上市公司流通股协议转让业务办理暂行规则
第一条
为规范已完成股权分置改革上市公司的流通股股份协议转让行为，满足相关公司因正常经营所产生的并购重组等特定股份转让需求，维护证券市场秩序，保护投资者的合法权益，根据《公司法》和《证券法》，制定本规则。
第二条
上市公司流通股协议转让必须在证券交易所进行，由上海证券交易所、深圳证券交易所（以下统一简称“证券交易所”）和中国证券登记结算有限责任公司（以下简称“结算公司”）集中统一办理。
严禁进行场外非法股票交易和转让活动。
第三条 上市公司流通股股份转让涉及下列情形之一的，可以通过证券交易所和结算公司办理流通股协议转让手续：
（一）与上市公司收购及股东权益变动相关的股份转让；
（二）转让双方存在实际控制关系，或均受同一控制人所控制的；
（三）外国投资者战略投资上市公司所涉及的股份转让；
（四）中国证监会认定的其他情形。
收回股权分置改革中的垫付股份、行政划转上市公司股份等情形，比照本规则办理。
第四条 证券交易所负责对股份转让双方当事人提出的股份转让申请进行合规性确认。结算公司负责办理与股份转让相关的股份查询和过户登记业务。
第五条 证券交易所和结算公司对转让双方提交的申请材料进行形式审核，转让双方应当对其提供的申请材料的真实性、准确性、完整性和合法性负责。
第六条 股份持有人拟转让其持有的流通股股份，应当向结算公司提出查询拟转让股份持有状况的申请，并提交以下文件：
（一）股份持有查询申请表；
（二）股份持有人证券账户卡原件及复印件；
（三）股份持有人有效身份证明文件及复印件（境内法人需提供营业执照及复印件、法定代表人证明书、法定代表人身份证复印件、法定代表人授权委托书、经办人有效身份证明文件及复印件；境外法人需提供经公证的有效商业登记证明文件、授权人有效身份证明文件复印件、经办人有效身份证明文件及复印件；自然人需提供身份证，委托他人代办的还需提供经公证的委托代办书、代办人身份证及复印件，以下同）；
（四）结算公司要求提交的其他文件。
结算公司对前述股份查询的申请材料进行形式审核，符合要求的，予以查询，并出具持有证明文件。
第七条 股份转让协议达成后，股份转让双方应向证券交易所申请确认其股份转让合规性，并提交以下文件：
（一）股份转让确认申请表；
（二）股份转让协议正本；
（三）股份转让双方有效身份证明文件及复印件；
（四）股份转让双方的证券账户卡；
（五）结算公司出具的拟转让股份的持有证明文件；
（六）证券交易所要求提交的其他文件。
第八条
证券交易所对转让申请材料进行形式审核，自受理股份转让确认申请后的3个交易日内做出是否予以确认的决定。需要相关当事人补充文件的，补充文件的时间不计算在审核时限内。
第九条 取得证券交易所对股份转让的确认文件后，股份转让双方应向结算公司申请办理股份转让过户登记，并提交以下文件：
（一）股份转让过户登记申请表；
（二）股份转让协议正本；
（三）证券交易所出具的股份转让确认书；
（四）股份转让双方有效身份证明文件及复印件；
（五）股份转让双方的证券账户卡原件及复印件；
（六）结算公司要求提交的其他文件。
第十条 结算公司对过户登记申请材料进行形式审核，审核通过的，于3个交易日内办理过户登记手续。
第十一条 股份持有人转让其持有的流通股股份，涉及以下情形的，在办理股份转让确认及过户登记时，还应当向证券交易所和结算公司提交以下文件：
（一）涉及信息披露的，需提供本次股份转让的公告；
（二）拟转让股份由上市公司董事、监事、高级管理人员持有的，或者上市公司董事、监事、高级管理人员离职后拟转让股份的，需提供上市公司董事会的相关证明文件；
（三）转让双方存在实际控制关系，或者均为同一控制人所控制的，需提供有权机关出具的可证明上述关系存在的法律文件；
（四）属于上市公司收购的，需提供已公告的收购报告书；触发要约收购义务的，还应当提供中国证监会豁免要约收购的文件或者要约收购结果公告；
（五）涉及国有主体所持股份的，需提供国有资产监督管理机构的批准文件；
（六）涉及外国投资者对上市公司战略投资的，需提供商务部的批准文件；
（七）银行业上市公司股东持股变动达到或者超过总股本5%的，需提供中国银行业监督管理委员会的批准文件；
（八）证券业上市公司股东持股变动达到或者超过总股本5%的，需提供中国证券监督管理委员会的批准文件；
（九）保险业上市公司股东持股变动达到或者超过总股本10%的，需提供中国保险监督管理委员会的批准文件；
（十）其他须经行政审批方可进行的股份转让，需提供有关主管部门的批准文件。
第十二条 协议转让双方可以临时委托结算公司保管协议转让的股票，并将资金存放于指定的银行。具体操作办法按照结算公司的有关规定办理。
第十三条
因司法强制执行或自然人继承、遗赠或者法人丧失法人资格涉及股份变动的，申请人应当提供有效的股权归属证明文件，并按照结算公司的有关规定办理相关手续。
第十四条 依法负有信息披露义务的相关当事人，应就股份转让事项及时予以披露。
第十五条
股份过户完成后3个月内，同一股份受让人不得就其所受让的股份再次向证券交易所和结算公司提出有关协议转让的申请，法律法规另有规定的除外。
第十六条
股份出让人不得以规避限售规定为目的进行股份转让。对于未按照本规则规定提出的股份转让申请，证券交易所有权对股份转让不予确认，结算公司有权不予办理过户登记手续。
第十七条
股份转让双方当事人应当按照证券交易所和结算公司关于股票交易的相关收费规定，缴纳股份转让和过户登记手续费，并应当按照国家有关规定缴纳印花税。
第十八条 本规则由证券交易所和结算公司共同解释。
第十九条 本规则经中国证监会批准后生效，修改时亦同。
第二十条 本规则自公布之日起实施。
上海证券交易所
深圳证券交易所
中国证券登记结算有限责任公司
二○○六年八月十四日
|
Interim Measures for Listed Companies to Handle the Business of
Assignment of Tradable Shares by Agreement
Interim Measures for Listed Companies to
Handle the Business of Assignment of Tradable Shares by Agreement
Article 1 The present Rules are formulated in accordance with the
“Company Law” and the “Securities Law” for the purpose of regulating
the agreement-based assignment of tradable shares by the listed
companies that have accomplished the share-trading reform,
satisfying certain share assignment demands of the relevant
companies due to their normal operations (such as merger,
acquisition or restructuring, etc.), maintaining the order of the
securities market, and protecting the lawful rights and interests of
investors.
Article 2 The agreement-based assignment of tradable shares by
listed companies must be carried out in a stock exchange. Shanghai
Stock Exchange, Shenzhen Stock Exchange (hereinafter uniformly
referred to as “stock exchange”) and China Securities Depository &
Clearing Corporation Limited (hereinafter referred to as “CSDCCL”)
shall uniformly handle such activities.
It is strictly prohibited to carry out illegal off-the-exchange
