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<span>点击敎ͼš <script language="JavaScript" type="text/JavaScript" src="/Common/GetHits.aspx?id=14329"></script> </span> <span>ã€?a href="/User/Content/Favorite.aspx?Action=add&Id=14329">收藏</a>ã€?/span> <span>ã€?a href="/Print.aspx?id=14329">打印文章</a>ã€?/span> </span> <span><span id="content_AdminEdit"></span> <script type="text/javascript"> function CheckAdminStatus(id) { var x=new AjaxRequest('XML',''); x.para = ['itemId='+id]; x.post('admineditcheck','/ajax.aspx',function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; if(status=='OK') { var managedir = "/Common/GetContentEdit.aspx?itemId=14329" ; document.getElementById("content_AdminEdit").innerHTML = "ã€?a href='" + managedir + "' target='_blank'>˜q›å…¥åŽå°¾~–辑</a>ã€?; } }); } CheckAdminStatus(14329); </script></span> <span> <span id="content_signin"></span><span id="content_SigninAjaxStatus"></span> <script type="text/javascript"> function GetContentSigninStatus(id) { var x = 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document.getElementById("content_signin").innerHTML = "【已˜q‡ç­¾æ”¶æˆªæ­¢æ—¶é—´ã€?; break; } } ); } GetContentSigninStatus('14329'); </script></span> </div> <div class="c_content_text"> <div class="c_content_overflow" id="fontzoom"> <p> </p> <p style="text-indent: 24pt; text-align: center;"><img alt="" src="/FthZdrW0wd/sfag/2020/2/202002281632124277.jpg" style="width: 554px; height: 281px;" /></p> <p style="text-indent:24.0pt;mso-char-indent-count:2.0"><span lang="EN-US" style="font-family:仿宋;mso-bidi-font-family:Helvetica;color:#404040">1998</span><span style="font-family:仿宋;mso-bidi-font-family:Helvetica;color:#404040">òq?span lang="EN-US">12</span>æœ?span lang="EN-US">29</span>日第九届全国人民代表大会常务委员会第六次会议通过<span lang="EN-US"><o:p></o:p></span></span></p> <p style="text-indent:24.0pt;mso-char-indent-count:2.0"><span style="font-family: 仿宋;mso-bidi-font-family:Helvetica;color:#404040">æ ÒŽ®<span lang="EN-US">2004</span>òq?span lang="EN-US">8</span>æœ?span lang="EN-US">28</span>日第十届全国人民代表大会常务委员会第十一‹Æ¡ä¼šè®®ã€Šå…³äºŽä¿®æ”V€ˆä¸­åŽäh民共和国证券法〉的军_®šã€‹ç¬¬ä¸€‹Æ¡ä¿®æ­?span lang="EN-US"><o:p></o:p></span></span></p> <p style="text-indent:24.0pt;mso-char-indent-count:2.0"><span lang="EN-US" style="font-family:仿宋;mso-bidi-font-family:Helvetica;color:#404040">2005</span><span style="font-family:仿宋;mso-bidi-font-family:Helvetica;color:#404040">òq?span lang="EN-US">10</span>æœ?span lang="EN-US">27</span>日第十届全国人民代表大会常务委员会第十八‹Æ¡ä¼šè®®ç¬¬ä¸€‹Æ¡ä¿®è®?span lang="EN-US"><o:p></o:p></span></span></p> <p style="text-indent:24.0pt;mso-char-indent-count:2.0"><span style="font-family: 仿宋;mso-bidi-font-family:Helvetica;color:#404040">æ ÒŽ®<span lang="EN-US">2013</span>òq?span lang="EN-US">6</span>æœ?span lang="EN-US">29</span>日第十二届全国äh民代表大会常务委员会½W¬ä¸‰‹Æ¡ä¼šè®®ã€Šå…³äºŽä¿®æ”V€ˆä¸­åŽäh民共和国文物保护法〉等十二部法律的军_®šã€‹ç¬¬äºŒæ¬¡ä¿®æ­£<span lang="EN-US"><o:p></o:p></span></span></p> <p style="text-indent:24.0pt;mso-char-indent-count:2.0"><span style="font-family: 仿宋;mso-bidi-font-family:Helvetica;color:#404040">æ ÒŽ®<span lang="EN-US">2014</span>òq?span lang="EN-US">8</span>æœ?span lang="EN-US">31</span>日第十二届全国äh民代表大会常务委员会½W¬å‹Æ¡ä¼šè®®ã€Šå…³äºŽä¿®æ”V€ˆä¸­åŽäh民共和国保险法〉等五部法律的决定》第三次修正<span lang="EN-US"><o:p></o:p></span></span></p> <p style="text-indent:24.0pt;mso-char-indent-count:2.0"><span lang="EN-US" style="font-family:仿宋;mso-bidi-font-family:Helvetica;color:#404040">2019</span><span style="font-family:仿宋;mso-bidi-font-family:Helvetica;color:#404040">òq?span lang="EN-US">12</span>æœ?span lang="EN-US">28</span>日第十三届全国äh民代表大会常务委员会½W¬åäº”次会议½W¬äºŒ‹Æ¡ä¿®è®?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.1pt;mso-char-indent-count: 2.0"><b><span style="font-size:14.0pt;font-family:仿宋;color:#404040">目录</span></b><span lang="EN-US" style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040"><o:p></o:p></span></p> <p style="margin:0cm;margin-bottom:.0001pt"><span style="font-size:14.0pt; font-family:仿宋;mso-bidi-font-family:Helvetica;color:#404040">½W¬ä¸€ç«?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>æ€Õdˆ™<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt"><span style="font-size:14.0pt; font-family:仿宋;mso-bidi-font-family:Helvetica;color:#404040">½W¬äºŒç«?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券发行<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt"><span style="font-size:14.0pt; font-family:仿宋;mso-bidi-font-family:Helvetica;color:#404040">½W¬ä¸‰ç«?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券交易<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:14.0pt;mso-char-indent-count: 1.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€èŠ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>一般规å®?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:14.0pt;mso-char-indent-count: 1.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬äºŒèŠ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券上市<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:14.0pt;mso-char-indent-count: 1.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸‰èŠ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>¼›æ­¢çš„交易行ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt"><span style="font-size:14.0pt; font-family:仿宋;mso-bidi-font-family:Helvetica;color:#404040">½W¬å››ç«?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>上市公司的收è´?