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Notice of the State-owned Assets Supervision and Administration Commission of the State Council on Issuing the Operating Rules for the Trading of State-owned Equity of Enterprises [Effective]
国务院国有资产监督管理委员会关于印发《企业国有产权交易操作规则》的通知 [现行有效]
【法宝引证码】

 
Notice of the State-owned Assets Supervision and Administration Commission of the State Council on Issuing the Operating Rules for the Trading of State-owned Equity of Enterprises 

国务院国有资产监督管理委员会关于印发《企业国有产权交易操作规则》的通知


(No.120 [2009] of the State-owned Assets Supervision and Administration Commission)
 
(国资发产权[2009]120号)


The state-owned assets supervision and administration commissions of all provinces, autonomous regions, municipalities directly under the Central Government, cities under separate state planning, and Xinjiang Production and Construction Cops; all centrally governed enterprises; and Shanghai United Assets And Equity Exchange, Beijing Equity Exchange, Tianjin Equity Exchange and Chongqing United Assets and Equity Exchange:
 
各省、自治区、直辖市及计划单列市和新疆生产建设兵团国资委,各中央企业,上海联合产权交易所、北京产权产易所、天津产权产易中心、重庆联合产权交易所:

To regulate the trading of state-owned equity of enterprises, the Operating Rules for the Trading of State-owned Equity of Enterprises are formulated according to the Law of the People's Republic of China on the State-owned Assets of Enterprises, the Interim Regulation on the Supervision and Administration of the State-owned Assets of Enterprises (Order No.378 of the State Council),the Interim Measures for the Transfer of State-owned Equity of Enterprises (Order No.3 of the State-owned Assets Supervision and Administration Commission and the Ministry of Finance) and other relevant provisions. The Rules are hereby issued to you for your compliance and implementation in light of the actual situations. If you have any problem, please report it to us.
 
为统一规范企业国有产权交易行为,根据《中华人民共和国企业国有资产法》、《企业国有资产监督管理暂行条例》(国务院令第378号)、《企业国有产权转让管理暂行办法》(国资委、财政部令第3号)等有关规定,我们制定了《企业国有产权交易操作规则》。现印发给你们,请结合实际遵照执行。执行中有何问题,请及时反馈我委。

State-owned Assets Supervision and Administration Commission
 
国务院国有资产监督管理委员会

June 15, 2009
 
二○○九年六月十五日

Operating Rules for the Trading of State-owned Equity of Enterprises
 
企业国有产权交易操作规则

 
Chapter I General Provisions 

第一章 总则


 
Article 1 To regulate the trading of state-owned equity of enterprises, these Rules are formulated according to the Law of the People's Republic of China on the State-owned Assets of Enterprises,the Interim Regulation on the Supervision and Administration of the State-owned Assets of Enterprises (Order No.378 of the State Council), the Interim Measures for the Transfer of State-owned Equity of Enterprises (Order No.3 of the State-owned Assets Supervision and Administration Commission and the Ministry of Finance) and other relevant provisions.   第一条 为统一规范企业国有产权交易行为,根据《中华人民共和国企业国有资产法》、《企业国有资产监督管理暂行条例》(国务院令第378号)、《企业国有产权转让管理暂行办法》(国资委、财政部令第3号)等有关规定,制定本规则。

 
Article 2 These Rules shall apply to the trading of state-owned equity of enterprises as conducted by equity exchange institutions designated by the state-owned assets supervision and administration commissions at or above the provincial level (hereinafter referred to as “equity exchange institutions”).   第二条 省级以上国资委选择确定的产权交易机构(以下简称产权交易机构)进行的企业国有产权交易适用本规则。

 
Article 3 The term “trading of state-owned equity of enterprises” as mentioned in these Rules refers to the transfer of state-owned equity of enterprises through open bidding by state-owned equity transferors after the relevant decision-making and approval procedures have been completed and the equity transfer information has been published through equity exchange institutions.   第三条 本规则所称企业国有产权交易,是指企业国有产权转让主体(以下统称转让方)在履行相关决策和批准程序后,通过产权交易机构发布产权转让信息,公开挂牌竞价转让企业国有产权的活动。

 
Article 4 The principles of compensation for equal value, openness, fairness, equity and competition shall be followed in the trading of the state-owned equity of enterprises. Equity exchange institutions shall organize the trading of state-owned equity of enterprises under these Rules, voluntarily accept the supervision of the state-owned assets supervision and administration commissions, strengthen self-disciplinary management, maintain the market order and facilitate the normal proceeding of equity trading activities.   第四条 企业国有产权交易应当遵循等价有偿和公开、公平、公正、竞争的原则。产权交易机构应当按照本规则组织企业国有产权交易,自觉接受国有资产监督管理机构的监督,加强自律管理,维护市场秩序,保证产权交易活动的正常进行。

 
Chapter II Acceptance of Transfer Applications 

第二章 受理转让申请


 
Article 5 Equity exchange institutions shall be responsible for accepting equity transfer applications. An equity exchange institution which adopts the membership system should publish a list of members on its website so that a transferor may select one to represent itself.   第五条 产权转让申请的受理工作由产权交易机构负责承担。实行会员制的产权交易机构,应当在其网站上公布会员的名单,供转让方自主选择,建立委托代理关系。

