Measures for the Administration of Securities Issuance of Listed Companies

Measures for the Administration of Securities Issuance of Listed CompaniesIt is formulated to regulate the securities issuance behavior of listed companies and protect the legitimate rights and interests of investors and social and public interests. The free version of the Measures for the Administration of Securities Issuance of Listed Companies is provided by Huajun Software Park for free download. The source file is in docx format, which is convenient for users to edit by themselves. For more information on the management measures for securities issuance of listed companies, please pay attention to Huajun Software Park for free downloads.

Contents of the Measures for the Administration of Securities Issuance of Listed Companies

​​ 1. The company's articles of association are legal and valid, and the systems of shareholders, board of directors, board of supervisors and independent directors are sound, and they can effectively perform their duties in accordance with the law.

​ 2. The company’s internal control system is sound and can effectively ensure the company’s operating efficiency, legal compliance and reliability of financial reports; there are no major flaws in the integrity, rationality and effectiveness of the internal control system

3. The current directors, supervisors and senior managers are qualified to perform their duties faithfully and diligently, and have not violated Articles 148 and 149 of the Company Law. Received administrative punishment from the China Securities Regulatory Commission and has not been publicly condemned by the stock exchange in the past xx months

​​ 4. A listed company is separated from its controlling shareholder or actual controller in terms of personnel, assets, finance, etc., has independent organizational structure and business, and can operate and manage independently

5. There is no illegal act of providing external guarantees in the past twelve months

​ 6. Profitable in the last three fiscal years. Compared with the net profit before deduction, the calculation is based on the lower

Matters needing attention in the Measures for the Administration of Securities Issuance of Listed Companies

If a listed company has any of the following circumstances, it may not issue shares privately:

(1) The application documents for this issuance contain false records, misleading statements or major omissions

(2) The rights and interests of the listed company have been seriously damaged by the controlling shareholder or actual controller and have not been eliminated

(3) Listed companies and their subsidiaries have provided external guarantees in violation of regulations and have not yet released them

(4) Directors and senior managers have received administrative penalties from the China Securities Regulatory Commission within thirty-six months, or have been publicly reprimanded by stock exchanges within twelve months

(5) The listed company or its current directors and senior managers are being investigated by judicial authorities for suspected crimes or are being investigated by the China Securities Regulatory Commission for suspected violations of laws and regulations.

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