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Notice by the China Securities Regulatory Commission of Transitional Arrangements for Relevant Administrative Licensing Items before and after the Kick-off of ChiNext Reform and Pilot Registration-based IPO System [Effective]
中国证监会关于创业板改革并试点注册制实施前后相关行政许可事项过渡期安排的通知 [现行有效]
【法宝引证码】

Notice by the China Securities Regulatory Commission of Transitional Arrangements for Relevant Administrative Licensing Items before and after the Kick-off of ChiNext Reform and Pilot Registration-based IPO System 

中国证监会关于创业板改革并试点注册制实施前后相关行政许可事项过渡期安排的通知

All issuers and sponsors: 各发行人、各保荐机构:
On April 27, 2010, the Central Commission for Comprehensively Deepening Reform deliberated and adopted the implementation plan for the pilot program designed to launch the registration-based IPO system. On the same day, the invitation of public comments started on the Measures for the Administration of IPO Registration on the ChiNext (For Trial Implementation), the Measures for the Administration of Securities Issuance and Registration by listed companies on the ChiNext (For Trial Implementation) and other rules. For the purposes of steadily promoting the pilot registration-based IPO system on the ChiNext and ensuring an orderly transition of administrative licensing items for IPOs, refinancing, and M&A on the ChiNext, you are hereby notified of the relevant arrangements as follows: 2020年4月27日,中央深改委审议通过了创业板试点注册制的实施方案。2020年4月27日,《创业板首次公开发行股票注册管理办法(试行)》《创业板上市公司证券发行注册管理办法(试行)》等规则已向社会公开征求意见。为稳步推进创业板试点注册制工作,有序做好注册制实施前后创业板首次公开发行股票、再融资、并购重组等行政许可事项的过渡,现将有关工作安排通知如下:
I. As from the date of issuance of this Notice, the China Securities Regulatory Commission (“CSRC”) will cease to accept applications for IPO and listing on the ChiNext, but continue to accept applications for refinancing and M&A and restructuring by listed companies on the ChiNext. Before the implementation of the pilot registration-based IPO system on the ChiNext, the CSRC will normally advance the aforementioned work of administrative licensing in accordance with regulations.   一、自本通知发布之日起,中国证监会停止接收首次公开发行股票并在创业板上市申请,继续接收创业板上市公司再融资和并购重组申请。创业板试点注册制实施前,中国证监会将按规定正常推进上述行政许可工作。
Where, as from the date of issuance of the exposure draft for the pilot registration-based IPO system on the ChiNext, a company applying for an IPO and publicly traded on the ChiNext has passed the examination by the Issuance Examination Committee and obtained the confirmation document, the underwriting of the issue shall be carried out in accordance with the current relevant provisions. Those that have passed the examination by the Issuance Examination Committee but not obtained the confirmation document may continue to advance the administrative licensing procedures before the launch of the relevant systems relating to the pilot registration-based IPO system on the ChiNext, and kick off the underwriting work in accordance with the current provisions. They may also choose to stop the promotion of the administrative licensing procedures, and submit to the Shenzhen Stock Exchange (“SZSE”) after the relevant systems relating to the pilot registration-based IPO system on the ChiNext are officially launched and implemented. After performing the issuance and listing review and registration procedure, they may jump-start the underwriting work according to the reformed system. If the submission has been made to the SZSE, the SZSE shall make arrangements for the examination of the issue according to the sequence of enterprises being examined by the CSRC. 创业板试点注册制相关制度征求意见稿发布之日起,申请首次公开发行股票并在创业板上市的企业,已通过发审委审核并取得核准批文的,发行承销工作按照现行相关规定执行;已通过发审委审核未取得核准批文的,可以继续在创业板试点注册制相关制度正式发布前推进行政许可程序,并按照现行规定启动发行承销工作;也可以自主选择申请停止推进行政许可程序,在创业板试点注册制相关制度正式发布实施后,向深圳证券交易所(以下简称深交所)申报,履行发行上市审核、注册程序后,按照改革后的制度启动发行承销工作。向深交所申报的,由深交所按照中国证监会在审企业顺序安排发行审核工作。
Where applications for refinancing and M&A and restructuring by listed companies on the ChiNext have passed the examination by the Issuance Examination Committee and the Committee for M&A and Restructuring before the implementation of the pilot registration-based IPO system on the ChiNext, the CSRC shall continue to implement the follow-up procedures. 创业板试点注册制实施前,创业板上市公司再融资、并购重组申请已通过发审委、并购重组委审核的,由中国证监会继续履行后续程序。
II. As from the date of implementation of the pilot registration-based IPO system on the ChiNext, the CSRC will terminate the examination of the IPOs, refinancing and M&A and restructuring of the enterprises being examined on the ChiNext that have not passed the examination by the Issuance Examination Committee and the Committee for M&A and Restructuring, and transfer to the SZSE the examination sequence of and examination data on relevant enterprises being examined. The applications for refinancing and M&A and restructuring by listed companies on the ChiNext that have been received but whose acceptance has not yet been completed will no longer be accepted.   二、创业板试点注册制实施之日起,中国证监会终止尚未经发审委、并购重组委审核通过的创业板在审企业首次公开发行股票、再融资、并购重组的审核,并将相关在审企业的审核顺序和审核资料转深交所,对于已接收尚未完成受理的创业板上市公司再融资、并购重组申请不再受理。
Within ten working days of implementation of the pilot registration-based IPO system on the ChiNext, the SZSE will only accept the applications for IPOs, refinancing, and M&A and restructuring by the enterprises being examined on the ChiNext by the CSRC. The enterprises being examined shall make application documents according to the provisions on the pilot registration-based IPO system on the ChiNext, and submit IPO registration applications to the SZSE. Those that have submitted to the CSRC a reply to the feedback may submit the reply to the SZSE along with the application documents. For the enterprises accepted during this period, the SZSE shall, according to the relevant provisions on the pilot registration-based IPO system on the ChiNext, arrange the follow-up examination based on their examination sequence and examination data in the CSRC. 创业板试点注册制实施之日起10个工作日内,深交所仅受理中国证监会创业板在审企业的首次公开发行股票、再融资、并购重组申请。在审企业应按创业板试点注册制相关规定制作申请文件并向深交所提交发行上市注册申请,已向中国证监会提交反馈意见回复的可以将反馈意见回复作为申请文件一并报深交所。在此期间受理的企业,深交所基于其在中国证监会的审核顺序和审核资料,按照创业板试点注册制相关规定安排后续审核工作。
III. Ten working days after implementation of the pilot registration-based IPO system on the ChiNext, the SZSE will start to accept the applications for IPOs, refinancing and M&A, and restructuring by other enterprises.   三、创业板试点注册制实施之日起10个工作日后,深交所开始受理其他企业的首次公开发行股票、再融资、并购重组申请。
This Notice shall come into force on the date of issuance, and market entities shall be fully prepared to create synergies, thus ensuring the smooth and orderly transition of enterprises being examined before and after the implementation of the pilot registration-based IPO system on the ChiNext. 本通知自公布之日起施行,请市场主体做好各项准备工作,形成合力,确保创业板试点注册制前后在审企业平稳有序过渡。
 
特此通知。
China Securities Regulatory Commission 中国证监会
April 27, 2020曾经瘦过你也是厉害 2020年4月27日
     
     
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