Shanghai Stock Exchange is one of the two stock exchanges in Chinese mainland, located in Pudong New Area. Shanghai Stock Exchange was established on 1990,165438+1October 26th, and officially opened on February 9th of the same year. By the end of 2009, there were 870 listed companies in Shanghai Stock Exchange, with listed securities of 135 1 and total stock market value of 1846523 million yuan. A large number of pillar enterprises, backbone enterprises, basic industrial enterprises and high-tech enterprises in the national economy have raised development funds through listing and changed their operating mechanisms.

Listing Rules of Securities Investment Funds of Shanghai Stock Exchange

Chapter I General Provisions

Article 1 These Rules are formulated in accordance with the Interim Measures for the Administration of Securities Investment Funds and other relevant laws, regulations and rules in order to strengthen the listing management of securities investment funds, standardize the fund trading behavior, promote the healthy development of the fund market and protect the legitimate rights and interests of investors.

Article 2 The term "listing of funds" as mentioned in these Rules refers to the listing and trading of closed-end funds on the Shanghai Stock Exchange (hereinafter referred to as the Exchange) upon approval.

Article 3 The Interim Measures for the Administration of Securities Investment Funds shall be used for the special terms involved in these Rules.

Article 4 This Exchange shall supervise listed funds in accordance with relevant securities laws and regulations, these Rules and other relevant provisions.

Chapter II Conditions for Listing of Funds

Article 5 A fund applying for listing must meet the following conditions:

(a) approved by the China Securities Regulatory Commission and publicly issued;

(2) The duration of the fund is not less than 5 years;

(3) The minimum raised amount of the fund shall not be less than 200 million yuan;

(4) The number of fund holders shall be no less than 65,438+0,000;

(5) Having an approved fund manager and fund custodian;

(6) The fund manager and the fund custodian have sound organizational structure and management system, sound financial status and standardized business.

(7) Other conditions required by this Exchange.

Chapter III Fund Listing Application

Article 6 When applying for listing a fund, a fund manager shall complete the following preparatory work:

(1) Hire a qualified accounting firm to verify the funds raised by the fund and issue a capital verification report;

(two) the use of paperless issuance of funds, should complete its custody work; If a paper fund is issued, the issuance and storage of the physical certificate must be completed;

(3) Other preparations that should be completed.

Article 7 When applying for listing a fund, a fund manager shall submit the following documents to this Exchange:

(1) An application for listing;

(2) a listing announcement.

(three) the approval documents for the establishment and issuance of the fund;

(4) Fund contracts;

(5) Fund custody agreement;

(6) A capital verification report on the funds raised by the fund;

(7) A recommendation letter for listing signed by one or two members of the Exchange;

(8) China Securities Regulatory Commission and China.

The approval document of the People's Bank of China on the fund custodian;

(9) The China Securities Regulatory Commission has approved the establishment of a fund manager;

(ten) the business license of the fund manager's registration;

(eleven) the business license registered by the fund custodian;

(12) Documents proving that the fund management is perfect;

(13) Other documents required by this Exchange.

Article 8 When a fund manager applies to this Exchange for listing a fund, the documents submitted shall be true and complete, and there shall be no false or other misleading statements.

Article 9 Before the application is filed and the fund is approved for listing, the fund manager shall not disclose relevant information without the consent of this Exchange.

Chapter IV Approval of Fund Listing

Article 10 The Exchange shall review the application documents for listing of funds mentioned in Article 7 submitted by the fund manager, and if it considers that the application documents meet the listing requirements, it shall report the review opinions and the proposed listing time together with relevant documents to the China Securities Regulatory Commission for approval.

Article 11 This Exchange will issue a listing announcement for funds that meet the listing requirements and are approved.

Article 12 Before a fund is listed, the fund manager or fund company shall sign a listing agreement with this Exchange.

Article 13 A fund approved for listing shall publish a listing announcement in at least one newspaper designated by the China Securities Regulatory Commission within three working days of the first day of listing.

Chapter V Contents and Requirements of Fund Listing Announcement

Article 14 A fund manager shall, in accordance with regulations and requirements, prepare a fund listing announcement, giving a clear indication of the fund abbreviation, trading code, listing time and listing place. dedecms.com

Article 15 A fund listing announcement shall at least include the following main contents:

(a) the general situation of the fund;

(2) The structure of fund holders and the top ten holders;

(3) Brief introduction of the main promoters, fund managers and custodians of the fund establishment;

(4) Fund investment portfolio;

(5) A summary of the fund contract;

(six) the operation of the fund;

(7) Financial status;

(8) Disclosure of important matters;

(9) Reference documents.

Article 16 A fund listing announcement may list evidence-based performance data, but no performance forecast may be made.

Chapter VI Principles and Requirements of Information Disclosure

Article 17 The information to be disclosed by listed funds includes regular announcements and temporary announcements. Regular announcements include fund net asset value announcement, portfolio announcement, annual report and interim report announcement, and other announcements are temporary announcements.

Article 18 The information disclosed by listed funds must be submitted to this Exchange as soon as possible.

Article 19 A fund manager shall ensure that the publicly disclosed information is true, accurate and complete, and there are no false, seriously misleading statements or major omissions.

Article 20 The Firm conducts formal examination of the information disclosed by the company in accordance with various laws, regulations and rules, and is not responsible for its contents.

Article 21 A fund report shall be registered with this Exchange before disclosure. The firm conducts post-event audit on periodic reports and pre-event audit on interim reports.

Article 22 The information publicly disclosed by the Fund involves financial accounting, law, asset evaluation and other matters, and shall be made up of

Professional institutions such as accounting firms, law firms and asset appraisal firms with securities-related business qualifications shall conduct audits and issue written opinions.