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt"><span style="font-size:14.0pt; font-family:仿宋;mso-bidi-font-family:Helvetica;color:#404040">½W¬äº”ç«?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>信息披露<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt"><span style="font-size:14.0pt; font-family:仿宋;mso-bidi-font-family:Helvetica;color:#404040">½W¬å…­ç«?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>投资者保æŠ?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt"><span style="font-size:14.0pt; font-family:仿宋;mso-bidi-font-family:Helvetica;color:#404040">½W¬ä¸ƒç«?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券交易场所<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt"><span style="font-size:14.0pt; font-family:仿宋;mso-bidi-font-family:Helvetica;color:#404040">½W¬å…«ç«?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券公司<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt"><span style="font-size:14.0pt; font-family:仿宋;mso-bidi-font-family:Helvetica;color:#404040">½W¬ä¹ç«?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券登记¾l“算机构<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt"><span style="font-size:14.0pt; font-family:仿宋;mso-bidi-font-family:Helvetica;color:#404040">½W¬åç«?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券服务机构<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt"><span style="font-size:14.0pt; font-family:仿宋;mso-bidi-font-family:Helvetica;color:#404040">½W¬åä¸€ç«?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券业协ä¼?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt"><span style="font-size:14.0pt; 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style="mso-spacerun:yes">  </span></span>国务院证券监督管理机构依法对全国证券市场实行集中¾lŸä¸€ç›‘督½Ž¡ç†ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">国务院证券监督管理机构根据需要可以设立派出机构,按照授权履行监督½Ž¡ç†èŒè´£ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å…«æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>国家审计机关依法对证åˆæ€º¤æ˜“场所、证券公司、证券登记结½Ž—机构、证券监督管理机构进行审计监督ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" style="margin:0cm;margin-bottom:.0001pt;text-align:center"><b><span style="font-size:14.0pt;font-family:仿宋;color:#404040">½W¬äºŒç«?span lang="EN-US"><span style="mso-spacerun:yes">  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color:#404040">åQˆå…­åQ‰ä»£æ”¶è‚¡‹ÆùN“¶è¡Œçš„名称及地址ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">依照本法规定聘请保荐人的åQŒè¿˜åº”当报送保荐äh出具的发行保荐书。依照本法规定实行承销的,˜q˜åº”当报送承销机构名称及有关的协议ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬åå››æ¡<span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>公司对公开发行股票所募集资金åQŒå¿…™åÀLŒ‰ç…§æ‹›è‚¡è¯´æ˜Žä¹¦æˆ–者其他公开发行募集文äšg所列资金用途ä‹É用;改变资金用途,必须¾lè‚¡ä¸œå¤§ä¼šä½œå‡ºå†³è®®ã€‚擅自改变用途,未作¾U æ­£çš„,或者未¾lè‚¡ä¸œå¤§ä¼šè®¤å¯çš„åQŒä¸å¾—公开发行新股ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬åäº”条<span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>公开发行公司债券åQŒåº”当符合下列条ä»Óž¼š<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆä¸€åQ‰å…·å¤‡å¥å…¨ä¸”˜qè¡Œè‰¯å¥½çš„组¾l‡æœºæž„ï¼›<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆäºŒåQ‰æœ€˜q‘三òq´åã^均可分配利润­‘³ä»¥æ”¯ä»˜å…¬å¸å€ºåˆ¸ä¸€òq´çš„利息åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆä¸‰åQ‰å›½åŠ¡é™¢è§„定的其他条件ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">公开发行公司债券½{šw›†çš„资金,必须按照公司债券募集办法所列资金用途ä‹É用;改变资金用途,必须¾lå€ºåˆ¸æŒæœ‰äºÞZ¼šè®®ä½œå‡ºå†³è®®ã€‚公开发行公司债券½{šw›†çš„资金,不得用于弥补亏损和非生äñ”性支出ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">上市公司发行可è{换äؓ股票的公司债券åQŒé™¤åº”当½W¦åˆ½W¬ä¸€‹Æ¾è§„定的条äšg外,˜q˜åº”当遵守本法第十二条第二款的规定。但是,按照公司债券募集办法åQŒä¸Šå¸‚公叔R€šè¿‡æ”¶è´­æœ¬å…¬å¸è‚¡ä»½çš„方式˜q›è¡Œå…¬å¸å€ºåˆ¸è½¬æ¢çš„除外ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span 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style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">依照前两‹Æ¾è§„定参与证券发行申è¯äh³¨å†Œçš„人员åQŒä¸å¾—与发行甌™¯·äººæœ‰åˆ©å®³å…³ç³»åQŒä¸å¾—直接或者间接接受发行申请äh的馈赠,不得持有所注册的发行申è¯ïLš„证券åQŒä¸å¾—私下与发行甌™¯·äºø™¿›è¡ŒæŽ¥è§¦ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬äºŒåäºŒæ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>国务院证券监督管理机构或者国务院授权的部门应当自受理证券发行甌™¯·æ–‡äšg之日起三个月内,依照法定条äšg和法定程序作å‡ÞZºˆä»¥æ³¨å†Œæˆ–者不予注册的军_®šåQŒå‘è¡Œähæ ÒŽ®è¦æ±‚补充、修改发行申è¯äh–‡ä»¶çš„æ—‰™—´ä¸è®¡½Ž—在内。不予注册的åQŒåº”当说明理由ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬äºŒåä¸‰æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券发行甌™¯·¾læ³¨å†ŒåŽåQŒå‘è¡Œäh应当依照法律、行政法规的规定åQŒåœ¨è¯åˆ¸å…¬å¼€å‘行前公告公开发行募集文äšgåQŒåƈž®†è¯¥æ–‡äšg¾|®å¤‡äºŽæŒ‡å®šåœºæ‰€ä¾›å…¬ä¼—查阅ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">发行证券的信息依法公开前,ä»ÖM½•çŸ¥æƒ…äºÞZ¸å¾—公开或者泄露该信息ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">发行äºÞZ¸å¾—在公告公开发行募集文äšg前发行证券ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬äºŒåå››æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>国务院证券监督管理机构或者国务院授权的部门对已作出的证券发行注册的决定,发现不符合法定条件或者法定程序,ž®šæœªå‘行证券的,应当予以撤销åQŒåœæ­¢å‘行。