needed for review, the CSRC may require the issuer to submit additional copies of the application documents. | | |
| Where the issuer is unable to provide the original of a relevant document, the issuer's lawyer shall issue a certification opinion or the entity issuing the document shall affix its seal to a photocopy to ensure that the photocopy provided is consistent with the original. If the entity issuing the document no longer exists, the entity succeeding to its functions or the entity deciding to abolish it shall issue a document to prove the truth of the photocopy provided. | | 第七条 发行人报送申请文件，初次报送应提交原件一份，复印件二份；根据审核需要，中国证监会可以要求发行人补充报送申请文件。 |
| | 发行人不能提供有关文件的原件的，应由发行人律师提供鉴证意见，或由出文单位盖章，以保证与原件一致。如原出文单位不再存续，由承继其职权的单位或作出撤销决定的单位出文证明文件的真实性。 |
| Article 8 All signatures required on application documents shall contain the signatures in print and be the autographs of the signatories, rather than a name seal or a signature seal. | | |
| The issuer's lawyer shall indicate “Page XX to page XXX hereinafter are hereby certified to be consistent with the original” on the first page of each document requiring certification by the issuer's lawyer, and affix his or her signature and the date of certification thereto; and the law firm shall affix its official seal to the first page of the document as well as the sides of page XX to page XXX. | | 第八条 申请文件所有需要签名处，应载明签名字样的印刷体，并由签名人亲笔签名，不得以名章、签名章等代替。 |
| | 申请文件中需要由发行人律师鉴证的文件，发行人律师应在该文件首页注明“以下第XX页至第XX页与原件一致”，并签名和签署鉴证日期，律师事务所应在该文件首页加盖公章，并在第XX页至第XX页侧面以公章加盖骑缝章。 |
| Article 9 The issuer shall provide further documents based on the feedback of the CSRC on the application documents. The sponsor and related securities service agencies shall carry out due diligence for relevant issues specified in the feedback or supplement professional opinions. | | |
| | 第九条 发行人应根据中国证监会对申请文件的反馈意见提供补充材料。保荐人和相关证券服务机构应对反馈意见相关问题进行尽职调查或补充出具专业意见。 |
| Article 10 Application documents shall be printed on the both sides (except for the original historical documents) of paper with the size of 209 mm × 295 mm (equivalent to the same size of standard A4 paper). | | |
| | 第十条 申请文件应采用幅面为209毫米×295毫米规格的纸张（相当于标准A4纸张规格），双面印刷（需提供原件的历史文件除外）。 |
| Article 11 The words, “Application Documents of XX Company for Initial Public Offering and Listing of Stocks on ChiNext,” shall be indicated on the cover and ridge of the application documents. | | |
| | 第十一条 申请文件的封面和侧面应标明“××公司首次公开发行股票并在创业板上市申请文件”字样。 |
| Article 12 The names, telephone numbers, fax numbers, and other valid contact methods of the secretary for the issuer's board of directors and the project leaders of the relevant securities service agencies shall be indicated on the title page of the application documents. | | |
| | 第十二条 申请文件的首页应标明发行人董事会秘书、保荐人和相关证券服务机构项目负责人的姓名、电话、传真及其他方便的联系方式。 |
| Article 13 There shall be clear separators between chapters and between sections of the application documents. | | |
| The page numbers in the text of the application documents must be identical with those in the table of contents of the application documents. For example, pages of Section 4-1 of Chapter IV shall be successively numbered as 4-1-1, 4-1-2, 4-1-3, … 4-1-n. | | 第十三条 申请文件章与章之间、节与节之间应有明显的分隔标识。 |
| | 申请文件中的页码应与目录中标识的页码相符。例如，第四章4－1的页码标注为4－1－1，4－1－2，4－1－3，……4－1－n。 |
| Article 14 In each filing of a written application document, the issuer shall file one corresponding electronic document (in standard .doc or .rtf format). | | |
Upon completion of the IPO, the issuer shall gather and submit the electronic document of the prospectus and the previously filed electronic documents to the CSRC for recordation.
．．．．．． | | 第十四条 发行人在每次报送书面申请文件的同时，应报送一份相应的标准电子文件（标准.doc或.rtf格式文件）。
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