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Standard for the Contents and Formats of Information Disclosure by Companies Offering Securities to the Public No. 37—Application Documents for the Offering of Securities by Companies Listed on ChiNext [Expired]
公开发行证券的公司信息披露内容与格式准则第37号——创业板上市公司发行证券申请文件 [失效]
【法宝引证码】

Announcement of the China Securities Regulatory Commission 

中国证券监督管理委员会公告

(No. 32 [2014]) (〔2014〕32号)

To regulate the filing of application documents by companies listed on ChiNext for the offering of securities, the China Securities Regulatory Commission has developed the Standard for the Contents and Formats of Information Disclosure by Companies Offering Securities to the Public No. 37—Application Documents for the Offering of Securities by Companies Listed on ChiNext, which is hereby issued, and shall come into force on the date of issuance. 为规范创业板上市公司发行证券申请文件的报送行为,我会制定了《公开发行证券的公司信息披露内容与格式准则第37号--创业板上市公司发行证券申请文件》,现予公布,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. 37 公开发行证券的公司信息披露内容与格式准则第37号
—Application Documents for the Offering of Securities by Companies Listed on ChiNext --创业板上市公司发行证券申请文件
Article 1 For the purpose of regulating the filing of application documents for the offering of securities by companies listed on ChiNext (hereinafter referred to as “issuers”), this Standard is developed in accordance with the Securities Law and the Interim Measures for the Administration of the Offering of Securities by Companies Listed on ChiNext (Order No. 100 of the China Securities Regulatory Commission).   第一条 为规范创业板上市公司(以下简称发行人)发行证券申请文件的报送行为,根据《证券法》、《创业板上市公司证券发行管理暂行办法》(证监会令第100号)制定本准则。
Article 2 An issuer applying for the offering of securities shall prepare application documents in accordance with this Standard. Annex 1 to this Standard shall apply to the allotment of shares, public offering of new shares, and offering of convertible corporate bonds by issuers; and Annex 2 thereto shall apply to the non-public offering of shares by issuers.   第二条 发行人申请发行证券的,应按本准则的规定制作申请文件。发行人配股、公开增发、发行可转换公司债券的,适用本准则附件1;发行人非公开发行股票的,适用本准则附件2。
Article 3 The lists of application documents as prescribed in this Standard are the minimum requirements for the offering application documents and as needed for review, the China Securities Regulatory Commission (“CSRC”) may require the issuer and intermediary agencies to provide supplementary documents. Documents inapplicable to the issuer are not required, but a written explanation of inapplicability shall be submitted to the CSRC.   第三条 本准则规定的申请文件目录是对发行申请文件的最低要求,中国证监会根据审核需要,可以要求发行人和中介机构补充材料。如果某些材料对发行人不适用,可不必提供,但应向中国证监会作出书面说明。
Article 4 Once accepted, the application documents may not be supplemented, withdrawn, or replaced without the consent of the CSRC.   第四条 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 5 An issuer shall provide supplementary documents based on the feedback of the CSRC on the offering application documents. The relevant intermediary agencies shall conduct due diligence on the relevant problems as specified in the feedback or supplement professional opinions.   第五条 发行人应根据中国证监会对发行申请文件的反馈意见提供补充材料。有关中介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 6 In the initial filing of application documents, the sponsor shall submit one original and two photocopies and before the application documents are submitted to the ChiNext Public Offering Review Committee for review, the sponsor shall submit additional copies of the application documents as required by the CSRC.   第六条 保荐机构报送申请文件,初次报送应提交原件一份,复印件两份;在提交创业板发行审核委员会审核之前,根据中国证监会要求的份数补报申请文件。
Article 7 Where the issuer is unable to provide the original of the 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 authenticity of the photocopy provided.   第七条 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。
All signatures required shall be the autographs of the signatories, rather than a name seal or a signature seal. 所有需要签名处,均应为签名人亲笔签名,不得以名章、签名章等代替。
The issuer's lawyer shall indicate “page XX to page XX hereinafter 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. 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××页至第×××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××页至第×××页侧面以公章加盖骑缝章。
Article 8 Paper with the size of 209 x 295 mm (about the size of standard A4 paper) shall be used in the application documents and both sides of a piece of paper shall be printed (except the original historical documents).   第八条 申请文件应采用幅面为209×295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 9 The words, “Application Documents of XXX Company for the Allotment of Shares/Public Offering of New Shares/Offering of Convertible Corporate Bonds/Non-Public Offering of Shares,” shall be indicated on the cover and ridge of the application documents.   第九条 申请文件的封面和侧面应标明“×××公司配股/公开增发/可转换公司债券/非公开发行股票申请文件”字样。
The names, telephone numbers, fax numbers, and other valid contact methods of the secretary of the issuer's board of directors and the project leaders of the relevant intermediary agencies shall be indicated on the title page of the offering application documents. 发行申请文件的扉页上应标明发行人董事会秘书及有关中介机构项目负责人的姓名、电话、传真及其他有效的联系方式。
Article 10 There shall be clear separators between chapters and between sections of the application documents.   第十条 申请文件章与章之间、节与节之间应有明显的分隔标识。
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. 申请文件中的页码必须与目录中的页码相符。页码标注的举例,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 11 In each filing of a written application document, the issuer shall file two corresponding electronic documents (in standard .doc format or .rtf format).   第十一条 在每次报送书面文件的同时,发行人应报两份相应的电子文件(应为标准.doc或.rtf格式文件)。
Upon completion of the offering, the issuer shall summarize the electronic document of the prospectus and the electronic documents previously filed and report them to the CSRC for recordation. 发行结束后,发行人应将募集说明书的电子文件及历次报送的电子文件汇总报送中国证监会备案。
Article 12 The CSRC may refuse to accept application documents not prepared and filed according to this Standard.   第十二条 未按本准则的要求制作和报送发行申请文件的,中国证监会可不予受理。
Article 13 This Standard shall come into force on the date of issuance.   第十三条 本准则自公布之日起施行。
Annexes: 附件:
1. List of Application Documents for the Offering of Securities by Companies Listed on ChiNext (Applicable to Allotment of Shares, Public Offering of New Shares, and Offering of Convertible Corporate Bonds) 1.创业板上市公司发行证券申请文件目录(适用于配股、公开增发、可转换公司债券)
2. List of Application Documents for the Non-Public Offering of Shares by Companies Listed on ChiNext (Applicable to Non-Public Offering of Shares) 2.创业板上市公司非公开发行股票申请文件目录(适用于非公开发行股票)
Annex 1 附件1
List of Application Documents for the Offering of Securities by Companies Listed on ChiNext 创业板上市公司发行证券申请文件目录
(Applicable to Allotment of Shares, Public Offering of New Shares, and Offering of Convertible Corporate Bonds) (适用于配股、公开增发、可转换公司债券)
Chapter I Prospectus Documents for the Offering of Securities 

第一章 本次证券发行的募集文件

 1-1募集说明书(申报稿)
1-1 Prospectus (draft for application) 1-2发行公告(发审会后按中国证监会要求提供)
1-2 Offering announcement (to be provided according to the requirements of the CSRC after the offering review meeting) 
 

第二章 发行人关于本次证券发行的申请与授权文件

Chapter II Application and Authorization Documents of the Issuer for the Offering of Securities 2-1 发行人关于本次证券发行的申请报告
2-1 The application report of the issuer for the offering of securities 2-2发行人董事会决议
2-2 The resolution of the board of directors of the issuer 2-3发行人股东大会决议
2-3 The resolution of the shareholders' meeting of the issuer
......
 2-4关于本次发行涉及/不涉及重大资产重组的说明
......

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