| Notice by the Shanghai Stock Exchange of Issuing the Guidelines of the Shanghai Stock Exchange for the Recommendation for the Listing of Enterprises on the Sci-tech Innovation Board | | 上海证券交易所关于发布《上海证券交易所科创板企业上市推荐指引》的通知 |
| (No. 30 [2019] of the Shanghai Stock Exchange) | | （上证发〔2019〕30号） |
| All market participants: | | 各市场参与人： |
| For the purposes of promoting the building of the Sci-tech Innovation Board of the Shanghai Stock Exchange (SSE), regulating and directing sponsors to accurately understand the positioning of the Sci-tech Innovation Board, and effectively making recommendations for the listing of enterprises on the Sci-tech Innovation Board, in accordance with the Implementation Opinions on Setting up the Sci-tech Innovation Board and Launching the Pilot Program of the Registration System on the Shanghai Stock Exchange, the Measures for the Administration of the Registration of IPO Stocks on the Sci-tech Innovation Board (for Trial Implementation), the Administrative Measures for the Recommendation Business of the Issuance and Listing of Securities, the Rules of the Shanghai Stock Exchange Governing Review of the Issuance and Listing of Stocks on the Sci-tech Innovation Board and other relevant provisions, the SSE has developed the Guidelines of the Shanghai Stock Exchange for the Recommendation for the Listing of Enterprises on the Sci-tech Innovation Board (see Annex), which are hereby issued and shall come into force on the date of issuance. | | 为了促进上海证券交易所（以下简称本所）科创板建设，规范和引导保荐机构准确把握科创板定位，做好科创板企业上市推荐工作，根据《关于在上海证券交易所设立科创板并试点注册制的实施意见》《科创板首次公开发行股票注册管理办法（试行）》《证券发行上市保荐业务管理办法》《上海证券交易所科创板股票发行上市审核规则》等有关规定，本所制定了《上海证券交易所科创板企业上市推荐指引》（详见附件），现予以发布，并自发布之日起施行。 |
| | 特此通知。 |
| Annex: Guidelines of the Shanghai Stock Exchange for the Recommendation for the Listing of Enterprises on the Sci-tech Innovation Board | | 附件：上海证券交易所科创板企业上市推荐指引 |
| Shanghai Stock Exchange | | 上海证券交易所 |
| March 3, 2019 | | 二〇一九年三月三日 |
| Annex: | | 附件： |
| Guidelines of the Shanghai Stock Exchange for the Recommendation for the Listing of Enterprises on the Sci-tech Innovation Board | | 上海证券交易所科创板企业上市推荐指引 |
| Article 1 For the purposes of regulating and directing sponsors to accurately grasp the positioning of the Sci-tech Innovation Board and effectively making recommendations for the listing of enterprises on the Sci-tech Innovation Board, these Guidelines are developed in accordance with the Implementation Opinions on Setting up the Sci-tech Innovation Board and Launching the Pilot Program of the Registration System on the Shanghai Stock Exchange (hereinafter referred to as the “Implementation Opinions”), the Measures for the Administration of the Registration of IPO Stocks on the Sci-tech Innovation Board (for Trial Implementation) (hereinafter referred to as the “Registration Administration Measures”), the Measures for the Administration of the Sponsorship Business for Securities Issuance and Listing, the Rules of the Shanghai Stock Exchange Governing Review of the Issuance and Listing of Stocks on the Sci-tech Innovation Board (hereinafter referred to as the “Review Rules”) and other relevant provisions. | | 第一条 为了规范和引导保荐机构准确把握科创板定位，做好科创板企业上市推荐工作，根据《关于在上海证券交易所设立科创板并试点注册制的实施意见》（以下简称《实施意见》）《科创板首次公开发行股票注册管理办法（试行）》（以下简称《注册管理办法》）《证券发行上市保荐业务管理办法》《上海证券交易所科创板股票发行上市审核规则》（以下简称《审核规则》）等有关规定，制定本指引。 |
| Article 2 A sponsor shall recommend enterprises to be listed on the Sci-tech Innovation Board based on the positioning of the Sci-tech Innovation Board. When grasping the positioning of the Board, the sponsor shall follow the following principles: | | 第二条 保荐机构应当基于科创板定位，推荐企业在科创板发行上市。保荐机构在把握科创板定位时，应当遵循下列原则： |
| (1) Continuously targeted at the world's frontiers of science and technology, the main economic theater and the state's major demand; | | （一）坚持面向世界科技前沿、面向经济主战场、面向国家重大需求； |
| (2) Respecting the laws of scientific and technological innovation and enterprise development; | | （二）尊重科技创新规律和企业发展规律； |
| (3) Appropriately handling the relationship between the current reality of science and technology innovation enterprises and the goal of Sci-tech Innovation Board construction; and | | （三）处理好科技创新企业当前现实和科创板建设目标的关系； |
| (4) Appropriately handling the relationship between giving priority to enterprises supported by the Sci-tech Innovation Board and taking into account those covered by the Board. | | （四）处理好优先推荐科创板重点支持的企业与兼顾科创板包容的企业之间的关系。 |
Article 3 A sponsor shall, in accordance with the requirements of the positioning of the Sci-tech Innovation Board as specified in the Implementation Opinions, Registration Administration Measures, and Review Rules, give priority to recommending the following enterprises:
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