| Announcement of the China Securities Regulatory Commission | | 中国证券监督管理委员会公告 |
| (No. 7 [2019]) | | （〔2019〕7号） |
| The Standards for the Contents and Formats of Information Disclosure by Companies Offering Securities to the Public No. 42—Application Documents for Initial Public Offering of Stocks and Listing on the Science and Technology Innovation Board are hereby issued and shall come into force on the date of issuance. | | 现公布《公开发行证券的公司信息披露内容与格式准则第42号--首次公开发行股票并在科创板上市申请文件》，自公布之日起施行。 |
| China Securities Regulatory Commission | | 中国证监会 |
| March 1, 2019 | | 2019年3月1日 |
| Standards for the Contents and Formats of Information Disclosure by Companies Offering Securities to the Public No. 42—Application Documents for Initial Public Offering of Stocks and Listing on the Science and Technology Innovation Board | | 公开发行证券的公司信息披露内容与格式准则第42号--首次公开发行股票并在科创板上市申请文件 |
| Article 1 For the purposes of regulating the format and submission of the application documents for initial public offering of stocks (hereinafter referred to as the "application documents") under the pilot program of the registration system for the science and technology innovation board (hereinafter referred to as the "innovation board") at the Shanghai Stock Exchange, these Standards are developed according to the provisions of the Securities Law, the Implementation Opinions on Setting up the Science and Technology Innovation Board and Launching the Pilot Program of the Registration System on the Shanghai Stock Exchange, and the Measures for the Administration of Registration of Initial Public Offering of Stocks on the Science and Technology Innovation Board (for Trial Implementation) (Order No. 153, CSRC). | | 第一条 为规范在上海证券交易所科创板（以下简称科创板）试点注册制首次公开发行股票申请文件（以下简称申请文件）的格式和报送行为，根据《证券法》《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）》（证监会令第153号）的规定，制定本准则。 |
| Article 2 A company applying for the initial public offering of stocks in the territory of the People's Republic of China and listing on the innovation board (hereinafter referred to as the "issuer") shall prepare application documents as required by these Standards and submit electronic documents through the issuance and listing examination business system of the Shanghai Stock Exchange (hereinafter referred to as the "Exchange"). | | 第二条 申请在中华人民共和国境内首次公开发行股票并在科创板上市的公司（以下简称发行人）应按本准则的要求制作申请文件，并通过上海证券交易所（以下简称交易所）发行上市审核业务系统报送电子文件。 |
| The electronic documents submitted shall be consistent with the originals reserved. The lawyer of the issuer shall give a certification opinion on the consistency between the submitted electronic documents and the originals reserved. The submitted electronic documents have the same legal effect as the originals reserved. | | 报送的电子文件应和预留原件一致。发行人律师应对报送的电子文件与预留原件的一致性出具鉴证意见。报送的电子文件和预留原件具有同等的法律效力。 |
| Article 3 The catalog of application documents as set forth in the annex to these Standards is the minimum requirement for application documents. The China Securities Regulatory Commission (hereinafter referred to as the "CSRC") and the Exchange may, as needed by examination, require an issuer, its sponsor and the relevant securities service agencies to supplement the documents. If the issuer believes that certain documents do not apply to it, it shall make a written explanation. Supplementary documents and related explanations shall also be submitted through the issuance and listing examination business system of the Exchange. | | 第三条 本准则附录规定的申请文件目录是对申请文件的最低要求。中国证券监督管理委员会（以下简称中国证监会）和交易所根据审核需要可以要求发行人、保荐人和相关证券服务机构补充文件。如发行人认为某些文件对其不适用，应作出书面说明。补充文件和相关说明也应通过交易所发行上市审核业务系统报送。 |
| Article 4 A sponsor shall give a special opinion on the compliance of the issuer with the position requirements of the innovation board. | | 第四条 保荐人应对发行人符合科创板定位要求出具专项意见。 |
| Article 5 An application document accepted may not be added, withdrawn or replaced without consent. | | 第五条 申请文件一经受理，未经同意，不得增加、撤回或更换。 |
| Article 6 An issuer shall ensure that the original hard copy of application documents have been filed. | | 第六条 发行人应确保申请文件的原始纸质文件已存档。 |
| For such original hard copy, if the issuer is incapable of providing the originals of the relevant documents, the lawyer of the issuer shall provide a certification opinion, or the entity issuing the documents shall affix its seal to them and ensure their consistency with the originals. If the original entity issuing the documents ceases to exist, the entity that succeeds to its authority or that decides in favor of withdrawal shall prove the authenticity of the documents in writing. | | 对于申请文件的原始纸质文件，发行人不能提供有关文件原件的，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。 |
| Article 7 Each place in the original hard copy of the application documents that entails signature shall contain signatures in printed form and in the handwriting of the signer other than a name seal, signature seal or the like. | | 第七条 申请文件的原始纸质文件所有需要签名处，应载明签名字样的印刷体，并由签名人亲笔签名，不得以名章、签名章等代替。 |
| If such original hard copy contains documents entailing certification by the lawyer of the issuer, the lawyer of the issuer shall state on the first page of the documents, "the following ** to ** pages are consistent with the originals," affix his or her signature, and date the certification, and the law firm shall affix its official seal on the first page of the documents and fan out the XXX to XXX pages to overlap each other to affix its official seal on the overlapping edges. | | 申请文件的原始纸质文件中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 An issuer shall provide supplementary materials based on the inquiries respecting the application documents by the Exchange and questions on application documents fed back by the CSRC. The sponsor and relevant securities service agencies shall exercise due diligence on relevant questions and supplement their professional opinions.
．．．．．． | | 第八条 发行人应根据交易所对申请文件的问询及中国证监会对申请文件的反馈问题提供补充材料。保荐人和相关证券服务机构应对相关问题进行尽职调查并补充出具专业意见。
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