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Notice of the Shenzhen Stock Exchange on Amending the Clauses involving the Access Threshold for Individual Investors in the Special Provisions of the Shenzhen Stock Exchange on the Business during the Delisting Arrangement Period (2017) [Effective]
深圳证券交易所关于修改《深圳证券交易所退市整理期业务特别规定》涉及个人投资者准入门槛条款的通知(2017) [现行有效]
【法宝引证码】

 
Notice of the Shenzhen Stock Exchange on Amending the Clauses involving the Access Threshold for Individual Investors in the Special Provisions of the Shenzhen Stock Exchange on the Business during the Delisting Arrangement Period 

深圳证券交易所关于修改《深圳证券交易所退市整理期业务特别规定》涉及个人投资者准入门槛条款的通知

(No. 420 [2017] of the Shenzhen Stock Exchange) (深证上〔2017〕420号)

All market participants: 各市场参与人:
For the purposes of regulating the administration of the investor suitability during the delisting arrangement period of listed companies and protecting investors' lawful rights and interests, under the relevant provisions of the Measures of the China Securities Regulatory Commission for the Administration of the Suitability of Securities and Futures Investors, the Shenzhen Stock Exchange has amended the clauses involving the access threshold for individual investors in the Special Provisions of the Shenzhen Stock Exchange on the Business during the Delisting Arrangement Period (2015 Revision, hereinafter referred to as the “Former Provisions on the Business during the Delisting Arrangement Period”) and you are hereby notified of the following matters: 为规范上市公司退市整理期投资者适当性管理,维护投资者合法权益,根据中国证监会《证券期货投资者适当性管理办法》相关规定,本所对《深圳证券交易所退市整理期业务特别规定(2015年修订)》(以下简称“原《整理期业务规定》”)中涉及个人投资者准入门槛的条款进行了修改,现将有关事项通知如下:
I. Paragraph 1 of Article 12 is amended to read: “An individual investor buying stocks during the delisting arrangement period shall have more than two years of stock trading experience and have daily average securities assets of not less than 500,000 yuan twenty trading days before applying for access.”   一、第十二条第一款修改为:“参与退市整理期股票买入交易的个人投资者,必须具备两年以上股票交易经验,申请开通权限前二十个交易日日均证券类资产不得低于人民币五十万元。”
II. According to this Notice, the Shenzhen Stock Exchange has issued the Special Provisions of the Shenzhen Stock Exchange on the Business during the Delisting Arrangement Period (2017 Revision, hereinafter referred to as the “New Provisions on the Business during the Delisting Arrangement Period”), which shall come into force on July 1, 2017. The Former Provisions on the Business during the Delisting Arrangement Period (No. 46 [2015], Shenzhen Stock Exchange) issued by the Shenzhen Stock Exchange on January 30, 2015 shall be concurrently repealed.   二、本所现根据本通知,发布《深圳证券交易所退市整理期业务特别规定(2017年修订)》(以下简称“新《整理期业务规定》”),并自2017年7月1日起施行。本所2015年1月30日发布的原《整理期业务规定》(深证上〔2015〕46号)同时废止。
III. Investors with access to stock purchase during the delisting arrangement period before the New Provisions on the Business during the Delisting Arrangement Period come into force may continue to participate in transactions under the “non-retroactivity” principle.   三、对于新《整理期业务规定》施行前开通退市整理期股票买入交易权限的投资者,适用新老划断原则,可继续参与交易。
IV. All member entities shall diligently and effectively adjust the relevant business process and make preparation for the technical system, to ensure the regulated administration of the suitability of the stock clients during the delisting arrangement period.   四、各会员单位应当认真做好相关业务流程调整和技术系统准备,确保退市整理期股票客户适当性管理工作的规范开展。
 
