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Notice by the Shanghai Stock Exchange of Issuing the Interim Provisions of the Shanghai Stock Exchange on Application and Recommendation for Issuance and Listing of Enterprises on the STAR Market [Effective]
上海证券交易所关于发布《上海证券交易所科创板企业发行上市申报及推荐暂行规定》的通知 [现行有效]
【法宝引证码】

Notice by the Shanghai Stock Exchange of Issuing the Interim Provisions of the Shanghai Stock Exchange on Application and Recommendation for Issuance and Listing of Enterprises on the STAR Market 

上海证券交易所关于发布《上海证券交易所科创板企业发行上市申报及推荐暂行规定》的通知

(No. 21 [2020] of the Shanghai Stock Exchange) (上证发〔2020〕21号)

All market participants: 各市场参与人:
For the purposes of implementing the relevant requirements of the China Securities Regulatory Commission (“CSRC”) for supporting and encouraging enterprises in compliance with the provisions on science and technology innovation attributes, further specifying the standards for the grasping of the positioning of the STAR Market, directing and regulating the application by issuers and recommendation by sponsor institutions, and promoting the sustainable and sound development of the STAR Market, according to the Implementation Opinions on Setting up the STAR Market and Launching the Pilot Program of the Registration System on the Shanghai Stock Exchange, the Measures for the Administration of the Registration of IPO Stocks on the Star Market (for Trial Implementation), the Guidelines for the Evaluation of Science and Technology Innovation Attributes (for Trial Implementation), the Rules of the Shanghai Stock Exchange for the Examination of the Offering and Listing of Stocks on the STAR Market, and other relevant provisions, and with approval of the CSRC, the Shanghai Stock Exchange (“SSE”) has developed the Interim Provisions of the Shanghai Stock Exchange on Application and Recommendation for Issuance and Listing of Enterprises on the STAR Market (see Annex for details), which are hereby issued and shall come into force on the date of issuance. The Guidelines of the Shanghai Stock Exchange for the Recommendation for the Listing of Enterprises on the STAR Market (No. 30 [2019], Shanghai Stock Exchange) shall be concurrently repealed. 为了落实中国证监会支持和鼓励符合科创属性规定的企业申报科创板有关要求,进一步明确科创板定位把握标准,引导和规范发行人申报和保荐机构推荐工作,促进科创板市场持续健康发展,根据《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》《科创板首次公开发行股票注册管理办法(试行)》《科创属性评价指引(试行)》和《上海证券交易所科创板股票发行上市审核规则》等有关规定,上海证券交易所制定了《上海证券交易所科创板企业发行上市申报及推荐暂行规定》(详见附件),经中国证监会批准,现予以发布,并自发布之日起施行。《上海证券交易所科创板企业上市推荐指引》(上证发〔2019〕30号)同时废止。
 
特此通知。
Annex: Interim Provisions of the Shanghai Stock Exchange on Application and Recommendation for Issuance and Listing of Enterprises on the STAR Market 附件:上海证券交易所科创板企业发行上市申报及推荐暂行规定
Shanghai Stock Exchange 上海证券交易所
March 27, 2020 二〇二〇年三月二十七日
Annex 附件
Interim Provisions of the Shanghai Stock Exchange on Application and Recommendation for Issuance and Listing of Enterprises on the STAR Market 上海证券交易所科创板企业发行上市申报及推荐暂行规定
