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Notice of the Shenzhen Stock Exchange on Issuing the Detailed Implementing Rules of the Shenzhen Stock Exchange for Shareholding Reduction by Shareholders, Directors, Supervisors and Senior Executives of Listed Companies [Effective]
深圳证券交易所关于发布《深圳证券交易所上市公司股东及董事、监事、高级管理人员减持股份实施细则》的通知 [现行有效]
【法宝引证码】

Notice of the Shenzhen Stock Exchange on Issuing the Detailed Implementing Rules of the Shenzhen Stock Exchange for Shareholding Reduction by Shareholders, Directors, Supervisors and Senior Executives of Listed Companies 

深圳证券交易所关于发布《深圳证券交易所上市公司股东及董事、监事、高级管理人员减持股份实施细则》的通知

(No. 820[2017] of the Shenzhen Stock Exchange) (深证上[2017]820号)

All market participants: 各市场参与人:
Recently, the China Securities Regulatory Commission (“CSRC”) has revised and issued the Several Provisions on Shareholding Reduction by Shareholders, Directors, Supervisors and Senior Executives of Listed Companies (Announcement No. 9 [2017], CSRC). In accordance with such Provisions and relevant laws and standards, the Shenzhen Stock Exchange (hereinafter referred to as the “SZSE”) has developed the Detailed Implementing Rules of the Shenzhen Stock Exchange for Shareholding Reduction by Shareholders, Directors, Supervisors and Senior Executives of Listed Companies (hereinafter referred to as the “Detailed Implementing Rules”), which, as approved by the CSRC, are hereby issued, and shall come into force on the date of issuance. The relevant matters are hereby announced as follows: 近日,中国证监会修订发布了《上市公司股东、董监高减持股份的若干规定》(证监会公告[2017] 9号)。根据该规定和相关法律规范,深圳证券交易所(以下简称本所)制定了《深圳证券交易所上市公司股东及董事、监事、高级管理人员减持股份实施细则》(以下简称《实施细则》),经中国证监会批准予以发布,自发布之日起施行。现就相关事项通知如下:
I. All listed companies shall strengthen publicity and education relating to the Detailed Implementing Rules, and remind the relevant shareholders, directors, supervisors and senior executives to strictly comply with the provisions of these Detailed Implementing Rules. A special reminder shall be given that after the issuance of the Detailed Implementing Rules, if the controlling shareholder, shareholder holding 5% or more shares, director, supervisor or senior executive of a listed company plans to reduce its or his shareholding through auction, it or he shall report the shareholding reduction plan to the SZSE 15 trading days before sale for the first time, and make an announcement.   一、请各上市公司加强《实施细则》的宣传教育,提醒相关股东及董事、监事、高级管理人员严格遵守《实施细则》的规定。特别应当提醒,《实施细则》发布后,上市公司控股股东、持股5%以上的股东及董事、监事、高级管理人员拟通过集中竞价交易减持股份的,应当在首次卖出股份的15个交易日前向本所报告减持计划,并予以公告。
II. Before completing the debugging of its technical system jointly with the technical systems of securities companies, the SZSE will, under relevant interim arrangements, handle shareholding reduction by shareholders through block trading in accordance with the Detailed Implementing Rules.   二、在本所完成与证券公司技术系统联合调试前,本所将根据相关临时安排,为股东办理其按照《实施细则》通过大宗交易方式减持股份的业务。
III. All entity members shall strengthen publicity and investor education relating to the Detailed Implementing Rules, and effectively make various technical and business preparations and implement relevant work in accordance with these Detailed Rules and relevant requirements of the SZSE.   三、请各会员单位加强《实施细则》宣传和投资者教育,并按照本细则及本所相关要求,做好各项技术、业务准备和落实工作。
IV. The SZSE shall oversee the relevant shareholding reduction. If any regulatory violation is found, regulatory measures or disciplinary actions shall be taken against the violator in accordance with business rules. If the circumstances are serious, the violation shall be reported to the CSRC for handling.   四、本所对相关减持股份的行为进行监管,发现违规的,将按业务规则采取监管措施或者予以纪律处分,情节严重的,将上报中国证监会处理。
V. If you have any inquiry in the implementation of the Detailed Implementing Rules, please consult the SZSE by the following channels, tel.: 400-808-9999, e-mail: cis@szse.cn.   五、《实施细则》执行过程中有疑问,可以通过下列途径咨询本所:电话:400-808-9999;邮箱:cis@szse.cn。
 特此通知
Annex: Detailed Implementing Rules of the Shenzhen Stock Exchange for Shareholding Reduction by Shareholders, Directors, Supervisors and Senior Executives of Listed Companies (Omitted) 附件: 深圳证券交易所上市公司股东及董事、监事、高级管理人员减持股份实施细则
Shenzhen Stock Exchange 

深圳证券交易所

May 27, 2017 2017年5月27日

 附件:
 

深圳证券交易所上市公司股东及董事、监事、

 高级管理人员减持股份实施细则

   第一条 为了规范深圳证券交易所(以下简称本所)上市公司股东及董事、监事、高级管理人员(以下简称董监高)减持股份的行为,维护市场秩序,保护投资者合法权益,根据《公司法》、《证券法》和中国证监会《上市公司股东、董监高减持股份的若干规定》以及本所《股票上市规则》、《创业板股票上市规则》、《交易规则》等有关规定,制定本细则。
   第二条 本细则适用于下列减持行为:
 (一)大股东减持,即上市公司控股股东、持股5%以上的股东(以下统称大股东)减持其持有的股份,但其减持通过集中竞价交易取得的股份除外;
 (二)特定股东减持,即大股东以外持有公司首次公开发行前股份、上市公司非公开发行股份(以下统称特定股份)的股东 (以下简称特定股东),减持其持有的该等股份;
 (三)董监高减持其持有的股份。
 因司法强制执行、执行股权质押协议、赠与、可交换债换股、股票权益互换等减持股份的,适用本细则。
 特定股份在解除限售前发生非交易过户,受让方后续对该部分股份的减持,适用本细则。
   第三条 股东及董监高减持股份,应当遵守法律、行政法规、部门规章、规范性文件、本细则以及本所其他业务规则;对持股比例、持股期限、减持方式、减持价格等作出承诺的,应当严格履行所作出的承诺。
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