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Notice of the Shenzhen Stock Exchange on Issuing the Detailed Implementing Rules of the Shenzhen Stock Exchange for Online Voting at Shareholders' Meetings of Listed Companies (2017 Revision) [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大会网络投票实施细则(2017年修订)》的通知 [现行有效]
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Notice of the Shenzhen Stock Exchange on Issuing the Detailed Implementing Rules of the Shenzhen Stock Exchange for Online Voting at Shareholders' Meetings of Listed Companies (2017 Revision) 

深圳证券交易所关于发布《深圳证券交易所上市公司股东大会网络投票实施细则(2017年修订)》的通知

(No. 692 [2017] of the Shenzhen Stock Exchange) (深证上〔2017〕692号)

All market participants: 各市场参与人:
For purposes of strengthening the risk management of online voting at shareholders' meetings of listed companies, promoting the steady development of businesses, and protecting investors' lawful rights and interests, the Shenzhen Stock Exchange has revised the Detailed Implementing Rules of the Shenzhen Stock Exchange for Online Voting at Shareholders' Meetings of Listed Companies, which are hereby issued, and shall come into force on November 13, 2017. 为加强对上市公司股东大会网络投票业务的风险管理,促进业务平稳发展,保护投资者合法权益,本所对《深圳证券交易所上市公司股东大会网络投票实施细则》进行了修订,现予以发布,自2017年11月13日起施行。
 
特此通知
Annex: Detailed Implementing Rules of the Shenzhen Stock Exchange for Online Voting at Shareholders' Meetings of Listed Companies (2017 Revision) 附件:《深圳证券交易所上市公司股东大会网络投票实施细则(2017年修订)》
Shenzhen Stock Exchange 深圳证券交易所
November 1, 2017 2017年11月1日
Detailed Implementing Rules of the Shenzhen Stock Exchange for Online Voting at Shareholders' Meetings of Listed Companies (2017 Revision) 深圳证券交易所上市公司股东大会网络投票实施细则(2017 年修订)
Chapter I General Provisions 

第一章 总则

 
Article 1 For purposes of regulating online voting at shareholders' meetings of listed companies, and protecting investors' lawful rights and interests, these Detailed Rules are developed in accordance with relevant laws, administrative regulations, departmental rules, regulatory documents, and business rules of the Shenzhen Stock Exchange (hereinafter referred to as the “SZSE”) .   第一条 为规范上市公司股东大会网络投票业务,保护投资者的合法权益,根据有关法律、行政法规、部门规章、规范性文件和深圳证券交易所(以下简称“本所”)业务规则,制定本细则。
Article 2 These Detailed Rules shall apply to online voting services for shareholders' meetings provided by listed companies to their shareholders through the SZSE's online voting system for shareholders' meetings.   第二条 本细则适用于上市公司利用本所股东大会网络投票系统向其股东提供股东大会网络投票服务。
Article 3 For the purpose of these Detailed Rules, “online voting system for shareholders' meetings of listed companies” (hereinafter referred to as the “online voting system”) means the information technology system through which the SZSE provides services by using network and communications technologies for the exercise of voting rights at shareholders' meetings by shareholders of listed companies. The online voting system covers the SZSE's trading system and Internet voting system (website: http://wltp.cninfo.com.cn). A listed company may choose the subsidiary on-site voting system to collect and summarize on-site voting data and authorize Shenzhen Securities Information Co., Ltd. (hereinafter referred to as the “Information Company”) to calculate online voting and on-site voting data on a consolidated basis.   第三条 本细则所称上市公司股东大会网络投票系统(以下简称“网络投票系统”)是指本所利用网络与通信技术,为上市公司股东行使股东大会表决权提供服务的信息技术系统。网络投票系统包括本所交易系统、互联网投票系统(网址:http://wltp.cninfo.com.cn )。上市公司可以选择使用现场投票辅助系统收集汇总现场投票数据,并委托深圳证券信息有限公司(以下简称“信息公司”)合并统计网络投票和现场投票数据。
Article 4 When convening shareholders' meetings, listed companies shall provide shareholders with online voting services for shareholders' meetings in addition to on-site voting at the meeting. On-site shareholders' meetings of listed companies shall be convened on the trading day of the SZSE.   第四条 上市公司召开股东大会,除现场会议投票外,应当向股东提供股东大会网络投票服务。上市公司股东大会现场会议应当在本所交易日召开。
Article 5 All shareholders registered on the date of record at the shareholders' meeting shall be entitled to exercise their voting rights through the online voting system.   第五条 股东大会股权登记日登记在册的所有股东,均有权通过网络投票系统行使表决权。
Article 6 The SZSE authorizes the Information Company to accept the authorization of listed companies to provide online voting services for shareholders' meetings. If a listed company provides shareholders with online voting services through the SZSE's online voting system, it shall enter into a service agreement with the Information Company.   第六条 本所授权信息公司接受上市公司委托,提供股东大会网络投票服务。上市公司通过本所网络投票系统为股东提供网络投票服务的,应当与信息公司签订服务协议。
Chapter II Preparations for Online Voting 