stock trading and assignment activities.
Article 3 Where the assignment of tradable shares by a listed
company involves any of the following circumstances, the listed
company may go through the procedures for agreement-based assignment
of tradable shares via the stock exchange or CSDCCL:
(1) The share assignment is relevant to the listed company’s
acquisition or shareholder’s equity change;
(2) There exists a relationship of actual control between the
assignor and the assignee, or both parties are controlled by the
same controller;
(3) The share assignment is involved in a foreign investor’s
strategic investments in a listed company; and
(4) Other circumstances ascertained by CSRC.
In case of recovery of the prepaid shares in the share-trading
reform, or administrative allotment of shares to a listed company,
etc., the matter shall be handled by analogy to the present Rules.
Article 4 A stock exchange shall take charge of confirming the
regularity of the application filed by both parties to a share
assignment. CSDCCL shall take charge of handling the inquiries of
shares relevant to assignment and the registration of assignment.
Article 5 A stock exchange and CSDCCL shall make a formal
examination of the application materials submitted by both the
assignor and the assignee, and both the assignor and the assignee
shall be responsible for the authenticity, accuracy, entirety and
legality of the provided application materials.
Article 6 A shareholder that intends to assign his tradable shares
shall file an application to CSDCCL for inquiring the holding of the
shares to be assigned, and submit the following documents:
(1) an application form for inquiring about the holding of shares;
(2) the original copy and a photocopy of the shareholder’s
securities account card;
(3) the shareholder’s valid identity certificate and a photocopy
thereof (in the case of a domestic legal person, a business license
and a photocopy thereof, a certificate of the legal representative,
a photocopy of the legal representative identity card, a power of
attorney of the legal representative, the valid identity certificate
of the handler and a photocopy thereof; in the case of an overseas
legal person, a notarized proof document on effective commercial
registration, a photocopy of the valid identity certificate of the
authorizer, the valid identity certificate of handler and a
photocopy thereof; in the case of a natural person, an identity
card, and in addition, if he entrusts someone else to be his agent,
provide a notarized power of attorney, the handler’s identity card
and a photocopy thereof, the same hereafter);
(4) other documents submitted by CSDCCL.
CSDCCL shall make a formal examination of the application materials
for inquiry of the foregoing shares. If the application is
qualified, CSDCCL shall permit the inquiry, and issue a proof
document on the holding.
Article 7 After the share assignment agreement is reached, both
parties to the share assignment shall apply to the stock exchange
for confirming the regularity of the share assignment, and submit
the following documents:
(1) an application form for confirmation of the share assignment;
(2) a reserved copy of the share assignment agreement;
(3) valid identity certificates of both parties to the share
assignment and photocopies thereof;
(4) securities account cards of both parties to the share
assignment;
(5) proof document on the holding, which is issued by CSDCCL
regarding the shares to be assigned; and
(6) other documents required by the stock exchange to be submitted.