已¾lå‘行尚未上市的åQŒæ’¤é”€å‘行注册军_®šåQŒå‘è¡Œäh应当按照发行价åƈ加算银行同期存款利息˜q”还证券持有人;发行人的控股股东、实际控制äh以及保荐人,应当与发行äh承担˜qžå¸¦è´£ä“QåQŒä½†æ˜¯èƒ½å¤Ÿè¯æ˜Žè‡ªå·±æ²¡æœ‰è¿‡é”™çš„除外ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">股票的发行äh在招股说明书½{‰è¯åˆ¸å‘行文件中隐瞒重要事实或者编造重大虚假内容,已经发行òq¶ä¸Šå¸‚çš„åQŒå›½åŠ¡é™¢è¯åˆ¸ç›‘督½Ž¡ç†æœºæž„可以责ä×o发行人回购证券,或者责令负有责ä»Èš„控股股东、实际控制äh买回证券ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬äºŒåäº”æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>股票依法发行后,发行人经营与收益的变化,由发行äh自行负责åQ›ç”±æ­¤å˜åŒ–引致的投资风险åQŒç”±æŠ•èµ„者自行负责ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬äºŒåå…­æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>发行人向不特定对象发行的证券åQŒæ³•å¾‹ã€è¡Œæ”¿æ³•è§„规定应当由证券公司扉K”€çš„,发行人应当同证券公司½{¾è®¢æ‰‰K”€åè®®ã€‚证券承销业务采取代销或者包销方式ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券代销是指证券公司代发行äh发售证券åQŒåœ¨æ‰‰K”€æœŸç»“束时åQŒå°†æœªå”®å‡ºçš„证券全部退˜q˜ç»™å‘行人的扉K”€æ–¹å¼ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券包销是指证券公司ž®†å‘è¡Œäh的证券按照协议全部购入或者在扉K”€æœŸç»“束时ž®†å”®åŽå‰©ä½™è¯åˆ¸å…¨éƒ¨è‡ªè¡Œè´­å…¥çš„扉K”€æ–¹å¼ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬äºŒåä¸ƒæ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>公开发行证券的发行äh有权依法自主选择扉K”€çš„证券公司ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬äºŒåå…«æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券公司扉K”€è¯åˆ¸åQŒåº”当同发行人签订代销或者包销协议åQŒè²æ˜Žä¸‹åˆ—事™å¹ï¼š<span lang="EN-US"><o:p></o:p></span></span></p> <p 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style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆå››åQ‰ä»£é”€ã€åŒ…销的付‹Æ¾æ–¹å¼åŠæ—¥æœŸåQ?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆäº”åQ‰ä»£é”€ã€åŒ…销的费用和¾l“算办法åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆå…­åQ‰è¿¾U¦è´£ä»»ï¼›<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆä¸ƒåQ‰å›½åŠ¡é™¢è¯åˆ¸ç›‘督½Ž¡ç†æœºæž„规定的其他事™åV€?span lang="EN-US"><o:p></o:p></span></span></p> <p 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lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆäºŒåQ‰ä»¥ä¸æ­£å½“竞争手ŒD‰|‹›æ½æ‰¿é”€ä¸šåŠ¡åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆä¸‰åQ‰å…¶ä»–违反证券承销业务规定的行为ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券公司有前‹Æ¾æ‰€åˆ—行为,¾l™å…¶ä»–证券承销机构或者投资者造成损失的,应当依法承担赔偿责ä“Qã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸‰åæ¡<span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>向不特定对象发行证券聘请扉K”€å›¢æ‰¿é”€çš„,扉K”€å›¢åº”当由ä¸ÀL‰¿é”€å’Œå‚与承销的证券公司组成ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸‰åä¸€æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券的代销、包销期限最长不得超˜q‡ä¹åæ—¥ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券公司在代销、包销期内åQŒå¯¹æ‰€ä»£é”€ã€åŒ…销的证券应当保证先行出售给认购人,证券公司不得为本公司预留所代销的证券和预先购入òq¶ç•™å­˜æ‰€åŒ…销的证券ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸‰åäºŒæ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>股票发行采取溢ä­h发行的,其发行ä­h格由发行äºÞZ¸Žæ‰‰K”€çš„证券公司协商确定ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸‰åä¸‰æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>股票发行采用代销方式åQŒä»£é”€æœŸé™å±Šæ»¡åQŒå‘投资者出售的股票数量未达到拟公开发行股票数量癑ֈ†ä¹‹ä¸ƒåçš„åQŒäؓ发行å¤ÞpÓ|。发行äh应当按照发行价åƈ加算银行同期存款利息˜q”还股票认购人ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸‰åå››æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>公开发行股票åQŒä»£é”€ã€åŒ…销期限届满åQŒå‘è¡Œäh应当在规定的期限内将股票发行情况报国务院证券监督½Ž¡ç†æœºæž„备案ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" style="margin:0cm;margin-bottom:.0001pt;text-align:center"><b><span style="font-size:14.0pt;font-family:仿宋;color:#404040">½W¬ä¸‰ç«?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券交易</span></b><span lang="EN-US" style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040"><o:p></o:p></span></p> <p align="center" style="margin:0cm;margin-bottom:.0001pt;text-align:center"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€èŠ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>一般规å®?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸‰åäº”æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券交易当事äºÞZ¾æ³•ä¹°å–的证券åQŒå¿…™åÀL˜¯ä¾æ³•å‘è¡Œòq¶äº¤ä»˜çš„证券ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">非依法发行的证券åQŒä¸å¾—买卖ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸‰åå…­æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>依法发行的证券,《中华äh民共和国公司法》和其他法律对其转让期限有限制性规定的åQŒåœ¨é™å®šçš„期限内不得转让ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">上市公司持有癑ֈ†ä¹‹äº”以上股䆾的股东、实际控制äh、董事、监事、高¾U§ç®¡ç†äh员,以及其他持有发行人首‹Æ¡å…¬å¼€å‘行前发行的股䆾或者上市公司向特定对象发行的股份的股东åQŒè{让其持有的本公司股䆾的,不得˜qåæ³•å¾‹ã€è¡Œæ”¿æ³•è§„和国务院证券监督管理机构关于持有期限、卖出时间、卖出数量、卖出方式、信息披露等规定åQŒåƈ应当遵守证券交易所的业务规则ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸‰åä¸ƒæ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>公开发行的证券,应当在依法设立的证券交易所上市交易或者在国务院批准的其他全国性证åˆæ€º¤æ˜“场所交易ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">非公开发行的证券,可以在证åˆæ€º¤æ˜“所、国务院批准的其他全国性证åˆæ€º¤æ˜“场所、按照国务院规定讄¡«‹çš„区域性股权市åœø™{让ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸‰åå…«æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券在证åˆæ€º¤æ˜“所上市交易åQŒåº”当采用公开的集中交易方式或者国务院证券监督½Ž¡ç†æœºæž„批准的其他方式ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸‰åä¹æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券交易当事äºÞZ¹°å–的证券可以采用¾U”R¢å½¢å¼æˆ–者国务院证券监督½Ž¡ç†æœºæž„规定的其他åŞ式ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å››åæ¡<span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券交易场所、证券公司和证券登记¾l“算机构的从业äh员,证券监督½Ž¡ç†æœºæž„的工作äh员以及法律、行政法规规定禁止参与股¼œ¨äº¤æ˜“的其他人员åQŒåœ¨ä»ÀLœŸæˆ–者法定限期内åQŒä¸å¾—直接或者以化名、借他人名义持有、买卖股¼œ¨æˆ–者其他具有股权性质的证券,也不得收受他äºø™µ é€çš„股票或者其他具有股权性质的证券ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">ä»ÖM½•äººåœ¨æˆäؓ前款所列äh员时åQŒå…¶åŽŸå·²æŒæœ‰çš„è‚¡¼œ¨æˆ–者其他具有股权性质的证券,必须依法转让ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">实施股权‹È€åŠÞp®¡åˆ’或者员工持股计划的证券公司的从业äh员,可以按照国务院证券监督管理机构的规定持有、卖出本公司股票或者其他具有股权性质的证券ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å››åä¸€æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券交易场所、证券公司、证券登记结½Ž—机构、证券服务机构及其工作äh员应当依法äؓ投资者的信息保密åQŒä¸å¾—非法买卖、提供或者公开投资者的信息ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券交易场所、证券公司、证券登记结½Ž—机构、证券服务机构及其工作äh员不得泄露所知悉的商业秘密ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å››åäºŒæ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>ä¸ø™¯åˆ¸å‘行出具审计报告或者法律意见书½{‰æ–‡ä»¶çš„证券服务机构和äh员,在该证券扉K”€æœŸå†…和期满后六个月内åQŒä¸å¾—买卖该证券ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">除前‹Æ¾è§„定外åQŒäؓ发行人及其控股股东、实际控制ähåQŒæˆ–者收购äh、重大资产交易方出具审计报告或者法律意见书½{‰æ–‡ä»¶çš„证券服务机构和äh员,自接受委托之日è“v至上˜q°æ–‡ä»¶å…¬å¼€åŽäº”日内åQŒä¸å¾—买卖该证券。