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Notice by the Shanghai Stock Exchange of Issuing the Guidelines of the Shanghai Stock Exchange on Handling the Transfer of Shares of Listed Companies by Agreement (2021 Revision) [Effective]
上海证券交易所关于发布《上海证券交易所上市公司股份协议转让业务办理指引(2021年修订)》的通知 [现行有效]
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Notice by the Shanghai Stock Exchange of Issuing the Guidelines of the Shanghai Stock Exchange on Handling the Transfer of Shares of Listed Companies by Agreement (2021 Revision) 

上海证券交易所关于发布《上海证券交易所上市公司股份协议转让业务办理指引(2021年修订)》的通知

(No. 67 [2021] of the Shanghai Stock Exchange) (上证发〔2021〕67号)

All market participants: 各市场参与人:
For the purposes of further optimizing the handling mechanism for transfer of shares of listed companies by agreement, streamlining the handling materials, and improving the service level, the Shanghai Stock Exchange (“SSE”) has revised the Guidelines of the Shanghai Stock Exchange on Handling the Transfer of Shares of Listed Companies by Agreement, which are hereby issued and shall come into force on the date of issuance. 为进一步优化上市公司股份协议转让业务办理机制,精简办理材料,提升服务水平,上海证券交易所(以下简称本所)对《上海证券交易所上市公司股份协议转让业务办理指引》进行了修订,现予以发布,自发布之日起施行。
The Guidelines of the Shanghai Stock Exchange on Handling the Transfer of Shares of Listed Companies by Agreement (No. 6 [2018], SSE) issued by the SSE on January 26, 2018 shall be repealed concurrently. 本所于2018年1月26日发布的《上海证券交易所上市公司股份协议转让业务办理指引》(上证发〔2018〕6号)同时废止。
 
特此通知。
Annex: Guidelines of the Shanghai Stock Exchange on Handling the Transfer of Shares of Listed Companies by Agreement (2021 Revision) 附件:上海证券交易所上市公司股份协议转让业务办理指引(2021年修订)
Shanghai Stock Exchange 上海证券交易所
August 20, 2021 二〇二一年八月二十日
Annex 附件
Guidelines of the Shanghai Stock Exchange on Handling the Transfer of Shares of Listed Companies 上海证券交易所上市公司股份协议转让
by Agreement (2021 Revision) 业务办理指引(2021年修订)
Article 1 These Guidelines are developed for the purposes of regulating the transfer of shares of listed companies by agreement in the Shanghai Stock Exchange (“SSE”), specifying the business acceptance requirements and handling procedures, and improving the market service levels, in accordance with the Securities Law of the People's Republic of China, the Measures for the Administration of the Takeover of Listed Companies, the Several Provisions on Shareholding Reduction by Shareholders, Directors, Supervisors and Senior Executives of Listed Companies, and other laws, administrative regulations, departmental rules and regulatory documents (hereinafter referred to as “laws and regulations”), as well as the Interim Measures for Listed Companies to Handle the Business of Assignment of Tradable Shares by Agreement (hereinafter referred to as the “Interim Measures”), the Detailed Implementing Rules of the Shanghai Stock Exchange for Shareholding Reduction by Shareholders, Directors, Supervisors and Senior Executives of Listed Companies (hereinafter referred to as “Detailed Implementing Rules for Shareholding Reduction”) and other relevant provisions.   第一条 为规范上海证券交易所(以下简称本所)上市公司股份协议转让业务,明确业务受理要求和办理程序,提升市场服务水平,依据《中华人民共和国证券法》《上市公司收购管理办法》《上市公司股东、董监高减持股份的若干规定》等法律、行政法规、部门规章和规范性文件(以下简称法律法规)及《上市公司流通股协议转让业务办理暂行规则》(以下简称《暂行规则》)、《上海证券交易所上市公司股东及董事、监事、高级管理人员减持股份实施细则》(以下简称《减持细则》)等有关规定,制定本指引。
Article 2 Where a transferor and a transferee (hereinafter referred to as “both parties to a transfer”) that transfer tradable shares of a company listed in the SSE (hereinafter referred to as “transfer by agreement”) under an agreement signed in accordance with the law, these Guidelines shall apply.   第二条 出让方和受让方(以下统称转让双方)依据依法订立的协议,办理本所上市公司流通股股份转让业务(以下简称协议转让),适用本指引。
Where there are separate rules of the SSE on default disposal of stock pledge repo transactions through transfer by agreement, such rules shall prevail. 本所对通过协议转让方式进行股票质押式回购交易违约处置另有规定的,从其规定。
Article 3 To transfer shares of a listed company by agreement in the SSE, the both parties to a transfer shall comply with the relevant provisions of laws and regulations, and business rules of the SSE, but shall not break the promise made by both parties or either party.   第三条 转让双方在本所办理上市公司股份协议转让业务,应当遵守法律法规、本所业务规则的相关规定,不得违反转让双方或任何一方作出的承诺。
Both parties to a transfer shall pledge that the handling materials submitted to the SSE are authentic, accurate, complete, lawful and compliant, and pledge that the shares to be transferred are assets legally obtained and of which they have the right to dispose, they have undergone the corresponding approval or filing procedures in accordance with relevant regulations, and assume the risks associated with transfer by agreement and the legal responsibilities related thereto. 转让双方保证向本所提交的办理材料真实、准确、完整、合法合规,保证拟转让的股份为依法取得、有权处分的资产,且已根据相关规定履行相应的审批或备案程序,并自行承担协议转让的风险和与之有关的法律责任。
Article 4 To handle transfer by agreement according to the provisions of the Interim Measures and these Guidelines, the SSE shall check whether the handling materials submitted by both parties to a transfer are complete, and issue confirmation opinions on qualified transfer by agreement.   第四条 本所依据《暂行规则》及本指引的规定办理协议转让业务,对转让双方提交的办理材料进行完备性核对,并对符合条件的协议转让出具确认意见。
Article 5 Under any of the following circumstances, the handling materials on transfer by agreement may be submitted to the SSE:   第五条 具有以下情形之一的,可以向本所提交协议转让办理材料:
(1) A transfer by agreement under which the number of shares to be transferred is not less than 5% of the total capital stocks of the listed company. (一) 转让股份数量不低于上市公司总股本5%的协议转让;
(2) A transfer by agreement under which both parties to a transfer have an actual control relationship or are under the control of the same controller, and the number of shares to be transferred is not subject to the limitation of not less than 5% in the preceding paragraph. (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协议转让,转让股份数量不受前项不低于5%的限制;
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