第二章 网络投票的准备工作

 
Article 7 A listed company shall give a specific explanation on the voting code of online voting, voting abbreviation, voting time, voting proposals, proposal types and other relevant matters in the notice of the shareholders' meeting.   第七条 上市公司在股东大会通知中,应当对网络投票的投票代码、投票简称、投票时间、投票提案、提案类型等有关事项作出明确说明。
Article 8 A listed company shall apply for opening online voting services through the SZSE's online voting system on the next trading day after the date when the notice of the shareholders' meeting is issued, and enter the basic materials on the shareholders' meeting, voting proposals, proposal types and other voting information in the system. The listed company shall complete the reexamination of voting information on the next trading day after the date of record, confirm the truthfulness, accuracy and integrity of voting information, and assume all possible risks and losses arising therefrom.   第八条 上市公司应当在股东大会通知发布日次一交易日在本所网络投票系统申请开通网络投票服务,并将股东大会基础资料、投票提案、提案类型等投票信息录入系统。上市公司应当在股权登记日次一交易日完成对投票信息的复核,确认投票信息的真实、准确和完整,并承担由此带来的一切可能的风险与损失。
Article 9 A listed company shall, at least two trading days before the convening of online voting, provide the electronic data on all shareholders registered by the date of record, including the name or title of shareholders, the account number of shareholders, number of shares held, and other content. The interval between the date of record of the shareholders' meeting of a listed company and the date when online voting commences shall not be less than two trading days.   第九条 上市公司应当在网络投票开始日的二个交易日前提供股权登记日登记在册的全部股东资料的电子数据,包括股东名称、股东账号、股份数量等内容。上市公司股东大会股权登记日和网络投票开始日之间应当至少间隔二个交易日。
Chapter III Voting through the Trading System 

第三章 通过交易系统投票

 
Article 10 The time when online voting conducted through the SZSE's trading system shall be trading hours of the SZSE on the date when the shareholders' meeting is convened.   第十条 本所交易系统网络投票时间为股东大会召开日的本所交易时间。
Article 11 The SZSE's trading system shall designate special voting codes and voting abbreviation for online voting at shareholders' meetings.   第十一条 本所交易系统对股东大会网络投票设置专门的投票代码及投票简称:
(1) The voting code for the main board and the SME board is “36 + last four digits of stock code”. (一)主板、中小企业板的投票代码为“36+ 股票代码的后四位”;
(2) The voting code for the GEM board begins with “365000” followed by the last four digits of the stock code. For example, if the stock code is “300001,” the voting code is “365001”; if the stock code is “301001,” the voting code is “366001”. (二)创业板的投票代码从“365000 ”起,按股票代码后四位顺序号编制,如股票代码为“300001”,则投票代码为“365001”;股票代码为“301001”,则投票代码为“366001”;
(3) The voting abbreviation is “XX voting,” and the voting abbreviation is set by the listed company based on its securities abbreviation. (三)投票简称为“XX 投票”,投票简称由上市公司根据其证券简称设置;
(4) The range of online voting codes of preferred stocks is from 369601 to 369899, of which the range of voting codes of preferred stocks on the main board is from 369601 to 369699, the range of voting codes of preferred stocks on the SME board is from 369701 to 369799, the range of voting codes of preferred stocks on the GEM board is from 369801 to 369899, and the abbreviation of online voting is “XX preferred stock voting.” (四)优先股网络投票代码区间为369601~369899,其中,主板优先股投票代码区间为369601~369699,中小企业板优先股投票代码区间为369701~369799 ,创业板优先股投票代码区间为369801~369899 ,网络投票的简称为“XX 优投”。
Article 12 A shareholder of a listed company that votes through the SZSE's trading system may log on the clients' terminal for trading of the securities company to participate in online voting.   第十二条 上市公司股东通过本所交易系统投票的,可以登录证券公司交易客户端,参加网络投票。
Chapter IV Voting through the Internet Voting System 

第四章 通过互联网投票系统投票

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