 
Article 6 A transferor shall provide the equity exchange institution with materials required for equity transfer announcement and shall be responsible for the authenticity, integrity and validity of these materials. If it is required to file the relevant equity transfer information for archival purposes before announcement, the transferor shall fulfill the filing formalities.   第六条 转让方应当向产权交易机构提交产权转让公告所需相关材料,并对所提交材料的真实性、完整性、有效性负责。按照有关规定需要在信息公告前进行产权转让信息内容备案的转让项目,由转让方履行相应的备案手续。

 
Article 7 If the materials submitted by a transferor meet the integrity requirements, the equity exchange institution shall accept the materials and have them registered.   第七条 转让方提交的材料符合齐全性要求的,产权交易机构应当予以接收登记。

 
Article 8 An equity exchange institution shall set up an examination and approval system for the announcement of state-owned equity transfer information for the purpose of examining the accuracy and integrity of disclosed information about the transferred enterprise, the fairness and reasonability of the exchange terms and the transferee's prerequisites, the selection of the bidding methods, etc. If the materials meet the information announcement requirements, the equity exchange institution shall accept them and issue an acceptance notice to the transferor; otherwise, the equity exchange institution shall timely notify the transferor of its examination opinions in writing.   第八条 产权交易机构应当建立企业国有产权转让信息公告的审核制度,对涉及转让标的信息披露的准确性和完整性,交易条件和受让方资格条件设置的公平性与合理性,以及竞价方式的选择等内容进行规范性审核。符合信息公告要求的,产权交易机构应当予以受理,并向转让方出具受理通知书;不符合信息公告要求的,产权交易机构应当将书面审核意见及时告知转让方。

 
Article 9 A transferor shall disclose in the equity transfer announcement the basic information about the transferred enterprise, exchange terms, transferee's prerequisites, important information for the transaction, selection of bidding methods, request for security deposit, etc.   第九条 转让方应当在产权转让公告中披露转让标的基本情况、交易条件、受让方资格条件、对产权交易有重大影响的相关信息、竞价方式的选择、交易保证金的设置等内容。

 
Article 10 An equity transfer announcement shall disclose the basic information of the transferor and the transferred enterprise, including but not limited to:   第十条 产权转让公告应当对转让方和转让标的企业基本情况进行披露,包括但不限于:

 
1. The name of transferor, the transferred enterprise and the representing member; (一)转让方、转让标的及受托会员的名称;

 
2. The nature of the target enterprise, the time of formation, place of registration, sector, principal business, registered capital and number of employees of the enterprise to be transferred; (二)转让标的企业性质、成立时间、注册地、所属行业、主营业务、注册资本、职工人数;

 
3. The nature of the transferor and its investment ratio in the transferred enterprise; (三)转让方的企业性质及其在转让标的企业的出资比例;

 
4. The name and investment ratio of top 10 investors of the transferred enterprise; (四)转让标的企业前十名出资人的名称、出资比例;

 
5. The major financial indices in the audit report of the last year and the last financial statement of the transferred enterprise, including owner's equity, liability, business revenue, net profit, etc.; (五)转让标的企业最近一个年度审计报告和最近一期财务报表中的主要财务指标数据,包括所有者权益、负债、营业收入、净利润等;

 
6. The filing or approval of the asset assessment of the transferred enterprise, the estimated value of its total assets, total liabilities and net assets as indicated in the asset assessment report, and the post-audit book value thereof; and (六)转让标的(或者转让标的企业)资产评估的备案或者核准情况,资产评估报告中总资产、总负债、净资产的评估值和相对应的审计后账面值;

 
7. An internal decision and approval of the equity transfer transaction. (七)产权转让行为的相关内部决策及批准情况。

 
Article 11 A transferor shall clarify the major trading terms that the transferee should accept in order to conclude the transaction, including but not limited to:   第十一条 转让方在产权转让公告中应当明确为达成交易需要受让方接受的主要交易条件,包括但不限于:

 
1. The listing price of the subject matter, the mode of payment, and the time limit for payment; (一)转让标的挂牌价格、价款支付方式和期限要求;

 
2. Whether the transferee needs to continue hiring the employees of the target enterprise; (二)对转让标的企业职工有无继续聘用要求;

 
3. Requirements on the disposal of creditor's rights and liabilities involved in the transfer; and (三)产权转让涉及的债权债务处置要求;

 
4. Requirements on the continual development of the target enterprise. (四)对转让标的企业存续发展方面的要求。

 
Article 12 A transferor may reasonably set the transferee's prerequisites according to the actual situations of the target enterprise. The transferee's prerequisites may cover eligibility, management ability, assets scale, etc., but may not have any contents suggesting a specific enterprise or violating fair competition. If necessary, the equity exchange institution concerned may ask the transferor to provide written interpretations or specific explanations on the standards for judging the transferee's eligibilities, which shall be published in the equity transfer announcement.   第十二条 转让方可以根据标的企业实际情况,合理设置受让方资格条件。受让方资格条件可以包括主体资格、管理能力、资产规模等,但不得出现具有明确指向性或者违反公平竞争的内容。产权交易机构认为必要时,可以要求转让方对受让方资格条件的判断标准提供书面解释或者具体说明,并在产权转让公告中一同公布。

 
Article 13 A transferor shall disclose all information which may produce great impact on the equity transfer, including but not limited to:
......
   第十三条 转让方应当在产权转让公告中充分披露对产权交易有重大影响的相关信息,包括但不限于:
......

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