实际开展上˜q°æœ‰å…›_·¥ä½œä¹‹æ—¥æ—©äºŽæŽ¥å—委托之日的åQŒè‡ªå®žé™…开展上˜q°æœ‰å…›_·¥ä½œä¹‹æ—¥è“v至上˜q°æ–‡ä»¶å…¬å¼€åŽäº”日内åQŒä¸å¾—买卖该证券ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å››åä¸‰æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券交易的收费必™åÕdˆç†ï¼Œòq¶å…¬å¼€æ”¶è´¹™å¹ç›®ã€æ”¶è´ÒŽ ‡å‡†å’Œ½Ž¡ç†åŠžæ³•ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å››åå››æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>上市公司、股¼œ¨åœ¨å›½åŠ¡é™¢æ‰¹å‡†çš„其他全国性证åˆæ€º¤æ˜“场所交易的公司持有百分之五以上股份的股东、董事、监事、高¾U§ç®¡ç†äh员,ž®†å…¶æŒæœ‰çš„该公司的股¼œ¨æˆ–者其他具有股权性质的证券在买入后六个月内卖出,或者在卖出后六个月内又买入åQŒç”±æ­¤æ‰€å¾—收益归该公司所有,公司董事会应当收回其所得收益。但是,证券公司因购入包销售后剩余股票而持有百分之五以上股份,以及有国务院证券监督½Ž¡ç†æœºæž„规定的其他情形的除外ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">前款所¿U°è‘£äº‹ã€ç›‘事、高¾U§ç®¡ç†äh员、自然äh股东持有的股¼œ¨æˆ–者其他具有股权性质的证券,包括光™…å¶ã€çˆ¶æ¯ã€å­å¥ÏxŒæœ‰çš„及利用他äºø™ÌŽæˆähŒæœ‰çš„股票或者其他具有股权性质的证券ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">公司董事会不按照½W¬ä¸€‹Æ¾è§„定执行的åQŒè‚¡ä¸œæœ‰æƒè¦æ±‚董事会在三十日内执行。公司董事会未在上述期限内执行的åQŒè‚¡ä¸œæœ‰æƒäؓ了公司的利益以自å·Þqš„名义直接向äh民法院提赯‚¯‰è®¹{€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">公司董事会不按照½W¬ä¸€‹Æ„¡š„规定执行的,负有责ä“Q的董事依法承担连带责仅R€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å››åäº”æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>通过计算机程序自动生成或者下达交易指令进行程序化交易的,应当½W¦åˆå›½åŠ¡é™¢è¯åˆ¸ç›‘督管理机构的规定åQŒåƈ向证åˆæ€º¤æ˜“所报告åQŒä¸å¾—媄响证åˆæ€º¤æ˜“所¾pȝ»Ÿå®‰å…¨æˆ–者正å¸æ€º¤æ˜“秩序ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" style="margin:0cm;margin-bottom:.0001pt;text-align:center"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬äºŒèŠ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券上市<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å››åå…­æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>甌™¯·è¯åˆ¸ä¸Šå¸‚交易åQŒåº”当向证券交易所提出甌™¯·åQŒç”±è¯åˆ¸äº¤æ˜“所依法审核同意åQŒåƈ由双方签订上市协议ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券交易所æ ÒŽ®å›½åŠ¡é™¢æŽˆæƒçš„部门的决定安排政府债券上市交易ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å››åä¸ƒæ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>甌™¯·è¯åˆ¸ä¸Šå¸‚交易åQŒåº”当符合证åˆæ€º¤æ˜“所上市规则规定的上市条件ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券交易所上市规则规定的上市条ä»Óž¼Œåº”当对发行äh的经营年限、胦务状å†üc€æœ€ä½Žå…¬å¼€å‘行比例和公司治理、诚信记录等提出要求ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å››åå…«æ?span lang="EN-US"><span style="mso-spacerun:yes">  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lang="EN-US"><span style="mso-spacerun:yes">  </span></span>¼›æ­¢çš„交易行ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬äº”十条<span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>¼›æ­¢è¯åˆ¸äº¤æ˜“内幕信息的知情äh和非法获取内òq•ä¿¡æ¯çš„人利用内òq•ä¿¡æ¯ä»Žäº‹è¯åˆæ€º¤æ˜“活动ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬äº”十一æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券交易内幕信息的知情äh包括åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆä¸€åQ‰å‘è¡Œäh及其董事、监事、高¾U§ç®¡ç†äh员;<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆäºŒåQ‰æŒæœ‰å…¬å¸ç™¾åˆ†ä¹‹äº”以上股份的股东及其董事、监事、高¾U§ç®¡ç†äh员,公司的实际控制äh及其董事、监事、高¾U§ç®¡ç†äh员;<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆä¸‰åQ‰å‘è¡Œäh控股或者实际控制的公司及其董事、监事、高¾U§ç®¡ç†äh员;<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆå››åQ‰ç”±äºŽæ‰€ä»Õd…¬å¸èŒåŠ¡æˆ–者因与公åæ€¸šåŠ¡å¾€æ¥å¯ä»¥èŽ·å–公司有兛_†…òq•ä¿¡æ¯çš„人员åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆäº”åQ‰ä¸Šå¸‚公司收购äh或者重大资产交易方及其控股股东、实际控制äh、董事、监事和高çñ”½Ž¡ç†äººå‘˜åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆå…­åQ‰å› èŒåŠ¡ã€å·¥ä½œå¯ä»¥èŽ·å–内òq•ä¿¡æ¯çš„证券交易场所、证券公司、证券登记结½Ž—机构、证券服务机构的有关人员åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆä¸ƒåQ‰å› èŒè´£ã€å·¥ä½œå¯ä»¥èŽ·å–内òq•ä¿¡æ¯çš„证券监督½Ž¡ç†æœºæž„工作人员åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p 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lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">本法½W¬å…«åæ¡½W¬äºŒ‹Æ¾ã€ç¬¬å…«åä¸€æ¡ç¬¬äºŒæ¬¾æ‰€åˆ—重大事件属于内òq•ä¿¡æ¯ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬äº”十三æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券交易内幕信息的知情äh和非法获取内òq•ä¿¡æ¯çš„人,在内òq•ä¿¡æ¯å…¬å¼€å‰ï¼Œä¸å¾—买卖该公司的证券åQŒæˆ–者泄露该信息åQŒæˆ–者徏议他äºÞZ¹°å–该证券ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; 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color:#404040">åQˆå…«åQ‰æ“¾Uµè¯åˆ¸å¸‚场的其他手段ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">操纵证券市场行äؓ¾l™æŠ•èµ„者造成损失的,应当依法承担赔偿责ä“Qã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬äº”十六æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>¼›æ­¢ä»ÖM½•å•ä½å’Œä¸ªäººç¼–造、传播虚假信息或者误导性信息,æ‰îCؕ证券市场ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; 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lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆå››åQ‰äؓ牟取佣金收入åQŒè¯±ä½¿å®¢æˆ¯‚¿›è¡Œä¸å¿…要的证åˆæ€¹°å–ï¼›<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆäº”åQ‰å…¶ä»–违背客æˆïLœŸå®žæ„æ€è¡¨½Cºï¼ŒæŸå®³å®¢æˆ·åˆ©ç›Šçš„行为ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">˜qåå‰æ¬¾è§„定¾l™å®¢æˆ·é€ æˆæŸå¤±çš„,应当依法承担赔偿责ä“Qã€?span lang="EN-US"><o:p></o:p></span></span></p> <p 