| Announcement of the China Securities Regulatory Commission | | 中国证券监督管理委员会公告 |
| (No. 45 [2014]) | | （〔2014〕45号） |
| The Standard for the Contents and Formats of Information Disclosure by Unlisted Public Companies No. 8—Application Documents for the Private Placement of Preferred Shares is hereby issued, and shall come into force on the date of issuance. | | 现公布《非上市公众公司信息披露内容与格式准则第8号--定向发行优先股申请文件》，自公布之日起施行。 |
| China Securities Regulatory Commission | | 中国证监会 |
| September 19, 2014 | | 2014年9月19日 |
| Standard for the Contents and Formats of Information Disclosure by Unlisted Public Companies No. 8—Application Documents for the Private Placement of Preferred Shares | | 非上市公众公司信息披露内容与格式准则第8号--定向发行优先股申请文件 |
| Article 1 To regulate the contents and formats of application documents submitted by unlisted public companies (hereinafter referred to as the “applicant”) for the private placement of preferred shares, this Standard is developed in accordance with the Company Law, the Securities Law, the Measures for the Supervision and administration of Unlisted Public Companies (Order No. 96, CSRC), and the Measures for the Administration of the Pilot Program of Preferred Shares (Order No. 97, CSRC). | | 第一条 为了规范非上市公众公司（以下简称申请人）定向发行优先股申请文件的内容和格式，根据《公司法》、《证券法》、《非上市公众公司监督管理办法》（证监会令第96号）、《优先股试点管理办法》（证监会令第97号）的规定，制定本准则。 |
| Article 2 An applicant for the private placement of preferred shares shall prepare and file application documents in accordance with this Standard. | | 第二条 申请人定向发行优先股，应按本准则要求制作和报送申请文件。 |
| Where an overseas listed company registered in China applies for the offering of preferred shares in China, it shall prepare and file application documents by reference to this Standard. | | 注册在境内的境外上市公司在境内发行优先股，参照本准则要求制作和报送申请文件。 |
| Article 3 The list of application documents prescribed in this Standard is the minimum requirement for the application documents for the private placement of preferred shares. As needed for review or examination, the China Securities Regulatory Commission (“CSRC”) or National Equities Exchange and Quotations Co. Ltd (“NEEQ Company”) may require the applicant and relevant securities service institutions to provide further documents. Documents inapplicable to the applicant are not required, but a written explanation of inapplicability shall be submitted to the CSRC or NEEQ Company. | | 第三条 本准则规定的申请文件目录（见附录）是定向发行优先股申请文件的最低要求。根据审核或审查需要，中国证券监督管理委员会（以下简称中国证监会）、全国中小企业股份转让系统有限责任公司（以下简称全国股份转让系统公司）可以要求申请人和相关证券服务机构补充文件。如果某些文件对申请人不适用，可不提供，但应向中国证监会、全国股份转让系统公司作出书面说明。 |
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