| Notice by the Shenzhen Municipal People's Government of Issuing the Detailed Rules for the Implementation of Supervision and Administration of Regional Equity Markets | | 深圳市人民政府关于印发区域性股权市场监督管理实施细则的通知 |
| (Regulation No. 6 [2019] of the Shenzhen Municipal People's Government) | | （深府规〔2019〕6号） |
| People's governments of all districts; and all entities directly under the municipal government: | | 各区人民政府，市政府直属各单位： |
| The Detailed Rules of Shenzhen City for the Implementation of Supervision and Administration of Regional Equity Markets are hereby issued to you for your conscientious organization of implementation. Any problem encountered during the implementation shall be directly reported to the Municipal Financial Regulatory Bureau. | | 现将《深圳市区域性股权市场监督管理实施细则》印发给你们，请认真组织实施。实施过程中遇到问题，请径向市地方金融监管局反映。 |
| Shenzhen Municipal People's Government | | 深圳市人民政府 |
| July 20, 2019 | | 2019年7月20日 |
| Detailed Rules of Shenzhen City for the Implementation of Supervision and Administration of Regional Equity Markets | | 深圳市区域性股权市场监督管理实施细则 |
| Chapter I General Provisions | | 第一章 总 则 |
| Article 1 For the purposes of regulating the activities of regional equity markets, protecting the lawful rights and interests of investors, preventing risks carried by regional equity markets, and promoting the sound development of regional equity markets, these Detailed Rules are developed according to the relevant provisions of the Securities Law of the People's Republic of China, the Company Law of the People's Republic of China, the Notice by the General Office of the State Council of Regulating the Development of Regional Equity Markets (No. 11 [2017], General Office of the State Council), the Interim Measures for the Supervision and Administration of Regional Equity Markets (Order No. 132, CSRC), and the Interim Measures of Shenzhen City for the Supervision and Administration of Exchanges (No. 64 [2013], Shenzhen Government), based on the actual circumstances of the city. | | 第一条 为了规范区域性股权市场的活动，保护投资者合法权益，防范区域性股权市场风险，促进区域性股权市场健康发展，根据《中华人民共和国证券法》《中华人民共和国公司法》《国务院办公厅关于规范发展区域性股权市场的通知》（国办发〔2017〕11号）《区域性股权市场监督管理试行办法》（证监会令第132号）及《深圳市交易场所监督管理暂行办法》（深府〔2013〕64号）的相关规定，结合我市实际，制定本细则。 |
| Article 2 "Regional equity market" means a venue established in the city under the Interim Measures for the Supervision and Administration of Regional Equity Markets (Order No. 132, CSRC), which provides facilities and services for the private placement and transfer of the securities of intra-provincial micro, small and medium-sized enterprises and related activities. | | 第二条 区域性股权市场，是指依据《区域性股权市场监督管理试行办法》（证监会令第132号）在我市设立的，为省内中小微企业证券非公开发行、转让及相关活动提供设施与服务的场所。 |
| Article 3 These Detailed Rules apply to private placement and transfer of stocks, corporate bonds convertible into shares, and other securities approved by the relevant departments of the State Council of micro, small and medium-sized enterprises, listing, information display, registration and custody, and related activities in regional equity markets. | | 第三条 在区域性股权市场非公开发行和转让中小微企业股票、可转换为股票的公司债券和国务院有关部门认可的其他证券以及开展挂牌、信息展示、登记托管等相关活动，适用本细则。 |
| Article 4 The issuance and transfer of securities and related activities in regional equity markets shall comply with the provisions of the laws, administrative regulations, rules and these Detailed Rules and the principles of fairness and voluntariness, honesty and good faith, and assumption of risk. Fraud, insider trading, market manipulation, and illegal fundraising shall be prohibited. | | 第四条 在区域性股权市场内的证券发行、转让及相关活动，应当遵守法律、行政法规、规章和本细则等规定，遵循公平自愿、诚实信用、风险自担的原则。禁止欺诈、内幕交易、操纵市场、非法集资行为。 |