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color:#404040">投资者持有或者通过协议、其他安排与他äh共同持有一个上市公司已发行的有表决权股份达到百分之五后åQŒå…¶æ‰€æŒè¯¥ä¸Šå¸‚公司已发行的有表å†Ïxƒè‚¡ä†¾æ¯”例每增加或者减ž®‘百分之一åQŒåº”当在该事实发生的‹Æ¡æ—¥é€šçŸ¥è¯¥ä¸Šå¸‚公司,òq¶äºˆå…¬å‘Šã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">˜qå½W¬ä¸€‹Æ¾ã€ç¬¬äºŒæ¬¾è§„定买入上市公司有表å†Ïxƒçš„股份的åQŒåœ¨ä¹°å…¥åŽçš„三十六个月内åQŒå¯¹è¯¥è¶…˜q‡è§„定比例部分的股䆾不得行ä‹É表决权ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å…­åå››æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>依照前条规定所作的公告åQŒåº”当包括下列内容:<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span 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<p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å…­åäº”æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>通过证券交易所的证åˆæ€º¤æ˜“,投资者持有或者通过协议、其他安排与他äh共同持有一个上市公司已发行的有表决权股份达到百分之三十æ—Óž¼Œ¾l§ç®‹˜q›è¡Œæ”¶è´­çš„,应当依法向该上市公司所有股东发出收购上市公司全部或者部分股份的要约ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">收购上市公司部分股䆾的要¾U¦åº”当约定,被收购公司股东承诺出售的股䆾数额­‘…过预定收购的股份数额的åQŒæ”¶è´­äh按比例进行收购ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å…­åå…­æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>依照前条规定发出收购要约åQŒæ”¶è´­äh必须公告上市公司收购报告书,òq¶è²æ˜Žä¸‹åˆ—事™å¹ï¼š<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆä¸€åQ‰æ”¶è´­äh的名¿U°ã€ä½æ‰€åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆäºŒåQ‰æ”¶è´­äh关于收购的决定;<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆä¸‰åQ‰è¢«æ”¶è´­çš„上市公司名¿UŽÍ¼›<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆå››åQ‰æ”¶è´­ç›®çš„ï¼›<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆäº”åQ‰æ”¶è´­è‚¡ä»½çš„详细名称和预定收购的股䆾数额åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆå…­åQ‰æ”¶è´­æœŸé™ã€æ”¶è´­ä­hæ û|¼›<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆä¸ƒåQ‰æ”¶è´­æ‰€éœ€èµ„金额及资金保证åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆå…«åQ‰å…¬å‘Šä¸Šå¸‚公司收购报告书时持有被收购公司股䆾数占该公司已发行的股份æ€ÀL•°çš„比例ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å…­åä¸ƒæ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>收购要约¾U¦å®šçš„收购期限不得少于三十日åQŒåƈ不得­‘…过六十日ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å…­åå…«æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>在收购要¾U¦ç¡®å®šçš„承诺期限内,收购äºÞZ¸å¾—撤销其收购要¾U¦ã€‚收购äh需要变更收购要¾U¦çš„åQŒåº”当及时公告,载明具体变更事项åQŒä¸”不得存在下列情åŞåQ?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆä¸€åQ‰é™ä½Žæ”¶è´­ä­hæ û|¼›<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆäºŒåQ‰å‡ž®‘预定收购股份数额;<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆä¸‰åQ‰ç¾ƒçŸ­æ”¶è´­æœŸé™ï¼›<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆå››åQ‰å›½åŠ¡é™¢è¯åˆ¸ç›‘督½Ž¡ç†æœºæž„规定的其他情形ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å…­åä¹æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>收购要约提出的各™åҎ”¶è´­æ¡ä»Óž¼Œé€‚用于被收购公司的所有股东ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">上市公司发行不同¿Uç±»è‚¡ä†¾çš„,收购人可以针对不同种¾c»è‚¡ä»½æå‡ÞZ¸åŒçš„收购条äšgã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸ƒåæ¡<span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>采取要约收购方式的,收购人在收购期限内,不得卖出被收购公司的股票åQŒä¹Ÿä¸å¾—采取要约规定以外的åŞ式和­‘…出要约的条件买入被收购公司的股¼œ¨ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸ƒåä¸€æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>采取协议收购方式的,收购人可以依照法律、行政法规的规定同被收购公司的股东以协议方式˜q›è¡Œè‚¡ä†¾è½¬è®©ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">以协议方式收购上市公司时åQŒè¾¾æˆåè®®åŽåQŒæ”¶è´­äh必须在三日内ž®†è¯¥æ”¶è´­åè®®å‘国务院证券监督½Ž¡ç†æœºæž„及证åˆæ€º¤æ˜“所作出书面报告åQŒåƈ予公告ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">在公告前不得履行收购协议ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸ƒåäºŒæ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>采取协议收购方式的,协议双方可以临时委托证券登记¾l“算机构保管协议转让的股¼œ¨ï¼Œòq¶å°†èµ„金存放于指定的银行ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸ƒåä¸‰æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>采取协议收购方式的,收购人收购或者通过协议、其他安排与他äh共同收购一个上市公司已发行的有表决权股份达到百分之三十æ—Óž¼Œ¾l§ç®‹˜q›è¡Œæ”¶è´­çš„,应当依法向该上市公司所有股东发出收购上市公司全部或者部分股份的要约。但是,按照国务院证券监督管理机构的规定免除发出要约的除外ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">收购äºÞZ¾ç…§å‰‹Æ¾è§„定以要约方式收购上市公司股䆾åQŒåº”当遵守本法第六十五条½W¬äºŒ‹Æ¾ã€ç¬¬å…­åå…­æ¡è‡³ç¬¬ä¸ƒåæ¡çš„规定ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸ƒåå››æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>收购期限届满åQŒè¢«æ”¶è´­å…¬å¸è‚¡æƒåˆ†å¸ƒä¸ç¬¦åˆè¯åˆæ€º¤æ˜“所规定的上市交易要求的åQŒè¯¥ä¸Šå¸‚公司的股¼œ¨åº”当由证券交易所依法¾lˆæ­¢ä¸Šå¸‚交易åQ›å…¶ä½™ä»æŒæœ‰è¢«æ”¶è´­å…¬å¸è‚¡¼œ¨çš„股东åQŒæœ‰æƒå‘收购äºÞZ»¥æ”¶è´­è¦çº¦çš„同½{‰æ¡ä»¶å‡ºå”®å…¶è‚¡ç¥¨åQŒæ”¶è´­äh应当收购ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">收购行äؓ完成后,被收购公åæ€¸å†å…·å¤‡è‚¡ä»½æœ‰é™å…¬å¸æ¡ä»¶çš„åQŒåº”当依法变更企业åŞ式ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸ƒåäº”æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>在上市公司收购中åQŒæ”¶è´­äh持有的被收购的上市公司的股票åQŒåœ¨æ”¶è´­è¡Œäؓ完成后的十八个月内不得è{让ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸ƒåå…­æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>收购行äؓ完成后,收购äºÞZ¸Žè¢«æ”¶è´­å…¬å¸åˆòqӞ¼Œòq¶å°†è¯¥å…¬å¸è§£æ•£çš„åQŒè¢«è§£æ•£å…¬å¸çš„原有股¼œ¨ç”±æ”¶è´­äºÞZ¾æ³•æ›´æ¢ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">收购行äؓ完成后,收购人应当在十五日内ž®†æ”¶è´­æƒ…冉|Š¥å‘Šå›½åŠ¡é™¢è¯åˆ¸ç›‘督½Ž¡ç†æœºæž„和证åˆæ€º¤æ˜“所åQŒåƈ予公告ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸ƒåä¸ƒæ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>国务院证券监督管理机构依照本法制定上市公司收购的具体办法ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">上市公司分立或者被其他公司合åƈåQŒåº”当向国务院证券监督管理机构报告,òq¶äºˆå…¬å‘Šã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" style="margin:0cm;margin-bottom:.0001pt;text-align:center"><b><span style="font-size:14.0pt;font-family:仿宋;color:#404040">½W¬äº”ç«?