特此通知。
Annex: Special Provisions of the Shenzhen Stock Exchange on the Business during the Delisting Arrangement Period (2017 Revision) 附件:《深圳证券交易所退市整理期业务特别规定(2017年修订)》
Shenzhen Stock Exchange 深圳证券交易所
June 28, 2017 2017年6月28日
Special Provisions of the Shenzhen Stock Exchange on the Business during the Delisting Arrangement Period (2017 Revision) 深圳证券交易所退市整理期业务特别规定(2017年修订)
Chapter I General Provisions 

第一章 总则

 
Article 1 For the purposes of regulating the issues concerning the delisting arrangement period of listed companies and protecting investors' lawful rights and interests, these Provisions are developed in accordance with the Several Opinions of the China Securities Regulatory Commission on Reforming, Improving, and Strictly Implementing the Delisting System of Listed Companies, the Stock Listing Rules of the Shenzhen Stock Exchange (2014 Revision, hereinafter referred to as the “Listing Rules”), the Rules of the Shenzhen Stock Exchange for Stock Listing on ChiNext (2014 Revision, hereinafter referred to as the “Stock Listing on ChiNext”), the Trading Rules of the Shenzhen Stock Exchange (hereinafter referred to as the “Trading Rules”), the Member Management Rules of the Shenzhen Stock Exchange and other relevant provisions.   第一条 为规范上市公司退市整理期相关事项,保护投资者的合法权益,根据中国证监会《关于改革完善并严格实施上市公司退市制度的若干意见》、《深圳证券交易所股票上市规则(2014年修订)》(以下简称“《上市规则》”)、《深圳证券交易所创业板股票上市规则(2014年修订)》(以下简称“《创业板上市规则》”)、《深圳证券交易所交易规则》(以下简称“《交易规则》”)、《深圳证券交易所会员管理规则》等有关规定,制定本规定。
Article 2 The matters concerning the trading of the stocks of a listed company during the delisting arrangement period after the Shenzhen Stock Exchange (“SZSE”) makes a delisting decision shall be governed by these Provisions.   第二条 上市公司股票被本所作出终止上市决定后进入退市整理期交易的相关事宜,适用本规定。
Where a listed company voluntarily applies for delisting of its stocks under the provisions of Chapter XIV of the Listing Rules and Chapter XIII of the Stock Listing on ChiNext, these Provisions shall not apply. 上市公司依据本所《上市规则》第十四章、《创业板上市规则》第十三章规定主动申请其股票终止上市的,不适用本规定。
Article 3 During the delisting arrangement period, a listed company and its directors, supervisors, senior executives, shareholders, actual controllers, acquirer and other natural persons, institutions and their relevant personnel, the sponsor institution and its sponsor representatives, as well as the securities service institution and its relevant personnel shall comply with the laws, administrative regulations, departmental rules, regulatory documents, the Listing Rules and the Stock Listing on ChiNext of the SZSE, and other relevant provisions.   第三条 退市整理期间,上市公司及其董事、监事、高级管理人员、股东、实际控制人、收购人等自然人、机构及其相关人员,以及保荐机构及其保荐代表人、证券服务机构及其相关人员应当遵守法律、行政法规、部门规章、规范性文件及本所《上市规则》、《创业板上市规则》等有关规定。
Article 4 Members of the SZSE shall, under these Provisions and the relevant provisions of the SZSE, take corresponding measures to remind investors to guard against the investment risks of participating in the stock trading during the delisting arrangement period.   第四条 本所会员应当按照本规定及本所相关规定采取相应措施,提醒投资者注意防范参与退市整理期股票交易的投资风险。
Chapter II Stock Trading 

第二章 股票交易

 
Article 5 During the delisting arrangement period, the securities code of a listed company shall remain unchanged and the securities abbreviation shall be changed to “XXX Delisting.”   第五条 退市整理期间,上市公司的证券代码不变,证券简称应当变更为“XXX退”。
...... 同时发行A股、B股的上市公司,其A股、B股股票按规定进入退市整理期交易的,其证券简称应当分别变更为“XXA退”、“XXB退”。仅发行B股的上市公司,其B股股票按规定进入退市整理期交易的,其证券简称应当变更为“XXB退”。
 ......

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