| Article 5 A regional equity market shall be managed and operated by the operating institution established with approval of the Shenzhen Municipal People's Government (hereinafter referred to as the "Municipal Government"), with a filing made with the China Securities Regulatory Commission (hereinafter referred to as the "CSRC"). | | 第五条 区域性股权市场由深圳市人民政府（以下简称市政府）批准设立并经中国证券监督管理委员会（以下简称中国证监会）备案的运营机构负责管理运作。 |
| An entity or individual in the city other than an operating institution may not organize or conduct activities related to any regional equity market. | | 除运营机构外，本市其他单位和个人不得组织、开展区域性股权市场相关活动。 |
| Article 6 The Shenzhen Municipal Joint Conference for Supervision and Administration of Regional Equity Markets (hereinafter referred to as the "Joint Conference") shall be established and composed of the Municipal Science and Technology Innovation Commission, the Municipal Industry and Information Technology Bureau, the Finance Bureau, the Market Regulatory Bureau, the Municipal Financial regulatory Bureau, the Authority of Qianhai, the Shenzhen Central Sub-Branch of the People's Bank of China, the Shenzhen Office of the China Banking and Insurance Regulatory Commission, the Shenzhen Office of the China Securities Regulatory Commission and other member entities. The convener of the Joint Conference shall be the leader charged with specific duties of the Municipal Government, and the relevant responsible persons of all member entities shall be members of the Joint Conference. The Joint Conference may invite a relevant entity to participate as needed in actual work. The Office of the Joint Conference shall be at the Municipal Authority of Qianhai. | | 第六条 建立深圳市区域性股权市场监督管理联席会议（以下简称联席会议）制度，成员单位由市科技创新委、工业和信息化局、财政局、市场监管局、地方金融监管局、前海管理局、人民银行深圳市中心支行、深圳银保监局、深圳证监局等单位组成。联席会议召集人由市政府分管领导担任，各成员单位有关负责人为联席会议成员。联席会议可根据实际工作需要，邀请相关单位参加。联席会议办公室设在市前海管理局。 |
| Article 7 The main responsibilities of the Joint Conference shall be to guide the well-regulated development of regional equity markets and research the advancement and coordinate the resolution of major difficult issues on regional equity markets. | | 第七条 联席会议主要职责：指导区域性股权市场规范发展，研究推进、协调解决区域性股权市场重大疑难问题。 |
| The main duties of the Office of the Joint Conference (the Municipal Authority of Qianhai) shall be to undertake the daily work of the Office of the Joint Conference and the work to review, regulate, prevent and take the lead in disposal of risks of regional equity markets in the Qianhai Cooperation Zone and accept the supervision and guidance of the Municipal Financial Regulatory Bureau. | | 联席会议办公室（市前海管理局）主要职责：承担联席会议办公室的日常工作和前海合作区区域性股权市场的审核、监管、风险防范和牵头处置工作，接受市地方金融监管局的监督指导。 |
| The Municipal Financial Regulatory Bureau shall be responsible for formulating a citywide unified regulatory system and effectively conducting overall coordination, supervision, and guidance. | | 市地方金融监管局负责制定全市统一的监管制度，做好统筹协调和监督指导。 |
| The duties of all the member entities of the Joint Conference shall be to effectively conduct the guidance and regulation of the business of regional equity markets and other work in accordance with their respective work functions. | | 联席会议各成员单位职责：各成员单位按照各自工作职能做好区域性股权市场的业务指导与监管等工作。 |
| Chapter II Operating Institutions | | 第二章 运营机构 |
| Article 8 The Municipal Government shall announce the unique and lawful operating institutions of regional equity markets in the city in accordance with the Notice by the General Office of the State Council of Regulating the Development of Regional Equity Markets (No. 11 [2017], General Office of the State Council), the Interim Measures for the Supervision and Administration of Regional Equity Markets (Order No. 132, CSRC), and other relevant provisions. | | 第八条 市政府根据《国务院办公厅关于规范发展区域性股权市场的通知》（国办发〔2017〕11号）和《区域性股权市场监督管理试行办法》（证监会令第132号）等相关规定向社会公告本市区域性股权市场唯一合法运营机构。 |