Article 1 For the purposes of implementing the relevant requirements of the China Securities Regulatory Commission (“CSRC”) for supporting and encouraging enterprises in compliance with the provisions on science and technology innovation attributes, further specifying the standards for the grasping of the positioning of the STAR Market, directing and regulating the application by issuers and recommendation by sponsor institutions, and promoting the sustainable and sound development of the STAR Market, according to the Implementation Opinions on Setting up the STAR Market and Launching the Pilot Program of the Registration System on the Shanghai Stock Exchange, the Measures for the Administration of the Registration of IPO Stocks on the Star Market (for Trial Implementation), the Guidelines for the Evaluation of Science and Technology Innovation Attributes (for Trial Implementation, hereinafter referred to as the “Guidelines”), and the Rules of the Shanghai Stock Exchange on the Review of the Issuance and Listing of Stocks on the STAR Market (hereinafter referred to as the “Review Rules”), these Provisions are developed.   第一条 为了落实中国证监会支持和鼓励符合科创属性规定的企业申报科创板有关要求,进一步明确科创板定位把握标准,引导和规范发行人申报和保荐机构推荐工作,促进科创板市场持续健康发展,根据《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》《科创板首次公开发行股票注册管理办法(试行)》《科创属性评价指引(试行)》(以下简称《指引》)和《上海证券交易所科创板股票发行上市审核规则》(以下简称《审核规则》),制定本规定。
Article 2 The application and recommendation for issuance and listing of enterprises on the STAR Market shall be based on the requirements of these Guidelines and these Provisions on the science and technology innovation attributes, and whether the issuer complies with the positioning of the STAR Market shall be determined.   第二条 科创板企业发行上市申报和推荐,应当基于《指引》和本规定中的科创属性要求,把握发行人是否符合科创板定位。
To apply for issuance and listing on the STAR Market, an issuer shall conduct self-evaluation on whether it complies with the positioning of the STAR Market, according to the requirements of these Guidelines and these Provisions on the science and technology innovation attributes. A sponsor institution recommending an issuer to apply for issuance and listing on the STAR Market shall check whether the issuer satisfies the requirements of the science and technology innovation attributes concerning the positioning of the STAR Market, and make a professional judgment. 发行人申报科创板发行上市的,应当对照《指引》和本规定中的科创属性要求,对其是否符合科创板定位进行自我评估。保荐机构推荐发行人申报科创板发行上市的,应当对发行人是否符合与科创板定位相关的科创属性要求,进行核查把关,作出专业判断。
Article 3 An issuer applying for issuance and listing on the STAR Market shall be in a high and new technology industry and strategic emerging industry in the following industry fields:   第三条 申报科创板发行上市的发行人,应当属于下列行业领域的高新技术产业和战略性新兴产业:
(1) the field of a new generation of information technology, mainly including semiconductors and integrated circuits, electronic information, next-generation information networks, artificial intelligence, big data, cloud computing, software, Internet, Internet of Things, and intelligent hardware, among others; (一)新一代信息技术领域,主要包括半导体和集成电路、电子信息、下一代信息网络、人工智能、大数据、云计算、软件、互联网、物联网和智能硬件等;
(2) the field of high-end equipment, mainly including intelligent manufacturing, aerospace, advanced rail transit, ocean engineering equipment, and relevant services, among others; (二)高端装备领域,主要包括智能制造、航空航天、先进轨道交通、海洋工程装备及相关服务等;
(3) the field of new materials, mainly including advanced steel materials, advanced non-ferrous metal materials, advanced petrochemical new materials, advanced inorganic non-metallic materials, high-performance composite materials, cutting-edge new materials, and relevant services, among others; (三)新材料领域,主要包括先进钢铁材料、先进有色金属材料、先进石化化工新材料、先进无机非金属材料、高性能复合材料、前沿新材料及相关服务等;