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>信息披露</span></b><span lang="EN-US" style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040"><o:p></o:p></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸ƒåå…«æ?span lang="EN-US"><span style="mso-spacerun:yes">  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</span></span>上市公司、公司债券上市交易的公司、股¼œ¨åœ¨å›½åŠ¡é™¢æ‰¹å‡†çš„其他全国性证åˆæ€º¤æ˜“场所交易的公司,应当按照国务院证券监督管理机构和证券交易场所规定的内容和格式¾~–制定期报告åQŒåƈ按照以下规定报送和公告åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆä¸€åQ‰åœ¨æ¯ä¸€ä¼šè®¡òq´åº¦¾l“束之日起四个月内,报送åƈ公告òq´åº¦æŠ¥å‘ŠåQŒå…¶ä¸­çš„òq´åº¦è´¢åŠ¡ä¼šè®¡æŠ¥å‘Šåº”当¾lç¬¦åˆæœ¬æ³•è§„定的会计师事务所审计åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆäºŒåQ‰åœ¨æ¯ä¸€ä¼šè®¡òq´åº¦çš„上半年¾l“束之日起二个月内,报送åƈ公告中期报告ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span 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color:#404040">发行人的监事会应当对董事会编制的证券发行文äšg和定期报告进行审核åƈ提出书面审核意见。监事应当签¾|²ä¹¦é¢ç¡®è®¤æ„è§ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">发行人的董事、监事和高çñ”½Ž¡ç†äººå‘˜åº”当保证发行人及时、公òq›_œ°æŠ«éœ²ä¿¡æ¯åQŒæ‰€æŠ«éœ²çš„信息真实、准¼‹®ã€å®Œæ•´ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">董事、监事和高çñ”½Ž¡ç†äººå‘˜æ— æ³•ä¿è¯è¯åˆ¸å‘行文äšg和定期报告内容的真实性、准¼‹®æ€§ã€å®Œæ•´æ€§æˆ–者有异议的,应当在书面确认意见中发表意见òq‰™™ˆ˜q°ç†ç”±ï¼Œå‘行人应当披霌Ӏ‚发行äh不予披露的,董事、监事和高çñ”½Ž¡ç†äººå‘˜å¯ä»¥ç›´æŽ¥ç”Œ™¯·æŠ«éœ²ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å…«åä¸‰æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>信息披露义务人披露的信息应当同时向所有投资者披éœÔŒ¼Œä¸å¾—提前向ä“Q何单位和个äh泄露。但是,法律、行政法规另有规定的除外ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">ä»ÖM½•å•ä½å’Œä¸ªäºÞZ¸å¾—非法要求信息披露义务äh提供依法需要披露但ž®šæœªæŠ«éœ²çš„信息。ä“Q何单位和个äh提前èŽïLŸ¥çš„前˜qîC¿¡æ¯ï¼Œåœ¨ä¾æ³•æŠ«éœ²å‰åº”当保密ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å…«åå››æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>除依法需要披露的信息之外åQŒä¿¡æ¯æŠ«éœ²ä¹‰åŠ¡äh可以自愿披露与投资者作å‡ÞZ­h值判断和投资决策有关的信息,但不得与依法披露的信息相冲突åQŒä¸å¾—误导投资者ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">发行人及其控股股东、实际控制äh、董事、监事、高¾U§ç®¡ç†äh员等作出公开承诺的,应当披露。不履行承诺¾l™æŠ•èµ„者造成损失的,应当依法承担赔偿责ä“Qã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å…«åäº”æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>信息披露义务人未按照规定披露信息åQŒæˆ–者公告的证券发行文äšg、定期报告、äÍ时报告及其他信息披露资料存在虚假记蝲、误导性陈˜q°æˆ–者重大遗漏,致ä‹É投资者在证券交易中遭受损å¤Þqš„åQŒä¿¡æ¯æŠ«éœ²ä¹‰åŠ¡äh应当承担赔偿责ä“QåQ›å‘è¡Œäh的控股股东、实际控制äh、董事、监事、高¾U§ç®¡ç†äh员和其他直接责ä“Q人员以及保荐人、承销的证券公司及其直接责ä»ÖMh员,应当与发行äh承担˜qžå¸¦èµ”偿责ä“QåQŒä½†æ˜¯èƒ½å¤Ÿè¯æ˜Žè‡ªå·±æ²¡æœ‰è¿‡é”™çš„除外ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å…«åå…­æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>依法披露的信息,应当在证åˆæ€º¤æ˜“场所的网站和½W¦åˆå›½åŠ¡é™¢è¯åˆ¸ç›‘督管理机构规定条件的媒体发布åQŒåŒæ—¶å°†å…¶ç½®å¤‡äºŽå…¬å¸ä½æ‰€ã€è¯åˆæ€º¤æ˜“场所åQŒä¾›½C¾ä¼šå…¬ä¼—查阅ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å…«åä¸ƒæ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>国务院证券监督管理机构对信息披露义务人的信息披露行äؓ˜q›è¡Œç›‘督½Ž¡ç†ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券交易场所应当对其¾l„织交易的证券的信息披露义务人的信息披露行äؓ˜q›è¡Œç›‘督åQŒç£ä¿ƒå…¶ä¾æ³•åŠæ—¶ã€å‡†¼‹®åœ°æŠ«éœ²ä¿¡æ¯ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" style="margin:0cm;margin-bottom:.0001pt;text-align:center"><b><span style="font-size:14.0pt;font-family:仿宋;color:#404040">½W¬å…­ç«?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>投资者保æŠ?/span></b><span lang="EN-US" style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040"><o:p></o:p></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å…«åå…«æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券公司向投资者销售证券、提供服务时åQŒåº”当按照规定充分了解投资者的基本情况、胦产状å†üc€é‡‘融资产状å†üc€æŠ•èµ„知识和¾léªŒã€ä¸“业能力等相关信息åQ›å¦‚实说明证券、服务的重要内容åQŒå……分揭½CºæŠ•èµ„风险;销售、提供与投资者上˜q°çŠ¶å†ëŠ›¸åŒšw…çš„证券、服务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">投资者在购买证券或者接受服务时åQŒåº”当按照证券公司明½Cºçš„要求提供前款所列真实信息。拒¾læä¾›æˆ–者未按照要求提供信息的,证券公司应当告知其后果,òq¶æŒ‰ç…§è§„定拒¾lå‘å…‰™”€å”®è¯åˆ¸ã€æä¾›æœåŠ¡ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券公司˜qå½W¬ä¸€‹Æ¾è§„定导致投资者损å¤Þqš„åQŒåº”当承担相应的赔偿责ä“Qã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬å…«åä¹æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>æ ÒŽ®è´¢äñ”状况、金融资产状å†üc€æŠ•èµ„知识和¾léªŒã€ä¸“业能力等因素åQŒæŠ•èµ„者可以分为普通投资者和专业投资者。专业投资者的标准由国务院证券监督½Ž¡ç†æœºæž„规定ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 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style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">公开发行公司债券的,发行人应当äؓ债券持有äºø™˜è¯·å€ºåˆ¸å—托½Ž¡ç†äººï¼Œòq¶è®¢ç«‹å€ºåˆ¸å—托½Ž¡ç†åè®®ã€‚受托管理äh应当由本‹Æ¡å‘行的扉K”€æœºæž„或者其他经国务院证券监督管理机构认可的机构担ä“QåQŒå€ºåˆ¸æŒæœ‰äºÞZ¼šè®®å¯ä»¥å†³è®®å˜æ›´å€ºåˆ¸å—托½Ž¡ç†äººã€‚债券受托½Ž¡ç†äººåº”当勤勉尽责,公正履行受托½Ž¡ç†èŒè´£åQŒä¸å¾—损宛_€ºåˆ¸æŒæœ‰äººåˆ©ç›Šã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">债券发行人未能按期兑付债券本息的,债券受托½Ž¡ç†äººå¯ä»¥æŽ¥å—全部或者部分债券持有人的委托åQŒä»¥è‡ªå·±åä¹‰ä»£è¡¨å€ºåˆ¸æŒæœ‰äººæèµ—÷€å‚加民事诉讼或者清½Ž—程序ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¹åä¸‰æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>发行人因‹Æø™¯ˆå‘行、虚假陈˜q°æˆ–者其他重大违法行为给投资者造成损失的,发行人的控股股东、实际控制äh、相关的证券公司可以委托投资者保护机构,ž®Þpµ”偿事宜与受到损失的投资者达成协议,予以先行赔付。