| Notice by the Shanghai Stock Exchange of Issuing the Special Provisions on the Trading of Stocks Listed on the Science and Technology Innovation Board of the Shanghai Stock Exchange | | 上海证券交易所关于发布《上海证券交易所科创板股票交易特别规定》的通知 |
| (No. 23 [2019] of the Shanghai Stock Exchange) | | （上证发〔2019〕23号） |
| All market participants: | | 各市场参与人： |
| For the purposes of regulating the trading of stocks listed on the Science and Technology Innovation Board (hereinafter referred to as the “Board”) of the Shanghai Stock Exchange (SSE), maintaining the order of securities market and protecting the lawful rights and interests of investors, in accordance with the Securities Law of the People's Republic of China, 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, the Measures for the Administration of Securities Exchanges and other laws and regulations as well as the Trading Rules of the Shanghai Stock Exchange (hereinafter referred to as the “Trading Rules”) and other business rules, the SSE has developed the Special Provisions on the Trading of Stocks Listed on the Science and Technology Innovation Board of the Shanghai Stock Exchange (hereinafter referred to as the “Special Provisions on Trading”, see the Annex for details), which are hereby issued and shall come into force on the date of issuance, and you are notified of the relevant matters as follows: | | 为了规范上海证券交易所（以下简称本所）科创板股票交易行为，维护证券市场秩序，保护投资者合法权益，根据《中华人民共和国证券法》《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》《证券交易所管理办法》等法律法规及《上海证券交易所交易规则》等业务规则，本所制定了《上海证券交易所科创板股票交易特别规定》（以下简称《交易特别规定》，详见附件），现予以发布，自发布之日起施行，并将有关事项通知如下： |
| I. The SSE trading system accepts the block trading orders from the Board during 9:30-11:30 and 13:00-15:30 on each trading day. | | 一、本所每个交易日接受科创板股票大宗交易成交申报的时间为9：30至11：30、13：00至15：30。 |
| II. The block trading on the Board shall not be governed by the provisions on fixed-price orders as set forth in the Trading Rules of the Shanghai Stock Exchange. | | 二、科创板股票大宗交易不适用《上海证券交易所交易规则》中关于固定价格申报相关规定。 |
| III. Before the release of the Science and Technology Innovation Board index, the “benchmark index" as specified in subparagraph 1 of paragraph 1 of Article 22 of the Special Provisions on Trading means the SSE Composite Index. | | 三、《交易特别规定》第二十二条第一款第一项所称“基准指数”，在科创板指数发布前为上证综指。 |
| | 特此通知。 |
| Annex: Special Provisions on the Trading of Stocks Listed on the Science and Technology Innovation Board of the Shanghai Stock Exchange | | 附件：上海证券交易所科创板股票交易特别规定 |
| Shanghai Stock Exchange | | 上海证券交易所 |
| March 1, 2019 | | 二〇一九年三月一日 |
| Annex: | | 附件： |
| Special Provisions on the Trading of Stocks Listed on the Science and Technology Innovation Board of the Shanghai Stock Exchange | | 上海证券交易所科创板股票交易特别规定 |
| Chapter I General Provisions | | 第一章 总则 |
| Article 1 These Provisions are developed in accordance with the Securities Law of the People's Republic of China, 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, the Measures for the Administration of Securities Exchanges and other laws and regulations as well as the Trading Rules of the Shanghai Stock Exchange (hereinafter referred to as the “Trading Rules”) and other business rules to regulate the trading of stocks listed on the Science and Technology Innovation Board of the Shanghai Stock Exchange (SSE), maintain the order of securities market and protect the lawful rights and interests of investors. | | 第一条 为了规范上海证券交易所（以下简称本所）科创板股票交易行为，维护证券市场秩序，保护投资者合法权益，根据《中华人民共和国证券法》《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》《证券交易所管理办法》等法律法规及《上海证券交易所交易规则》（以下简称《交易规则》）等业务规则，制定本规定。 |
| Article 2 These Provisions shall apply to the trading of stocks and depositary receipts listed on the Science and Technology Innovation Board of the SSE. Those not covered by these Provisions shall be governed by the Trading Rules and other relevant provisions by the SSE. | | 第二条 在本所科创板上市的股票和存托凭证的交易，适用本规定。本规定未作规定的，适用《交易规则》及本所其他有关规定。 |
| Chapter II Investor Suitability Management | | 第二章 投资者适当性管理 |
| Article 3 The investor suitability management system shall be implemented for the trading of stocks listed on the Board. | | 第三条 科创板股票交易实行投资者适当性管理制度。 |
| Members shall develop the relevant working system for the suitability management of the investors in stocks listed on the Board to conduct the suitability management of investors. | | 会员应当制定科创板股票投资者适当性管理的相关工作制度，对投资者进行适当性管理。 |
| The investors participating in the trading of stocks listed on the Board shall meet the requirements for suitability management prescribed by the SSE, and individual investors shall also pass a comprehensive suitability evaluation of investors in stocks listed on the Board organized by a member. | | 参与科创板股票交易的投资者应当符合本所规定的适当性管理要求，个人投资者还应当通过会员组织的科创板股票投资者适当性综合评估。 |
| Article 5 An individual investor participating in the trading of stocks listed on the Board shall meet the following conditions: | | 第四条 个人投资者参与科创板股票交易，应当符合下列条件： |
| (1) The average daily assets in the securities account and the cash account in the 20 trading days before the application for the trading authority shall be no less than 500,000 yuan (excluding the funds and securities raised by the investor through margin trading and short selling); | | （一）申请权限开通前20个交易日证券账户及资金账户内的资产日均不低于人民币50万元（不包括该投资者通过融资融券融入的资金和证券）； |
| (2) Having more than 24 months' experience in securities trading; and | | （二）参与证券交易24个月以上； |
| (3) Other conditions specified by the SSE. | | （三）本所规定的其他条件。 |
| An institutional investor participating in the stock trading on the Science and Technology Innovation Board shall comply with laws and regulations and the provisions of the business rules of the SSE. | | 机构投资者参与科创板股票交易，应当符合法律法规及本所业务规则的规定。 |
| The SSE may adjust the aforementioned conditions according to market conditions. | | 本所可根据市场情况对上述条件作出调整。 |
Article 5 A member shall verify whether investors meet the suitability conditions for stock investors on the Science and Technology Innovation Board, and conduct a comprehensive assessment of individual investors' asset status, investment experience, and risk tolerance and integrity, among others.
．．．．．． | | 第五条 会员应当对投资者是否符合科创板股票投资者适当性条件进行核查，并对个人投资者的资产状况、投资经验、风险承受能力和诚信状况等进行综合评估。
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