Article 23 The information disclosure of a fund year must be fixed in at least one newspaper designated by the China Securities Regulatory Commission.

Article 24 The information disclosed by a fund manager in other public media shall not take precedence over the designated newspapers. Fund managers cannot replace the obligation of information disclosure by releasing news or answering reporters' questions. Dream weaving content management system

Article 25 A fund management company shall designate a senior manager to be responsible for the disclosure of fund information and handle matters related to funds, exchanges and investors.

Article 26 A fund manager shall publish an interim report within 30 days after the end of the first six months of each fund accounting year. Except in special circumstances, the interim report shall not be audited by an accounting firm.

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Article 27 A fund manager shall publish the annual report within 90 days after the end of each fund accounting year. The annual report of the fund shall be audited by an accounting firm.

Article 28 A fund manager shall regularly calculate the net asset value of the fund and the net asset value of each fund share, and make an announcement after being reviewed and audited by the fund custodian. The net asset value of the fund is published at least once a month.

Article 29 A fund manager shall publish the fund portfolio at least once every three months.

Article 30 Under any of the following circumstances, the fund manager shall immediately report to this Exchange and make an announcement in at least one newspaper designated by the China Securities Regulatory Commission as required.

(a) the fund holders' meeting to form a resolution;

(2) Changing the fund manager or fund custodian.

(3) Changes of directors, supervisors and senior managers of fund managers and fund custodians;

(4) The main personnel of the fund manager or fund custodian have changed by more than 30% within one year;

(6) Major related matters;

(seven) the fund manager or fund custodian and its directors, supervisors and senior management personnel are severely punished;

(eight) major litigation and arbitration matters;

(9) Early termination of the fund;

(10) Other important matters.

Article 31 The general meeting of fund holders shall be announced 30 days before the meeting, and the resolutions deliberated and adopted by the general meeting shall be announced as soon as possible after the meeting.

Chapter VII Listing Cost of Funds

Article 32 Funds approved for listing shall pay the initial listing fee and monthly listing fee in accordance with the provisions of this Exchange.

Article 33 The initial fee and standard for listing a fund shall be 0.0 1% of the total fund, with a starting point of 10000 yuan and a maximum of 30000 yuan. The monthly listing fee is calculated on an annual basis, with 5,000 yuan per month.

Chapter VIII Suspension, Resumption, Suspension and Termination of Trading

Article 34 A fund manager shall, in principle, apply to this Exchange for suspension and resumption of fund trading, and explain the reasons and planned suspension time; If it is unable to decide whether to apply for suspension of trading, it shall report to the exchange in time.

Article 35 The Exchange may decide to suspend or resume fund trading according to the actual situation or the requirements of the China Securities Regulatory Commission.

Article 36 Under the following circumstances, the listing of listed funds shall be suspended and resumed as usual:

(1) The Fund published an interim report on the trading day, suspended trading for half a trading day on the morning of that day, and resumed trading when the market opened on the afternoon of that day;

(2) The Fund publishes an annual report on the trading day, and suspends trading for half a trading day in the morning of that day, and resumes trading when the market opens in the afternoon of that day;

(3) If the fund holds a holders' meeting, if the meeting period overlaps with the opening time, the suspension will be implemented from the date of convening the holders' meeting, and the trading will be resumed when the market opens on the afternoon of the day when the resolutions of the holders' meeting are announced (if the announcement date is a non-trading day, the trading can be resumed on the first trading day after the announcement);

(4) The Fund announced the dividend distribution resolution on the trading day and announced the implementation of the resolution. It suspended trading for half a trading day in the morning and resumed trading when the market opened in the afternoon.

Article 37 The listing of listed funds shall be suspended and resumed under any of the following circumstances:

(1) If there is news related to funds in any public media, which may have a great impact on the trading of listed funds, the Exchange will suspend the trading of listed funds until the fund manager makes a formal announcement on the news in one of the less designated newspapers, and resume trading when the market opens that afternoon (if the announcement date is a non-trading day, the trading can be resumed on the first trading day after the announcement);

(2) In case of abnormal trading fluctuation of the Fund, the owner shall suspend trading until the relevant parties announce the resumption of trading.

Article 38 If the fund is temporarily announced on the trading day, the fund manager shall apply to the exchange for suspension of trading, and the owner shall decide the time for suspension and resumption of trading according to the situation.

Article 39 A listed fund manager violates the provisions of relevant state laws, administrative regulations, rules and business rules of the exchange in fund operation and fund information disclosure, and the circumstances are serious. During the investigation by the relevant departments, the Exchange applied for the approval of the China Securities Regulatory Commission to suspend the trading of the listed funds under investigation, and the time for resumption of trading will be decided separately after the announcement of relevant handling decisions.

Article 40 During the listing period, the Fund will suspend trading under any of the following circumstances:

(a) the fund has undergone major changes and does not meet the listing conditions;

(two) in violation of national laws and regulations, the securities management department decided to suspend its listing;

(3) Seriously violating the listing rules of this Exchange.

(4) Failing to pay the monthly listing fee for six consecutive months;

(5) Other circumstances that the China Securities Regulatory Commission and this Exchange consider it necessary to suspend trading.

Article 41 During the listing of the Fund, the transaction shall be terminated under any of the following circumstances:

(1) The reasons for suspension have not been eliminated during the suspension period.

(2) The decision of China Securities Regulatory Commission to terminate the listing;

(3) The expiration and renewal of the fund has not been approved.

(4) The fund is terminated early upon approval;

(five) other reasons that must be terminated.

Chapter IX Supplementary Provisions

Article 42 The Council of this Exchange shall be responsible for the interpretation of these Rules.

Article 43 These Rules shall be implemented after being discussed and approved by the Board of Directors of this Exchange and reported to the China Securities Regulatory Commission for approval. The same is true when modifying.

1March 998