先行赔付后åQŒå¯ä»¥ä¾æ³•å‘发行äºÞZ»¥åŠå…¶ä»–连带责ä»ÖMh˜q½å¿ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¹åå››æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>投资者与发行人、证券公司等发生¾U çº·çš„,双方可以向投资者保护机构申误‚°ƒè§£ã€‚普通投资者与证券公司发生证券业务¾U çº·åQŒæ™®é€šæŠ•èµ„者提å‡ø™°ƒè§£è¯·æ±‚çš„åQŒè¯åˆ¸å…¬åæ€¸å¾—æ‹’¾lã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">投资者保护机构对损害投资者利益的行äؓåQŒå¯ä»¥ä¾æ³•æ”¯æŒæŠ•èµ„者向人民法院提è“v诉讼ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">发行人的董事、监事、高¾U§ç®¡ç†äh员执行公司职务时˜qåæ³•å¾‹ã€è¡Œæ”¿æ³•è§„或者公司章½E‹çš„规定¾l™å…¬å”R€ æˆæŸå¤±åQŒå‘è¡Œäh的控股股东、实际控制äh½{‰äçR犯公司合法权益给公司造成损失åQŒæŠ•èµ„者保护机构持有该公司股䆾的,可以为公司的利益以自å·Þqš„名义向äh民法院提赯‚¯‰è®û|¼ŒæŒè‚¡æ¯”例和持股期限不受《中华äh民共和国公司法》规定的限制ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¹åäº”æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>投资者提赯‚™šå‡é™ˆ˜q°ç­‰è¯åˆ¸æ°‘事赔偿诉讼æ—Óž¼Œè¯‰è®¼æ ‡çš„是同一¿Uç±»åQŒä¸”当事äºÞZ¸€æ–¹ähæ•îC¼—多的åQŒå¯ä»¥ä¾æ³•æŽ¨é€‰ä»£è¡¨äh˜q›è¡Œè¯‰è®¼ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 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lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™ùN›¶ä¸ƒæ¡<span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券公司为投资者开立è̎æˆøP¼Œåº”当按照规定å¯ÒŽŠ•èµ„者提供的íw«ä†¾ä¿¡æ¯˜q›è¡Œæ ¸å¯¹ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券公司不得ž®†æŠ•èµ„者的账户提供¾l™ä»–äºÞZ‹É用ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">投资者应当ä‹É用实名开立的账户˜q›è¡Œäº¤æ˜“ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™ùN›¶å…«æ¡<span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券公司æ ÒŽ®æŠ•èµ„者的委托åQŒæŒ‰ç…§è¯åˆæ€º¤æ˜“规则提å‡ÞZº¤æ˜“申报,参与证券交易所场内的集中交易,òq¶æ ¹æ®æˆäº¤ç»“果承担相应的清算交收责ä“Q。证券登记结½Ž—机构根据成交结果,按照清算交收规则åQŒä¸Žè¯åˆ¸å…¬å¸˜q›è¡Œè¯åˆ¸å’Œèµ„金的清算交收åQŒåƈä¸ø™¯åˆ¸å…¬å¸å®¢æˆ·åŠžç†è¯åˆ¸çš„登记˜q‡æˆ·æ‰‹ç®‹ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™ùN›¶ä¹æ¡<span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券交易所应当为组¾l‡å…¬òq³çš„集中交易提供保障åQŒå®žæ—¶å…¬å¸ƒè¯åˆæ€º¤æ˜“即时行情,òq¶æŒ‰äº¤æ˜“日制作证券市åœø™¡Œæƒ…表åQŒäºˆä»¥å…¬å¸ƒã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券交易åÏx—¶è¡Œæƒ…的权益由证券交易所依法享有。未¾lè¯åˆæ€º¤æ˜“所许可åQŒä“Q何单位和个äh不得发布证券交易åÏx—¶è¡Œæƒ…ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾ä¸€åæ¡<span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>上市公司可以向证åˆæ€º¤æ˜“所甌™¯·å…¶ä¸Šå¸‚交易股¼œ¨çš„停牌或者复牌,但不得滥用停牌或者复牌损å®ÏxŠ•èµ„者的合法权益ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券交易所可以按照业务规则的规定,军_®šä¸Šå¸‚交易股票的停牌或者复牌ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾ä¸€åä¸€æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>因不可抗力、意外事件、重大技术故障、重大äh为差错等½Hå‘性事件而媄响证åˆæ€º¤æ˜“正常进行时åQŒäؓ¾l´æŠ¤è¯åˆ¸äº¤æ˜“正常¿U©åºå’Œå¸‚场公òq»I¼Œè¯åˆ¸äº¤æ˜“所可以按照业务规则采取技术性停牌、äÍ时停市等处置措施åQŒåƈ应当及时向国务院证券监督½Ž¡ç†æœºæž„报告ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">因前‹Æ¾è§„定的½Hå‘性事件导致证åˆæ€º¤æ˜“结果出现重大异常,按交易结果进行交收将对证åˆæ€º¤æ˜“正常秩序和市场公åã^造成重大影响的,证券交易所按照业务规则可以采取取消交易、通知证券登记¾l“算机构暂缓交收½{‰æŽªæ–½ï¼Œòq¶åº”当及时向国务院证券监督管理机构报告åƈ公告ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券交易所对其依照本条规定采取措施造成的损失,不承担民事赔偿责任,但存在重大过错的除外ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:28.0pt;mso-char-indent-count: 2.0"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾ä¸€åäºŒæ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券交易所对证åˆæ€º¤æ˜“实行实时监控,òq¶æŒ‰ç…§å›½åŠ¡é™¢è¯åˆ¸ç›‘督½Ž¡ç†æœºæž„的要求,对异常的交易情况提出报告ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券交易所æ ÒŽ®éœ€è¦ï¼Œå¯ä»¥æŒ‰ç…§ä¸šåŠ¡è§„则对出现重大异å¸æ€º¤æ˜“情å†ëŠš„证券账户的投资者限制交易,òq¶åŠæ—¶æŠ¥å‘Šå›½åŠ¡é™¢è¯åˆ¸ç›‘督½Ž¡ç†æœºæž„ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾ä¸€åä¸‰æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券交易所应当加强对证åˆæ€º¤æ˜“的风险监测åQŒå‡ºçŽ°é‡å¤§å¼‚常æ‡L动的åQŒè¯åˆæ€º¤æ˜“所可以按照业务规则采取限制交易、强制停牌等处置措施åQŒåƈ向国务院证券监督½Ž¡ç†æœºæž„报告åQ›ä¸¥é‡åª„响证券市场稳定的åQŒè¯åˆæ€º¤æ˜“所可以按照业务规则采取临时停市½{‰å¤„¾|®æŽªæ–½åƈ公告ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券交易所对其依照本条规定采取措施造成的损失,不承担民事赔偿责任,但存在重大过错的除外ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾ä¸€åå››æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券交易所应当从其收取的交易费用和会员贏V€å¸­ä½è´¹ä¸­æå–一定比例的金额讄¡«‹é£Žé™©åŸºé‡‘。风险基金由证券交易所理事会管理ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">风险基金提取的具体比例和使用办法åQŒç”±å›½åŠ¡é™¢è¯åˆ¸ç›‘督管理机构会同国务院财政部门规定ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券交易所应当ž®†æ”¶å­˜çš„风险基金存入开户银行专门è̎æˆøP¼Œä¸å¾—擅自使用ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾ä¸€åäº”æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券交易所依照法律、行政法规和国务院证券监督管理机构的规定åQŒåˆ¶å®šä¸Šå¸‚规则、交易规则、会员管理规则和其他有关业务规则åQŒåƈ报国务院证券监督½Ž¡ç†æœºæž„批准ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p 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color:#404040">国家机关工作人员和法律、行政法规规定的¼›æ­¢åœ¨å…¬åæ€¸­å…ÆDŒçš„其他äh员,不得在证券公åæ€¸­å…ég“Q职务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾äºŒåå…­æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>国家讄¡«‹è¯åˆ¸æŠ•èµ„者保护基金。证券投资者保护基金由证券公司¾~´çº³çš„资金及其他依法½{šw›†çš„资金组成,其规模以及筹集、管理和使用的具体办法由国务院规定ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾äºŒåä¸ƒæ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券公司从每òq´çš„业务收入中提取交易风险准备金åQŒç”¨äºŽå×I补证券经营的损失åQŒå…¶æå–的具体比例由国务院证券监督管理机构会同国务院财政部门规定ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾äºŒåå…«æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券公司应当建立健全内部控制制度åQŒé‡‡å–有效隔¼›ÀLŽªæ–½ï¼Œé˜²èŒƒå…¬å¸ä¸Žå®¢æˆ·ä¹‹é—´ã€ä¸åŒå®¢æˆ·ä¹‹é—´çš„利益冲突ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券公司必须ž®†å…¶è¯åˆ¸¾lçºªä¸šåŠ¡ã€è¯åˆ¸æ‰¿é”€ä¸šåŠ¡ã€è¯åˆ¸è‡ªè¥ä¸šåŠ¡ã€è¯åˆ¸åšå¸‚业务和证券资äñ”½Ž¡ç†ä¸šåŠ¡åˆ†å¼€åŠžç†åQŒä¸å¾—æ؜合操作ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾äºŒåä¹æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券公司的自营业务必™åÖM»¥è‡ªå·±çš„名义进行,不得假借他人名义或者以个äh名义˜q›è¡Œã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券公司的自营业务必™åÖM‹É用自有资金和依法½{šw›†çš„资金ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券公司不得ž®†å…¶è‡ªè¥è´¦æˆ·å€Ÿç»™ä»–äh使用ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾ä¸‰åæ¡<span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券公司应当依法审慎¾lè¥åQŒå‹¤å‹‰å°½è´£ï¼Œè¯šå®žå®ˆä¿¡ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span 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color:#404040">证券公司不得ž®†å®¢æˆïLš„交易¾l“算资金和证券归入其自有财äñ”。