(4) the field of new energy, mainly including advanced nuclear power, large-scale wind power, efficient optic-electro and optic-thermal technologies, efficient energy storage, and relevant services, among others; (四)新能源领域,主要包括先进核电、大型风电、高效光电光热、高效储能及相关服务等;
(5) the field of energy conservation and environmental protection, mainly including efficient energy-saving products and equipment, advanced technical equipment for environmental protection, advanced environmental protection products, circular using of resources, whole new-energy automobiles, key components and parts of new-energy automobiles, power batteries, and relevant services, among others; (五)节能环保领域,主要包括高效节能产品及设备、先进环保技术装备、先进环保产品、资源循环利用、新能源汽车整车、新能源汽车关键零部件、动力电池及相关服务等;
(6) the field of biological medicine, mainly including biological products, high-end chemical drugs, high-end medical equipment and instruments, and relevant services, among others; and (六)生物医药领域,主要包括生物制品、高端化学药、高端医疗设备与器械及相关服务等;
(7) other fields in compliance with the positioning of the STAR Market. (七)符合科创板定位的其他领域。
Article 4 An issuer with science and technology innovation attributes concurrently meeting the following three indicators shall be supported and encouraged to apply for issuance and listing on the STAR Market according to these Guidelines:   第四条 科创属性同时符合下列3项指标的发行人,支持和鼓励其按照《指引》的规定申报科创板发行上市:
(1) The accumulated research and development investment in the most recent three years accounts for 5% or more of the accumulated business income or exceeds 60 million yuan; and, in particular, accumulated research and development investment of a software enterprise in the most recent three years accounts for 10% or more of accumulated business income in the most recent three years. (一)最近3年累计研发投入占最近3年累计营业收入比例5%以上,或者最近3年研发投入金额累计在6000万元以上;其中,软件企业最近3年累计研发投入占最近3年累计营业收入比例10%以上;
(2) It has formed over 5 patents for invention (including national defense patents) generating main business income, excluding software enterprises. (二)形成主营业务收入的发明专利(含国防专利)5项以上,软件企业除外;
(3) The compound growth rate of its business income in the most recent three years reaches 20%, or its business income in the most recent year reaches 0.3 billion yuan. Issuers applying for issuance and listing on the STAR Market according to the listing standards set forth in item (5) of paragraph 2 of Article 22 of the Review Rules are excluded. (三)最近3年营业收入复合增长率达到20%,或者最近一年营业收入金额达到3亿元。采用《审核规则》二十二条北大法宝第二款第(五)项上市标准申报科创板发行上市的发行人除外。
Article 5 An issuer falling under one of the following circumstances and with prominent science and technology innovation capability shall not be restricted by the indicators of science and technology innovation attributes set forth in the preceding article, and shall be supported and encouraged to apply for issuance and listing on the STAR Market according to these Guidelines:   第五条 具备下列情形之一,科技创新能力突出的发行人,不受前条规定的科创属性指标的限制,支持和鼓励其按照《指引》的规定申报科创板发行上市:
(1) The core technology possessed is identified by the competent state department to play an international leading and guiding role or be of great significance for the strategies of the state. (一)拥有的核心技术经国家主管部门认定具有国际领先、引领作用或者对于国家战略具有重大意义;
