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Notice of the Shenzhen Stock Exchange on Amending the Stock Listing Rules of the Shenzhen Stock Exchange and the Rules of the Shenzhen Stock Exchange for Stock Listing on ChiNext (2018) [Revised]
深圳证券交易所关于修改《深圳证券交易所股票上市规则》《深圳证券交易所创业板股票上市规则》的通知(2018) [已被修订]
【法宝引证码】

 
Notice of the Shenzhen Stock Exchange on Amending the Stock Listing Rules of the Shenzhen Stock Exchange and the Rules of the Shenzhen Stock Exchange for Stock Listing on ChiNext 

深圳证券交易所关于修改《深圳证券交易所股票上市规则》《深圳证券交易所创业板股票上市规则》的通知

(No. 166 [2018] of the Shenzhen Stock Exchange) (深证上〔2018〕166号)

All market participants: 各市场参与人:
To further consolidate the institutional foundation, improve the standardized operation of listed companies, fully protect the legitimate rights and interests of minority investors, and promote the long-term stable and sound development of the capital market, as deliberated and adopted by the Board of Governors of the Shenzhen Stock Exchange ( “SZSE”) and approved by the China Securities Regulatory Commission, the SZSE has amended the relevant articles of the Stock Listing Rules of the Shenzhen Stock Exchange (2014 Revision) (hereinafter referred to as the “former Listing Rules”) and the Rules of the Shenzhen Stock Exchange for Stock Listing on ChiNext (2014 Revision) (hereinafter referred to as the “former ChiNext Listing Rules” as follows: 为进一步夯实制度基础,提升上市公司规范运作水平,充分保障中小投资者合法权益,促进资本市场长期稳定健康发展,经本所理事会审议通过并报经中国证监会批准,本所对《深圳证券交易所股票上市规则(2014年修订)》(以下简称原《上市规则》)《深圳证券交易所创业板股票上市规则(2014年修订)》(以下简称原《创业板上市规则》)的相关条文进行了修改,具体如下:
I. One article is added to the former Listing Rules and the former ChiNext Listing Rules respectively as Article 3.1.12 and Article 3.1.17: “A listed company shall establish an audit committee under the board of directors, and the internal audit department shall be responsible to the audit committee and report the work to the audit committee. Independent directors in the audit committee shall account for more than half of the total number of directors and serve as conveners, and at least one independent director shall be accounting professionals.”   一、原《上市规则》和原《创业板上市规则》分别新增一条,作为第3.1.12条和第3.1.17条:“上市公司应当在董事会下设立审计委员会,内部审计部门对审计委员会负责,向审计委员会报告工作。审计委员会中独立董事应当占半数以上并担任召集人,且至少有一名独立董事是会计专业人士。”
II. One article is added to the former Listing Rules and the former ChiNext Listing Rules respectively as Article 6.7: “An accounting firm hired by a listed company to provide accounting statement auditing, net asset verification and other relevant services shall be qualified for engaging in the relevant securities and futures business. The employment or dismissal of an accounting firm by a company must be subject to the decision of the shareholders' meeting, and the board of directors is not allowed to appoint any accounting firm before the shareholders' meeting makes a decision thereon. To dismiss the accounting firm or not renew the employment thereof, a company shall notify the accounting firm in advance. When the dismissal of the accounting firm is being voted at a shareholders' meeting, the accounting firm may state its opinion. If the accounting firm resigns, it shall explain to the shareholders' meeting regarding whether the company has any non-compliance.”   二、原《上市规则》和原《创业板上市规则》分别新增一条,作为第6.7条:“上市公司聘请为其提供会计报表审计、净资产验证及其他相关服务的会计师事务所应当具有执行证券、期货相关业务的资格。公司聘请或者解聘会计师事务所必须由股东大会决定,董事会不得在股东大会决定前委任会计师事务所。公司解聘或者不再续聘会计师事务所时,应当事先通知会计师事务所。公司股东大会就解聘会计师事务所进行表决时,会计师事务所可以陈述意见。会计师事务所提出辞聘的,应当向股东大会说明公司有无不当情形。”
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