禁止ä“Q何单位或者个äºÞZ»¥ä»ÖM½•å½¢å¼æŒªç”¨å®¢æˆ·çš„交易结½Ž—资金和证券。证券公司破产或者清½Ž—æ—¶åQŒå®¢æˆïLš„交易¾l“算资金和证åˆæ€¸å±žäºŽå…¶ç ´äº§èƒ¦äº§æˆ–者清½Ž—胦产。非因客æˆähœ¬íw«çš„债务或者法律规定的其他情åŞåQŒä¸å¾—查ž®ã€å†»¾l“、扣划或者强制执行客æˆïLš„交易¾l“算资金和证券ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾ä¸‰åäºŒæ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券公司办理¾lçºªä¸šåŠ¡åQŒåº”当置备统一制定的证åˆæ€¹°å–委托书åQŒä¾›å§”托äºÞZ‹É用。采取其他委托方式的åQŒå¿…™åÖM½œå‡ºå§”托记录ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">客户的证åˆæ€¹°å–委托,不论是否成交åQŒå…¶å§”托记录应当按照规定的期限,保存于证券公司ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p 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color:#404040">证券公司应当妥善保存客户开戯‚µ„料、委托记录、交易记录和与内部管理、业务经营有关的各项信息åQŒä“Q何äh不得隐匿、伪造、篡æ”ÒŽˆ–者毁损。上˜qîC¿¡æ¯çš„保存期限不得ž®‘于二十òq´ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾ä¸‰åå…«æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券公司应当按照规定向国务院证券监督½Ž¡ç†æœºæž„报送业务、胦务等¾lè¥½Ž¡ç†ä¿¡æ¯å’Œèµ„料。国务院证券监督½Ž¡ç†æœºæž„有权要求证券公司及其主要股东、实际控制äh在指定的期限内提供有关信息、资料ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券公司及其主要股东、实际控制äh向国务院证券监督½Ž¡ç†æœºæž„报送或者提供的信息、资料,必须真实、准¼‹®ã€å®Œæ•´ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; 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style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾äº”十一æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券登记¾l“算机构应当向证券发行äh提供证券持有人名册及有关资料ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券登记¾l“算机构应当æ ÒŽ®è¯åˆ¸ç™»è®°¾l“算的结果,¼‹®è®¤è¯åˆ¸æŒæœ‰äººæŒæœ‰è¯åˆ¸çš„事实åQŒæä¾›è¯åˆ¸æŒæœ‰äh登记资料ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">证券登记¾l“算机构应当保证证券持有人名册和登记˜q‡æˆ·è®°å½•çœŸå®žã€å‡†¼‹®ã€å®Œæ•ß_¼Œä¸å¾—隐匿、伪造、篡æ”ÒŽˆ–者毁损ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾äº”十二æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>证券登记¾l“算机构应当采取下列措施保证业务的正常进行:<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆä¸€åQ‰å…·æœ‰å¿…备的服务讑֤‡å’Œå®Œå–„的数据安全保护措施åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆäºŒåQ‰å¾ç«‹å®Œå–„的业务、胦务和安全防范½{‰ç®¡ç†åˆ¶åº¦ï¼›<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆä¸‰åQ‰å¾ç«‹å®Œå–„的风险½Ž¡ç†¾pȝ»Ÿã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span 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color:#404040">åQˆä¸‰åQ‰ç£ä¿ƒä¼šå‘˜å¼€å±•æŠ•èµ„者教育和保护‹zÕdŠ¨åQŒç»´æŠ¤æŠ•èµ„者合法权益;<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆå››åQ‰åˆ¶å®šå’Œå®žæ–½è¯åˆ¸è¡Œä¸šè‡ªå¾‹è§„则åQŒç›‘督、检查会员及其从业äh员行为,对违反法律、行政法规、自律规则或者协会章½E‹çš„åQŒæŒ‰ç…§è§„定给予纪律处分或者实施其他自律管理措施;<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">åQˆäº”åQ‰åˆ¶å®šè¯åˆ¸è¡Œä¸šä¸šåŠ¡è§„范,¾l„织从业人员的业务培训;<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; 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style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">国务院证券监督管理机构依据调查结果,对证券违法行ä¸ÞZ½œå‡ºçš„处罚军_®šåQŒåº”当公开ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾ä¸ƒåäº”æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>国务院证券监督管理机构应当与国务院其他金融监督管理机构徏立监督管理信息共享机制ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">国务院证券监督管理机构依法åï–行职责,˜q›è¡Œç›‘督‹‚€æŸ¥æˆ–者调查时åQŒæœ‰å…³éƒ¨é—¨åº”当予以配合ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾ä¸ƒåå…­æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>å¯ÒŽ¶‰å«Œè¯åˆ¸è¿æ³•ã€è¿è§„行为,ä»ÖM½•å•ä½å’Œä¸ªäººæœ‰æƒå‘国务院证券监督管理机构ä‹D报ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">å¯ÒŽ¶‰å«Œé‡å¤§è¿æ³•ã€è¿è§„行为的实名举报¾U¿çƒ¦¾læŸ¥è¯å±žå®žçš„åQŒå›½åŠ¡é™¢è¯åˆ¸ç›‘督½Ž¡ç†æœºæž„按照规定¾l™äºˆä¸¾æŠ¥äººå¥–励ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">国务院证券监督管理机构应当对举报人的íw«ä†¾ä¿¡æ¯ä¿å¯†ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾ä¸ƒåä¸ƒæ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>国务院证券监督管理机构可以和其他国家或者地区的证券监督½Ž¡ç†æœºæž„建立监督½Ž¡ç†åˆä½œæœºåˆ¶åQŒå®žæ–½è·¨å¢ƒç›‘督管理ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">境外证券监督½Ž¡ç†æœºæž„不得在中华äh民共和国境内直接˜q›è¡Œè°ƒæŸ¥å–证½{‰æ´»åŠ¨ã€‚未¾lå›½åŠ¡é™¢è¯åˆ¸ç›‘督½Ž¡ç†æœºæž„和国务院有关ä¸È®¡éƒ¨é—¨åŒæ„åQŒä“Q何单位和个äh不得擅自向境外提供与证券业务‹zÕdŠ¨æœ‰å…³çš„文件和资料ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™¾ä¸ƒåå…«æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>国务院证券监督管理机构依法åï–行职责,发现证券˜qæ³•è¡Œäؓ涉嫌犯罪的,应当依法ž®†æ¡ˆä»¶ç§»é€å¸æ³•æœºå…›_¤„理;发现公职人员涉嫌职务˜qæ³•æˆ–者职务犯¾|ªçš„åQŒåº”当依法移送监察机兛_¤„理ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p 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lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">发行人的控股股东、实际控制äh从事或者组¾l‡ã€æŒ‡ä½¿ä»Žäº‹å‰‹Æ¾è¿æ³•è¡Œä¸ºçš„åQŒç»™äºˆè­¦å‘Šï¼Œòq¶å¤„以五十万元以上五百万元以下的¾|šæ¬¾åQ›å¯¹ç›´æŽ¥è´Ÿè´£çš„主½Ž¡äh员和其他直接责ä“Q人员åQŒå¤„以十万元以上一百万元以下的¾|šæ¬¾ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span style="font-size:14.0pt;font-family:仿宋;mso-bidi-font-family:Helvetica; color:#404040">½W¬ä¸€ç™‘Ö…«åå…­æ?span lang="EN-US"><span style="mso-spacerun:yes">  </span></span>˜qåæœ¬æ³•½W¬ä¸‰åå…­æ¡çš„规定åQŒåœ¨é™åˆ¶è½¬è®©æœŸå†…转让证券åQŒæˆ–者è{让股¼œ¨ä¸½W¦åˆæ³•å¾‹ã€è¡Œæ”¿æ³•è§„和国务院证券监督管理机构规定的åQŒè´£ä»¤æ”¹æ­£ï¼Œ¾l™äºˆè­¦å‘ŠåQŒæ²¡æ”¶è¿æ³•æ‰€å¾—,òq¶å¤„以买卖证券等å€ég»¥ä¸‹çš„¾|šæ¬¾ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-indent:27.75pt"><span 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