(2) The issuer serving as the major participating entity or the core technician serving as the major participant has won a National Natural Science Award, a National Award for Science and Technology Progress, and a National Award for Technological Invention, and applies the relevant technologies in the main business. (二)作为主要参与单位或者核心技术人员作为主要参与人员,获得国家自然科学奖、国家科技进步奖、国家技术发明奖,并将相关技术运用于主营业务;
(3) It independently undertakes or takes the lead in undertaking a “significant national thematic scientific and technological” project concerning main business and core technology. (三)独立或者牵头承担与主营业务和核心技术相关的“国家重大科技专项”项目;
(4) The major products (services) formed with the core technology are key equipment, products, components and parts, and materials, among others, and are encouraged, supported and promoted by the state, and have realized import substitution. (四)依靠核心技术形成的主要产品(服务),属于国家鼓励、支持和推动的关键设备、关键产品、关键零部件、关键材料等,并实现了进口替代;
(5) It has formed over 50 patents for invention (including national defense patents) forming core technologies and main business income in total. (五)形成核心技术和主营业务收入相关的发明专利(含国防专利)合计50项以上。
Article 6 At the time of application, an issuer shall, according to the requirements of the model format annexed to these Provisions, submit special explanations for its science and technology innovation attributes' compliance with the positioning requirements of the STAR Market. The special explanations shall highlight the main points, be direct and explicit, and make targeted evaluations on whether the issuer is in the industry field that the STAR Market serves and whether the issuer satisfies the requirements for science and technology innovation attributes.   第六条 发行人申报时,应当按照本规定所附示范格式的要求,提交关于科创属性符合科创板定位要求的专项说明。专项说明应当突出重点,直接明了,有针对性评估是否属于科创板服务的行业领域、是否符合科创属性要求等。
Article 7 At the time of recommendation, a sponsor institution shall, according to the requirements of the model format annexed to these Provisions, issue special opinions on compliance of the science and technology innovation attributes of an issuer with the positioning requirements of the STAR Market, mainly check whether the basis for the industry field classification and identification of science and technology innovation attributes are authentic, objective and reasonable, and explain the contents to be checked, checking methods, checking processes and evidence obtained by checking.   第七条 保荐机构推荐时,应当按照本规定所附示范格式的要求,出具发行人科创属性符合科创板定位要求的专项意见,重点核查发行人行业领域归类和科创属性认定的依据是否真实、客观、合理,说明核查内容、核查方法、核查过程及核查取得的证据。
Article 8 In the review of issuance and listing, the SSE shall pay key attention to whether the self-evaluation of an issuer is objective and the review of a sponsor institution is sufficient from the following respects:   第八条 本所发行上市审核中,着重从如下方面关注发行人的自我评估是否客观,保荐机构的核查把关是否充分:
(1) Whether the industry field of the issuer is one specified in these Guidelines and Provisions. (一)发行人的行业领域是否属于《指引》和本规定所列行业领域;
(2) Whether the science and technology innovation attributes of the issuer satisfy the requirements for the indicators of the science and technology innovation attributes set forth in these Guidelines and Provisions. (二)发行人的科创属性是否符合《指引》和本规定所列科创属性指标要求;
(3) When the science and technology innovation attributes of the issuer fail to satisfy the requirements for the indicators of the science and technology innovation attributes, whether it has prominent science and technology innovation capability as set forth in these Guidelines and Provisions. (三)发行人的科创属性未达到科创属性指标要求时,是否存在《指引》和本规定所列的科技创新能力突出情形;
