Implementation Rules for Intellectual Property Transactions (Shanghai United Equity Exchange)

Chapter 1 General Provisions

Article 1 is for the purpose of implementing the Shanghai Municipal People's Government's "About this Municipality" These rules are formulated in accordance with the spirit of the Implementation Opinions on Promoting Intellectual Property Pledge Financing, standardize intellectual property transaction behavior, protect intellectual property transactions, and fully and effectively allocate intellectual property resources in accordance with relevant national laws and regulations.

Article 2: These rules apply to the city’s intellectual property trading activities within the Shanghai United Assets and Equity Exchange (hereinafter referred to as the “Exchange”).

Article 3 Intellectual property transactions should follow the following principles:

(1) Comply with laws, regulations and relevant policies;

(2) Optimize allocation Resources;

(3) Voluntary, equal and paid;

(4) Open, fair and impartial.

Chapter 2 Transaction Entities and Scope

Article 4 The term “transaction entities” as mentioned in these Rules refers to the transferor and transferee who entrust the Stock Exchange to conduct intellectual property transactions.

(1) Transferor:

1. The pledgee whose debt has not been paid off at the expiration of the debt performance period of the loan pledged by intellectual property rights. (Legal persons, natural persons or other organizations)

2. Legal persons, natural persons or other organizations that possess independent intellectual property rights in accordance with the law and enjoy the rights and interests related to intellectual property rights in accordance with the law.

(2) The transferee

has been confirmed by the Stock Exchange to have the right to apply for purchase in intellectual property trading activities, has civil rights and capacity for civil conduct, and can independently bear civil liabilities, and A legal person, natural person or other organization that meets the transfer conditions for specific items of intellectual property pledge rights and has gone through necessary procedures such as transaction procedures.

Article 5 The transaction subject matter mentioned in these rules refers to the registered trademark rights, transfer rights, and copyrights (copyrights) entrusted to be transferred by the Stock Exchange.

Chapter 3 Transaction Methods

Article 6 Depending on the nature of the transaction object and the number of bidders, the following six methods can be used for transactions:

( 1) Transfer by agreement;

(2) Electronic bidding;

(3) One-time quotation;

(4) Comprehensive review and bidding method;

(5) Bidding or auction;

(6) Other methods stipulated by laws and regulations.

Chapter 4 Transaction Process

Article 7 Intellectual property transaction projects shall be subject to application registration, rights confirmation and revaluation, review and listing, information release, bidding transaction, contract signing, and transaction authentication. , settlement, settlement, and change registration procedures are carried out.

Step one: Apply for registration, confirm rights and revaluate

Article 8: Apply for registration

(1) Anyone who entrusts the Stock Exchange to conduct intellectual property transactions The transferor should fill in the "Transferer Registration Form".

(2) Any transferee that entrusts the Stock Exchange to conduct intellectual property transactions should fill in the "Transferee Registration Form".

(3) Transaction entities should fill in relevant forms truthfully and completely.

1. The transaction entity shall ensure that the information reported and the materials provided are true, reliable and legal, and shall bear all legal liabilities arising therefrom.

2. The transaction entity should provide corresponding written materials and electronic materials at the same time.

3. The transaction entity should provide supporting materials, including: enterprise business license, copy of the legal representative’s ID card or personal ID card, valid certification documents for the transferred intellectual property certificate, and other required documents Material.

Article 9 Confirmation and revaluation

The Stock Exchange shall uniformly accept the confirmation and revaluation of listed projects.

Step 2: Review and listing, information release

Article 10 Review and listing

Review content:

1. All registration forms Completeness and standardization of payment filling.

2. The variety, quantity, and format of certification materials should meet the specified requirements.

3. The intellectual property certificate is authentic and valid.

Including:

1) Intellectual property rights owned by legal persons, natural persons or other organizations are subject to the Patent Law of the People's Republic of China, the Copyright Law of the People's Republic of China, and the Copyright Law of the People's Republic of China. **Recognition and protection of relevant intellectual property protection laws and relevant regulations promulgated by relevant national intellectual property management agencies such as the Trademark Law of the People's Republic of China.

2) The effective remaining period of intellectual property rights enjoyed by legal persons, natural persons or other organizations shall not be shorter than the loan term plus 24 months from the expiration date of the loan term.