| Article 9 The main duties of an operating institution include: | | 第九条 运营机构的主要职责包括： |
| (1) uniformly providing venues, facilities and services for the private placement and transfer of qualified stocks, corporate bonds convertible into shares, and other securities approved by the relevant departments of the State Council by procedure; | | （一）为符合条件的股票、可转换为股票的公司债券以及国务院有关部门按程序认可的其他证券的非公开发行及转让统一提供场所、设施及服务； |
| (2) organizing the listing of and display of information on enterprises and securities; | | （二）组织企业及证券的挂牌及信息展示； |
| (3) the centralized registration, custody and settlement of equities, claims and other securities of non-listed enterprises; | | （三）集中进行非上市企业股权、债权及其他证券的登记托管及结算； |
| (4) providing by itself, or arranging for various institutions to provide intermediary services such as training, consulting, financial advice, and information services; | | （四）自行开展或组织各类机构提供培训、咨询、财务顾问、信息服务等中介服务； |
| (5) assisting in the implementation of all government policies and measures to support the development of micro, small and medium-sized enterprises and providing services for the government to use interest subsidization, guarantee, investment, and other funds in support of micro, small and medium-sized enterprises in a market-oriented manner; | | （五）协助落实政府扶持中小微企业发展的各项政策措施，为政府市场化运用贴息、担保、投资等扶持中小微企业的资金提供服务； |
| (6) managing and releasing information on regional equity markets; and | | （六）管理和发布区域性股权市场相关信息； |
| (7) any function otherwise approved by the CSRC and the Municipal Government. | | （七）中国证监会及市政府批准的其他职能。 |
| Article 10 An operating institution shall be responsible for the development, operation and maintenance of a regional equity market information system, managing information security, and ensuring the secure and stable operation of the regional equity market information system. | | 第十条 运营机构负责区域性股权市场信息系统的开发、运行、维护，以及信息安全的管理，保证区域性股权市场信息系统安全稳定运行。 |
| The information system of an operating institution shall comply with relevant laws, regulations and standards of information technology management and pass the compliance and security assessment organized by the CSRC; and if the assessment fails to be passed, corrective action shall be taken within a specified time limit. | | 运营机构的信息系统应符合有关法律法规和信息技术管理规范，并通过中国证监会组织的合规性、安全性评估；未通过评估的，应当限期整改。 |
| Article 11 An operating institution may join the city's exchange industry association and accept the self-regulatory management and services of the industry association. | | 第十一条 运营机构可以加入我市交易场所行业协会，接受行业协会的自律管理和服务。 |
| An operating institution may establish a cooperation mechanism with securities and futures exchanges, the National Equities Exchange and Quotations, the Inter-institutional Quotation and Service system for Privately-offered Products, securities and futures broker-dealers, securities and futures service institutions, and securities and futures industry self-regulatory organizations. | | 运营机构可以与证券期货交易所、全国中小企业股份转让系统、机构间私募产品报价与服务系统、证券期货经营机构、证券期货服务机构、证券期货行业自律组织，建立合作机制。 |
| Article 12 An operating institution shall keep regional equity market honesty records and provide access and entry ports for the Municipal Financial Regulatory Bureau, the Authority of Qianhai, and the CSRC Shenzhen Office. The operating institution shall regularly publish market honesty information as required and, in accordance with the CSRC rules, enter the honesty information of the operating institution and other market participants and their related personnel in the CSRC Securities and Futures Market Honesty Record Database. | | 第十二条 运营机构应当建立区域性股权市场诚信档案，为市地方金融监管局、前海管理局和深圳证监局提供诚信信息的查询和录入端口。运营机构应当按照规定定期公示市场诚信信息，同时按照中国证监会规定将运营机构和其他市场参与者及其相关人员的诚信信息记入中国证监会证券期货市场诚信档案数据库。 |