(4) Other requirements prescribed by the SSE. (四)本所规定的其他要求。
Article 9 Where an issuer carries out production and business operation mainly by relying on the core technology and believes that it complies with positioning of the STAR Market upon prudent and objective evaluation, and its science and technology innovation attributes can satisfy the relevant supporting and encouragement requirements in these Guidelines within a short period of time, it may apply for issuance and listing on the STAR Market in advance, but shall make detailed explanations separately, and provide sufficient and rational reasons and basis. A sponsor institution shall conduct special review of the reasons and basis put forward by an issuer, and offer special opinions.   第九条 发行人主要依靠核心技术开展生产经营,经谨慎客观评估认为自身符合科创板定位,且科创属性短期内能够达到《指引》相关支持和鼓励要求的,可以先行提出科创板发行上市申请,但应当单独做详细说明,并提供充分、合理的理由和依据。保荐机构应当对发行人提出的理由和依据进行专项核查,并发表专项意见。
In the review of issuance and listing, the SSE shall strictly review the science and technology innovation attributes of an issuer filing an application according to the provisions of the preceding paragraph, the self-evaluation of an issuer, and the review of the sponsor institution, among others. The SSE shall undergo the formal consulting procedures with the Science and Technology Innovation Consulting Committee of the STAR Market concerning the science and technology innovation attributes of an issuer, conduct review and judgment with reference to the expert opinions formed, and record expert opinions for future reference. 本所发行上市审核中,将对按前款规定申报的发行人科创属性、发行人的自我评估和保荐机构的核查把关等情况,予以严格审核。本所将就发行人的科创属性向科创板科技创新咨询委员会履行正式咨询程序,参照所形成的专家意见作出审核判断,专家意见均留档备查。
Article 10 An issuer shall, in the prospectus, conduct corresponding information disclosure for the relevant matters in the industry fields set forth in Article 3, in compliance with the indicators set fourth in Article 4, and falling under the circumstances prescribed in Article 5.   第十条 发行人应当在招股说明书中,就属于第三条规定的行业领域以及符合第四条规定指标、第五条规定情形的有关事项,进行相应的信息披露。
Article 11 Where the information concerning the positioning of the STAR Market to be disclosed by an issuer is state secret or business secret and the disclosure may result in violation of relevant laws and regulations of the state on confidentiality or seriously damage the interests of the company, the issuer and its sponsor institution may apply to the SSE for exemption from disclosure.   第十一条 发行人拟披露的与科创板定位相关的信息属于国家秘密、商业秘密,披露后可能导致其违反国家有关保密法律法规或者严重损害公司利益的,发行人及其保荐机构可以向本所申请豁免披露。
Article 12 Before an application is filed, an issuer and its sponsor institution may consult the SSE about the understanding and application of the relevant clauses of these Provisions.   第十二条 发行人及其保荐机构可在申报前,就本规定相关条款的理解和适用,向本所进行咨询。
Article 13 The SSE shall implement self-regulatory supervision and administration of the acts of enterprises recommended by sponsor institutions to be list on the STAR Market and take self-regulatory supervision measures against or impose disciplinary punishment upon the sponsor institutions violating these Provisions according to the provisions.   第十三条 本所对保荐机构推荐企业到科创板上市的行为实施自律监管,对违反本规定的保荐机构可以按规定采取自律监管措施或者纪律处分。
