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Measures of the Shanghai Stock Exchange for the Administration of Stock Trading on the Risk Alert Board (2018 Revision) [Expired]
上海证券交易所风险警示板股票交易管理办法(2018修订) [失效]
【法宝引证码】

Measures of the Shanghai Stock Exchange for the Administration of Stock Trading on the Risk Alert Board 

上海证券交易所风险警示板股票交易管理办法

(Implemented from January 1, 2013, revised for the first time on January 30, 2015, revised for the second time on June 28, 2017, and revised for the third time on August 6, 2018) (2013年1月1日实施 2015年1月30日第一次修订 2017年6月28日第二次修订 2018年8月6日第三次修订)

Article 1 For the purposes of preventing the risks associated with the trading in stocks of the companies listed on the Shanghai Stock Exchange (“SSE”), ensuring the effective implementation of the delisting rules for listed companies, and protecting the lawful rights and interests of investors, these Measures are developed in accordance with the Listing Rules of the Shanghai Stock Exchange (hereinafter referred to as the “Listing Rules”), the Trading Rules of the Shanghai Stock Exchange (hereinafter referred to as the “Trading Rules”) and the Member Management Rules of the Shanghai Stock Exchange (hereinafter referred to as the “Member Management Rules”).   第一条 为了防范上海证券交易所(以下简称本所)上市公司股票的交易风险,保障上市公司退市制度的切实执行,保护投资者的合法利益,根据《上海证券交易所股票上市规则》(以下简称《上市规则》)《上海证券交易所交易规则》(以下简称《交易规则》)和《上海证券交易所会员管理规则》(以下简称《会员管理规则》),制定本办法。
Article 2 The SSE shall set up a risk alert board for stocks of listed companies (hereinafter referred to as the “risk alert board”). The trading on the risk alert board of the stocks that are subject to risk alert in accordance with the SSE's Listing Rules (hereinafter referred to as “stocks under risk alert”) and the stocks of which the listing is terminated based on the SSE's decision and that are under delisting preparation and have not be delisted (hereinafter referred to as “stocks under delisting preparation”) shall be governed by these Measures; and the matters not covered in these Measures shall be governed by other relevant provisions of the SSE.   第二条 本所设立上市公司股票风险警示板(以下简称风险警示板)。按照本所《上市规则》被实施风险警示的股票(以下简称风险警示股票)、被本所作出终止上市决定但处于退市整理期尚未摘牌的股票(以下简称退市整理股票),在该板进行的交易,适用本办法;本办法未作规定的,适用本所其他有关规定。
Where stocks are under delisting preparation, their relevant derivatives may also be traded on the risk alert board, and the specific matters shall be additionally prescribed by the SSE and reported to the CSRC for approval. 股票进入退市整理期,其相关衍生品种可以同时进入风险警示板交易,具体事项由本所另行规定,并报证监会批准。
Article 3 Where the stock of a listed company falls under any of the following circumstances, it shall be traded on the risk alert board from the date when it is subject to risk alert to the trading day immediately before the date when the measure is revoked.   第三条 上市公司股票存在下列情形之一的,自被实施风险警示措施之日起,至该措施被撤销之日的前一交易日止,在风险警示板进行交易:
(1) It is subject to the delisting risk alert. (一)被实施退市风险警示;
(2) It is subject to any other risk alert since listing is resumed after suspension. (二)因暂停上市后恢复上市被实施其他风险警示;
(3) It is subject to any other risk alert due to relisting after delisting. (三)因退市后重新上市被实施其他风险警示;
(4) It is subject to any other risk alert under any other circumstance. (四)因其他情形被实施其他风险警示。
Under the circumstance as set forth in item (1) of the preceding paragraph, “*ST” shall be prefixed before the ticker symbol, and under any other circumstance as set forth in the preceding paragraph, “*ST” shall be prefixed before the ticker symbol. 出现前款第(一)项情形的,股票简称前冠以“*ST”标识,出现前款规定的其他情形的,股票简称前冠以“ST”标识。
Article 4 “Delisting” shall be prefixed before the ticker symbol of stocks under delisting preparation, and the SSE shall remove the stocks within five trading days after the expiration of 30 trading days when they are traded on the risk alert board from the beginning date of the delisting preparation period, and terminate the listing of the company's stocks.
......
   第四条 退市整理股票的简称前冠以“退市”标识,自退市整理期开始之日起,在风险警示板交易30个交易日,本所于该期限届满后5个交易日内对其予以摘牌,公司股票终止上市。
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