| Article 13 An operating institution that is to terminate as a result of dissolution shall notify investors and relevant parties of relevant arrangements three months in advance at a minimum, establish a liquidation group to carry out liquidation according to legal procedures, by a liquidation plan including at a minimum a description of the disposal of the funds of members or investors, processing of pending litigations, and other related matters, and report to the Office of the Joint Conference in a timely manner. The operating institution shall, upon liquidation, request deregistration from the Municipal Administration for Market Regulation. | | 第十三条 运营机构因解散而终止的，应当至少提前3个月将相关安排告知投资者及相关方，成立清算组按照法定程序进行清算，清算方案至少包括会员或投资者资金处理、未决诉讼处理等相关事项的说明，并及时向联席会议办公室报告。清算结束后，运营机构应当向市市场监管局办理注销登记。 |
| Article 14 Specific provisions on the administration of operating institutions of regional equity markets in the Qianhai Cooperation Zone shall be separately developed by the Municipal Authority of Qianhai in accordance with the principle of prudential regulation and filed with the Municipal Financial Supervisory Bureau. | | 第十四条 前海合作区区域性股权市场运营机构具体管理规定可由市前海管理局根据审慎监管原则另行规定，并报市地方金融监管局备案。 |
| Chapter III Compliant Operations | | 第三章 合规经营 |
| Article 15 An enterprise that issues shares in a regional equity market shall meet the following conditions: | | 第十五条 企业在区域性股权市场发行股票，应当符合下列条件： |
| (1) Having a governance structure that complies with the provisions of the Company Law of the People's Republic of China. | | （一）有符合《中华人民共和国公司法》规定的治理结构； |
| (2) The financial accounting report for the most recent financial year contains no false record. | | （二）最近一个会计年度的财务会计报告无虚假记载； |
| (3) Committing no ongoing material illegal conduct. | | （三）没有处于持续状态的重大违法行为； |
| (4) Any condition otherwise required by the laws, administrative regulations and CSRC. | | （四）法律、行政法规和中国证监会规定的其他条件。 |
| Article 16 An enterprise that issues corporate bonds convertible into shares in a regional equity market shall meet the following conditions: | | 第十六条 企业在区域性股权市场发行可转换为股票的公司债券，应当符合下列条件： |
| (1) The conditions described in Article 15 of these Detailed Rules. | | （一）本细则第十五条规定的条件； |
| (2) The prospectus for bonds contains specific measures to convert corporate bonds into shares. | | （二）债券募集说明书中有具体的公司债券转换为股票的办法； |
| (3) For corporate bonds issued or other debts incurred by the company, there is no circumstance of ongoing default or delay in payment of principal and interest. | | （三）本公司已发行的公司债券或者其他债务没有处于持续状态的违约或者迟延支付本息的情形； |
| (4) Any condition otherwise required by the laws, administrative regulations and CSRC. | | （四）法律、行政法规和中国证监会规定的其他条件。 |
| Article 17 Securities may not be issued or transferred in a regional equity market by advertising, public inducing, or any other means public, directly or in disguise. | | 第十七条 在区域性股权市场发行或转让证券，不得采用广告、公开劝诱等公开或者变相公开方式。 |
If information on the issuance or transfer of securities such as prospectus for shares, prospectus for bonds, and number and price of securities to be transferred is released to the public through the Internet, radio, television, newspapers, periodicals, or the like, such information is released by means public, directly or in disguise, under the preceding paragraph, unless the following conditions are met:
．．．．．． | | 通过互联网络、广播电视、报刊等向社会公众发布招股说明书、债券募集说明书、拟转让证券数量和价格等有关证券发行或者转让信息的，属于前款规定的公开或者变相公开方式；但符合下列条件的除外：
．．．．．． |
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