Article 14 The power to interpret these Provisions shall remain with the SSE. 北大法宝,版权所有  第十四条 本规定由本所负责解释。
Article 15 These Provisions shall come into force on the date of issuance, upon which the Guidelines of the Shanghai Stock Exchange for the Recommendation for the Listing of Enterprises on the STAR Market (No. 30 [2019], SSE) shall be concurrently repealed. For any discrepancies between other relevant provisions of the SSE and these Provisions, these Provisions shall prevail.   第十五条 本规定自发布之日起实施,《上海证券交易所科创板企业上市推荐指引》(上证发〔2019〕30号)同时废止。本所其他相关规定与本规定不一致的,以本规定为准。
Article 16 Enterprises that have filed application prior to the issuance of these Provisions shall not be governed by these Provisions.   第十六条 本规定发布前已申报的企业不适用本规定。
Annexes: 附件:
1: Special Explanations on the Compliance of the Science and Technology Innovation Attributes of an Issuer with the Positioning Requirements of the STAR Market (Model Format for Reference) 1.关于发行人科创属性符合科创板定位要求的专项说明(参考示范格式)
2. Special Opinions on the Compliance of the Science and Technology Innovation Attributes of an Issuer with the Positioning Requirements of the STAR Market (Model Format for Reference)

法小宝

 2.关于发行人科创属性符合科创板定位要求的专项意见(参考示范格式)
 附件1
 关于发行人科创属性符合科创板定位要求的专项说明
 (参考示范格式)
 上海证券交易所:
 根据《科创板首次公开发行股票注册管理办法(试行)》《科创属性评价指引(试行)》《上海证券交易所科创板股票发行上市审核规则》《上海证券交易所科创板企业发行上市申报及推荐暂行规定》等有关规定,我公司对是否符合科创板定位进行了充分的自我评估,出具本专项说明,并保证本专项说明的真实性、准确性和完整性。
   一、公司简介与主营业务概述
   二、公司科创属性符合科创板定位的说明
 (一)公司符合行业领域要求
 公司所属行业领域 □新一代信息技术 简要分析行业领域归类依据
 □高端装备
 □新材料
 □新能源
 □节能环保
 □生物医药
 □符合科创板定位的其他领域
 (二)公司符合科创属性要求
 科创属性评价标准一 是否符合 指标情况
 最近三年累计研发投入占最近三年累计营业收入比例≥5%,或最近三年累计研发投入金额≥6000万元 □是 □否
 形成主营业务收入的发明专利(含国防专利)≥5项 □是 □否
 最近三年营业收入复合增长率≥20%,或最近一年营业收入金额≥3亿 □是 □否
 备注:采用《审核规则》二十二条第二款第(五)项上市标准申报科创板发行上市的企业可不适用上述第(三)项指标的要求;软件企业不适用上述第(二)项指标的要求,最近三年累计研发投入占最近三年累计营业收入比例应在10%以上。
 科创属性评价标准二 是否符合 主要依据
 拥有的核心技术经国家主管部门认定具有国际领先、引领作用或者对于国家战略具有重大意义。 □是 □否
 作为主要参与单位或者核心技术人员作为主要参与人员,获得国家自然科学奖、国家科技进步奖、国家技术发明奖,并将相关技术运用于公司主营业务。 □是 □否
 独立或者牵头承担与主营业务和核心技术相关的“国家重大科技专项”项目。 □是 □否
 依靠核心技术形成的主要产品(服务),属于国家鼓励、支持和推动的关键设备、关键产品、关键零部件、关键材料等,并实现了进口替代。 □是 □否
 形成核心技术和主营业务收入相关的发明专利(含国防专利)合计50项以上。 □是 □否
 (公司可选择科创属性评价标准一或者科创属性评价标准二进行说明。选择科创属性评价标准二的,可选择其中任意一项情形进行说明。)
 (三)公司认为需要说明的其他情况(如有)
   三、结论性意见
 经充分评估,发行人认为自身符合科创属性和科创板定位要求,申请到科创板发行上市。
 ××股份有限公司
 年 月 日
 附件2
 关于发行人科创属性符合科创板定位要求的专项意见
 (参考示范格式)
 上海证券交易所:
 根据《科创板首次公开发行股票注册管理办法(试行)》《科创属性评价指引(试行)》和《上海证券交易所科创板股票发行上市审核规则》《上海证券交易所科创板企业发行上市申报及推荐暂行规定》等有关规定,××保荐机构及指定的保荐代表人已经勤勉尽责,诚实守信,严格按照相关业务规则、行业执业规范和道德准则,对××发行人是否符合科创板定位进行了充分的核查论证工作,出具本专项意见,并保证所出具意见的真实性、准确性和完整性。
   一、发行人简介与主营业务概述
   二、保荐机构关于发行人符合科创板定位的核查情况
 (一)发行人符合科创板行业领域的核查情况
 保荐机构应根据相关权威产业分类目录、规划或指南的规定,核查发行人所属行业领域是否属于本规定第三条规定的行业领域,简要说明理由和依据,并就发行人主营业务与所属行业领域归类是否匹配,与可比公司行业领域归类是否存在显著差异发表核查意见。
 (二)发行人符合科创属性要求的核查情况
 1.保荐机构应根据本所相关规定,对报告期内发行人的研发投入归集、营业收入确认等进行核查,并就发行人最近三年累计研发投入及占最近三年累计营业收入的比例是否真实、准确发表核查意见。
 2.保荐机构应就发行人列报的发明专利权利归属、有效期限、有无权利受限或诉讼纠纷以及在主要产品(服务)中的应用情况等进行核查,并就发行人形成主营业务收入的发明专利数量是否真实、准确发表核查意见。
 3.保荐机构应就发行人营业收入增长情况进行核查,并就发行人营业收入复合增长率是否真实、准确发表核查意见。如发行人按照《审核规则》二十二条第二款第(五)项上市标准申报科创板上市,保荐机构应就发行人是否符合该上市标准发表核查意见。
 4.保荐机构应就发行人符合本规定第五条规定的情形提供的依据进行核查,并就依据是否真实、准确发表核查意见。
 (三)保荐机构认为需要说明的其他情况(如有)
   三、关于发行人符合科创板定位的结论性意见
 经充分核查,本保荐机构认为发行人具有科创属性,符合科创板定位,推荐其到科创板发行上市。
 ××保荐机构
 年 月 日
     
     
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