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Notice by the Shanghai Stock Exchange of Issuing the Guidelines No. 3 of the Shanghai Stock Exchange Governing the Examination of Offering and Listing on the STAR Market—Business Consulting and Communication [Effective]
上海证券交易所关于发布《上海证券交易所科创板发行上市审核业务指南第3号——业务咨询沟通》的通知 [现行有效]
【法宝引证码】
 
  
  
Notice by the Shanghai Stock Exchange of Issuing the Guidelines No. 3 of the Shanghai Stock Exchange Governing the Examination of Offering and Listing on the STAR Market—Business Consulting and Communication 

上海证券交易所关于发布《上海证券交易所科创板发行上市审核业务指南第3号--业务咨询沟通》的通知

(Letter No. 1193 [2021] of the Shanghai Stock Exchange) (上证函〔2021〕1193号)

All market participants: 各市场参与人:
For the purposes of regulating the consulting and communication concerning the examination of offering and listing on the STAR Market, resolving major difficult problems in a timely manner, and enhancing the application and examination quality, in accordance with the Rules of the Shanghai Stock Exchange Governing the Examination of the Offering and Listing of Stocks on the STAR Market, the Interim Provisions of the Shanghai Stock Exchange on Application and Recommendation for Offering and Listing of Enterprises on the STAR Market, and other relevant provisions, the Shanghai Stock Exchange (hereinafter referred to as the “SSE”) has developed the Guidelines No. 3 of the Shanghai Stock Exchange Governing the Examination of Offering and Listing on the STAR Market—Business Consulting and Communication, which are hereby issued and shall come into force on the date of issuance. 为了规范科创板发行上市审核相关业务咨询沟通、及时解决重大疑难问题、提高申报和审核质量,根据《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,上海证券交易所(以下简称本所)制定了《上海证券交易所科创板发行上市审核业务指南第3号--业务咨询沟通》,现予发布,并自发布之日起施行。
The full text of the aforesaid business guidelines is available in the column of “Business Guidelines and Procedures of the SSE” under “Rules” on the official website of the SSE (http://www.sse.com.cn). 上述业务指南全文可至本所网站(http://www.sse.com.cn)“规则”下的“本所业务指南与流程”栏目查询。
Annex: Guidelines No. 3 of the Shanghai Stock Exchange Governing the Examination of Offering and Listing on the STAR Market—Business Consulting and Communication 
特此通知。
Shanghai Stock Exchange 附件:上海证券交易所科创板发行上市审核业务指南第3号--业务咨询沟通
July 16, 2021 上海证券交易所
Annex 二○二一年七月十六日
Guidelines No. 3 of the Shanghai Stock Exchange Governing the Examination of Offering and Listing on the STAR Market—Business Consulting and Communication 附件
 上海证券交易所科创板发行上市审核业务指南第3号--业务咨询沟通
Chapter I General Provisions 