Article 8 A stock exchange that makes a formal examination on the
application materials for assignment shall, within 3 trading days as
of acceptance of the application for confirmation of share
assignment, make a decision on whether to confirm it or not. If the
party concerned is required to supplement any document, the time for
supplementing documents shall not be counted into the time limit for
examination.
Article 9 After obtaining the stock exchange’s documents on
confirming the share assignment, both parties to the share
assignment shall apply to CSDCCL for making registration of the
share assignment, and submit the following documents:
(1) the application form for registration of the share assignment;
(2) a reserved copy of the share assignment agreement;
(3) a letter of confirmation of share assignment as issued by the
stock exchange;
(4) valid identity certificates of both parties to the share
assignment and photocopies thereof;
(5) original copies of securities account cards of both parties to
the share assignment and photocopies thereof; and
(6) other documents required by CSDCCL to be submitted.
Article 10 CSDCCL shall make a formal examination on the application
materials for registration of assignment, and shall, if the
application has passed the examination, make registration of the
assignment within 3 trading days.
Article 11 Where a shareholder is under any of the following
circumstances when assigning the tradable shares he holds, he shall,
when confirming the share assignment and making registration of the
assignment, submit the following documents to the stock exchange or
CSDCCL:
(1) If the assignment involves disclosure of information, an
announcement of the share assignment of the present time needs to be
provided;
(2) If the shares to be assigned are held by any director,
supervisor or senior manager of the listed company, or any director,
supervisor or senior manager of the listed company intends to assign
shares after leaving his job, the relevant proof document of the
listed company’ board of directors needs to be provided;
(3) If there exists a relationship of actual control between both
the assignor and the assignee, or both parties are controlled by a
same controller, a legal document which is issued by the authority
concerned and which may prove the existence of the above-mentioned
relationship needs to be provided;
(4) If the listed company is acquired, the announced acquisition
report needs to be provided; if it causes the obligation of tender
offer, it shall, in addition, provide the document of CSRC on
exemption of the tender offer or the announcement of the result of
the tender offer;
(5) If the shares held by a state-owned subject are involved, the
approval document of the state-owned assets supervision and
administration authority needs to be provided;
(6) If a foreign investor’s strategic investments to the listed
company are involved, the approval document of the Ministry of
Commerce needs to be provided;
(7) If the shareholder equity change of a listed company in the
banking industry reaches or exceeds 5% of the total stock capital,
the approval document of China Banking Regulatory Commission needs
to be provided;
(8) If the shareholder equity change of a listed company in the
securities industry reaches or exceeds 5% of the total stock
capital, the approval document of China Securities Regulatory
Commission needs to be provided;
(9) If the shareholder equity change of a listed company in the
insurance industry reaches or exceeds 10% of the total stock
capital, the approval document of China Insurance Regulatory
Commission needs to be provided; and
(10) For any other share assignment which must be carried out upon
administrative approval, the approval document of the relevant
competent authority needs to be provided.
Article 12 Both parties to the assignment by agreement may
temporarily entrust CSDCCL to keep custody of the stocks under
assignment by agreement, and deposit the funds in a designated bank.
The specific operational measures shall be in accord with the
relevant provisions of CSDCCL.
Article 13 In case of any change with shares due to judicial
compulsory enforcement, of a natural person’s inheritance or
bequeathment, or of the disqualification of a legal person, the
applicant shall provide a valid proof document on the belongingness
of the stock right, and shall go through the relevant procedures in
accordance with the relevant provisions of CSDCCL.
Article 14 A relevant party who is required by law to be obligated
for disclosing information shall disclose the share assignment
matters in time.
Article 15 Within 3 months after accomplishment of the share
assignment registration, the same share assignee shall not file a
second application to the stock exchange or CSDCCL for assignment by
agreement regarding the shares assigned to it, unless it is
otherwise prescribed in any law or regulation.
Article 16 A share assignor shall not assign shares for the purpose
of evading the relevant provisions on restriction of sale. With
respect to an application for share assignment which is filed not
according to the present Rules, the stock exchange shall have the
right to refuse to confirm the share assignment, and CSDCCL shall
have the right to refuse to make registration of the assignment.
Article 17 Both parties to a share assignment shall, in accordance
with the provisions of the stock exchange and CSDCCL on fee charges
concerning stock trading, pay commission charges for share
assignment and registration of assignment, and shall pay the stamp
duty in accordance with the relevant provisions of the state.
Article 18 The power and responsibility to interpret the present
Rules shall jointly remain with the stock exchanges and CSDCCL.
Article 19 The present Rules shall become effective upon approval of
CSRC, and so shall be the revision thereof.
Article 20 The present Rules shall come into force on the date of
promulgation.
Shanghai Stock Exchange
Shenzhen Stock Exchange
China Securities Depository & Clearing Corporation Limited
August 14, 2006 |