3) The intellectual property owner has paid the annual intellectual property fee in full and on time.

4) The owner of the intellectual property rights has made a written commitment not to give up his or her intellectual property rights until the principal and interest of the loan are repaid in full.

4. The paper materials of the project are consistent with the electronic materials.

5. For projects provided by banks that support property rights pledge loans, if the borrower is unable to repay the loan and list it on the Stock Exchange after the loan expires, the Stock Exchange must re-register the pledged intellectual property rights. Only after the rights are confirmed and evaluated can it be listed on the market.

6. Review the submitted project materials in accordance with relevant national laws and regulations to see whether the content has legal effect and involves harming national economic interests or security interests.

7. The Stock Exchange should communicate with the trading entities of entrusted transactions to ensure that the materials submitted comply with the public listing requirements of the Stock Exchange. Those that do not meet the requirements and fail to pass the review should be recorded. Keep disposal records and issue relevant instructions.

8. Archive the written materials and electronic materials of the projects approved for listing, number the listed projects according to the project category, and start the listing process.

9. The Stock Exchange will review all materials submitted by trading entities within five working days and issue a notice of approval or disapproval of listing.

Article 11 Listing and Information Release

The Stock Exchange will input the complete information on the listing requirements into the Stock Exchange’s internal trading system and publish it publicly in the following form:

1. Website promotion;

2. Organizing various trade promotion meetings;

3. News media promotion;

4. Directed release on the institute’s internal network;

6. Other methods.

The third step: organize the transaction and sign the contract

Article 12 Bidding Transaction

(1) The trading entity can proceed based on the project information listed for trading Inspection, investigation, consultation, demonstration, and intention negotiation.

(2) The Stock Exchange shall determine the trading method based on the characteristics of the intellectual property listing and trading projects and organize its implementation.

Article 13 Transaction Authentication

(1) Contract Signing

After the transaction parties have reached an agreement on the substantive conditions of the transaction, the transaction shall be conducted in accordance with the provisions of the People’s Republic of China ***Signed an "Intellectual Property Transaction Contract" in accordance with the relevant provisions of the Contract Law of the People's Republic of China. After the transaction contract is signed and sealed by the transaction subject, the Stock Exchange will issue a transaction confirmation notice and record the transaction.

(2) Transaction Contract

The transaction contract shall specify the following contents:

1. Transaction object;

2. Transaction subject Name, address, legal representative;

3. Transaction price, payment method and term;

4. Liability for breach of contract;

5. Contract dispute resolution Method;

6. Signing date;

7. Other matters that need to be agreed upon.

The "Intellectual Property Transaction Contract" is made in triplicate. Each party to the transaction holds one copy and one copy is filed with the Stock Exchange.

(3) Transaction Authentication

1. Name and legal representative of the transaction entity;

2. Transaction object;

3 , transaction price, payment method and term;

4. Signing date;

5. Registration number of the transaction contract on the Stock Exchange.

Step 4: Settlement, Delivery, Change Registration

Article 14 Settlement, Delivery and Registration Change

The Stock Exchange is responsible for unifying transaction prices and related matters on the exchange Fee settlement, and supervise and assist transaction entities to handle settlement, delivery, change registration and other relevant procedures in accordance with the contract and relevant laws and regulations.

Article 15 Charging Standards

The charging standards shall refer to the property rights transaction charging standards of Shanghai United Equity Exchange.

Chapter 5 Dispute Handling and Legal Liability

Article 16 Dispute Handling

If any dispute arises during trading activities, both parties may apply to the Stock Exchange Mediation; you can also apply for arbitration by convening a hearing or filing a lawsuit in the People's Court according to the contract.

Article 17 Treatment of Violations

If the parties to the transaction conducted by the Stock Exchange, as well as the intermediaries that provide relevant vouchers and materials for the transaction, violate these rules and cause losses, Those who violate these rules shall bear corresponding liability for compensation, and those who violate laws and regulations shall be held legally responsible.

Chapter 6 Supplementary Provisions

Article 18 Any intellectual property transactions involving matters stipulated in these rules shall be handled in accordance with the relevant national and Shanghai laws and regulations.

Article 19 The Stock Exchange is responsible for the interpretation of these rules. During the implementation of these rules, the Stock Exchange may issue relevant supplementary rules, which have the same effect as these trading rules.