第一章 总则

Article 1 For the purposes of regulating the consulting and communication concerning the examination of offering and listing on the STAR Market of the Shanghai Stock Exchange (hereinafter referred to as the “SSE”), resolving major difficult problems in a timely manner, and enhancing the application and examination quality, these Guidelines are developed in accordance with the Rules of the Shanghai Stock Exchange Governing the Examination of the Offering and Listing of Stocks on the STAR Market, the Interim Provisions of the Shanghai Stock Exchange on Application and Recommendation for Offering and Listing of Enterprises on the STAR Market, and other relevant provisions.   第一条 为了规范上海证券交易所(以下简称本所)科创板发行上市审核相关业务咨询沟通,及时解决重大疑难问题,提高申报和审核质量,根据《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,制定本指南。
Article 2 These Guidelines shall apply to the business consulting and communication between issuers, sponsors and securities service institutions and the Center for the Examination of Listing on the SSE STAR Market (hereinafter referred to as the “Examination Center”) before the application for and during the examination of a project.   第二条 本指南适用于发行人、保荐人和证券服务机构在项目申报前和审核过程中与本所科创板上市审核中心(以下简称审核中心)进行的业务咨询沟通。
Article 3 Before submitting the application documents for offering and listing on the STAR Market, issuers, sponsors and securities service institutions may consult and communicate with the Examination Center about major difficult issues, unprecedented matters and other issues involving the understanding and application of the SSE's rules. If they have any doubt about examination inquiries after the first round of examination inquiries are made, they may consult and communicate with the Examination Center, and after the deliberation meeting of the Listing Committee, they may consult and communicate with the Examination Center on the relevant issues concerned in the examination and follow-up work requirements.   第三条 发行人、保荐人和证券服务机构在提交科创板发行上市申请文件前,对于重大疑难、无先例事项等涉及本所规则理解和适用问题,可以向审核中心咨询沟通;在首轮审核问询发出后,对审核问询问题存在疑问的,可以与审核中心进行咨询沟通;在上市委审议会议后,可以与审核中心就审核中关注的相关问题和后续工作要求进行咨询沟通。
Article 4 The sponsor shall, in accordance with the requirements of these Guidelines, diligently review the issues for consulting and communication, conduct in-depth analysis and make prudential judgments, perform the relevant internal procedures, and submit the materials for consulting and communication to the Examination Center.   第四条 保荐人应按照本指南要求认真梳理所需咨询沟通问题,进行深入分析和审慎判断,履行内部相关程序,向审核中心提交咨询沟通材料。
Where there are several issues for consulting and communication, all issues for consulting and communication shall be put forward at one time. 有多个咨询沟通问题的,应当一次性提出需要咨询沟通的全部问题。
Article 5 The Examination Center shall conduct analysis and research on the issues for consulting and communication raised by the issuer, the sponsor and the securities service institution, and offer specific opinions and recommendations.   第五条 审核中心对发行人、保荐人和证券服务机构提出的咨询沟通问题将及时进行分析研究,提出明确的意见和建议。
Article 6 The Examination Center shall assign at least two staff members to participate in on-site consulting according to the specific circumstances of a project. On-site consulting shall be carried out at the meeting room designated by the Examination Center, and whole-process audio and video recordings shall be made and archived.   第六条 审核中心根据项目的具体情况,至少安排两人参加现场咨询。现场咨询应当在审核中心指定的会议室进行,全程录音录像并存档。
Article 7 The personnel participating in business consulting and communication shall carry out their work in strict accordance with these Guidelines, and comply with the requirements for government integrity and work discipline.   第七条 参与业务咨询沟通的人员应严格按照本指南开展工作,遵守廉政要求和工作纪律。
Chapter II Consulting and Communication before Application 

第二章 申报前的咨询沟通

Article 8 The sponsor and the securities service institution may, after entering into tutoring, service or other agreements with the issuer and completing due diligence and before submitting offering and listing application documents, consult and communicate with the Examination Center on major difficult matters, unprecedented matters and other issues involving the understanding and application of the SSE's business rules.   第八条 保荐人和证券服务机构在与发行人签订辅导、服务等协议并完成尽职调查后,提交发行上市申请文件前,可以就重大疑难、无先例事项等涉及本所业务规则理解与适用的问题,向审核中心咨询沟通。
Article 9 The sponsor may submit consulting and communication materials through the “Business Consulting” column of the offering and listing examination system of the SSE (hereinafter referred to as the “examination system”).   第九条 保荐人可以通过本所发行上市审核业务系统(以下简称审核系统)“业务咨询”栏目提交咨询沟通材料。
The sponsor shall generally select written consulting methods. If the issues are complicated and difficult to be resolved by written consulting and face-to-face communication is indeed necessary, the sponsor may submit consulting and communication materials through “Business Consulting” column of the examination system and make an appointment for on-site consulting. 保荐人一般应选择书面咨询方式。问题复杂,难以通过书面咨询解决,确需当面沟通的,保荐人可以通过审核系统“业务咨询”栏目提交咨询沟通材料,并预约现场咨询。
Article 10 The business issues for consulting and communication before application by the issuer, the sponsor and the securities service institution mainly include:   第十条 发行人、保荐人和证券服务机构申报前咨询沟通的业务问题,主要包括:
(1) Major issues that involve requirements such as offering conditions and listing conditions, attributes of the STAR Market and information disclosure, which are difficult to be judged according to the existing rules. (一)涉及发行条件、上市条件、科创属性和信息披露等要求,按照现有规则难以做出判断的重大问题;
(2) There are no major unprecedented matters supported by cases in offering and listing examination. (二)发行上市审核中尚未有案例支持的重大无先例事项;
(3) Issues relating to the offering and listing examination standards due to adjustments to industrial policies. (三)因产业政策调整涉及发行上市审核标准适用的相关问题;
(4) Other issues on which consulting and communication are indeed required. (四)确需咨询沟通的其他问题。
Article 11 Any of the following circumstances does not fall within the scope of matters for consulting and communication before application:   第十一条 存在以下情形之一的,不属于申报前咨询沟通事项范围:
...... ......



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