Work guide:
1. Documents to be submitted
(1) application for stock issuance;
(2) China Securities Regulatory Commission "Securities Regulatory License" issuance approval document;
(3) an application for securities abbreviation and securities code.
(4) The relevant commitments to submit documents during the issuance and listing shall include that the electronic documents submitted during the issuance and listing of new shares are consistent with the written documents, the issuance declaration documents in the application documents are consistent with the documents finally determined by the CSRC, and the announcement of external disclosure is consistent with the documents reviewed by the Exchange;
(5) Basic information table of stock issuance;
(6) industry classification table;
(7) A copy of the ID card of the agent of the lead underwriter, the power of attorney of the lead underwriter and the identity certificate of the legal representative of the lead underwriter;
(8) A copy of the ID card of the company's handling personnel, the company's power of attorney and the identity certificate of the company's legal representative;
(9) Distribution plan.
2. Determination of securities abbreviation and securities code
On the trading day before the company discloses the prospectus, the issuer and the lead underwriter need to upload the application documents of securities code and securities abbreviation through the sponsor business area before 17:00, including the application form of securities abbreviation and securities code (please refer to these guidelines for preparation), approval documents and issuance schedule. After the application is accepted and passed by the listing promotion department of Shenzhen Stock Exchange, the company will enter the sponsorship business area-securities abbreviation and securities code determination module to determine the securities abbreviation and securities code.
3. Introduction of related processes
(1) disclose the prospectus on or before T-3 (T is the subscription date of new shares);
(2)T- 1 disclosure announcement;
(3) Investors pay the subscription money on T day;
(4) announcement of T+2 disclosure winning rate;
(5)T+2 day lottery;
(6)T+3 disclosure of the announcement of the lottery results;
(7) register the shares after T+3.
Listing on the stock exchange
Work guide:
1. Documents to be submitted
(1) listing report;
(2) Resolutions of the board of directors and the shareholders' meeting applying for listing;
(3) A copy of the company's business license and a commitment to handle the industrial and commercial change registration within three months after issuance;
(4) Articles of association;
(5) The audited financial and accounting reports of the issuer in the last three years;
(6) Information of the company's secretary of the board of directors and securities affairs representative, including: resume, education certificate, contact information, qualification certificate of the secretary of the board of directors, etc. ;
(7) The commitment of the controlling shareholder and actual controller to lock in the shares and other relevant commitments;
(8) The plan for the issuer and its controlling shareholders, directors and senior managers to stabilize the stock price within three years after listing;
(9) An explanation of the intention of shareholders who hold more than 5% of shares before the public offering of the issuer and their intention to reduce their holdings;
(10) Special power of attorney of the sponsor institution to the sponsor representative;
(1 1) China Securities Regulatory Commission's previous feedback reply and audit opinion letter reply;
(12) A copy of the ID card of the person in charge of the sponsor institution, the power of attorney of the sponsor institution and the identity certificate of the legal representative of the sponsor institution;
(13) A copy of the ID card of the person in charge of the company, the power of attorney of the company and the identity certificate of the legal representative of the company;
(14) certification documents and relevant attachments that all shares of the company have been settled in China and managed by Shenzhen Branch;
(15) Application for registration of new share issuance and registration declaration form);
(16) capital verification report on the receipt of funds raised by new shares;
(17) listing recommendation;
(18) legal opinions on stock listing;
(19) listing announcement;
(20) Financial information and explanatory documents on major issues that need to be supplemented in accordance with regulations during the period from stock issuance to listing;
(2 1) prospectus;
(22) Commitment to enter the national share transfer system for small and medium-sized enterprises;
(23) the sponsor's explanation of the shareholders' shareholding before listing after the company's initial public offering;
(24) Approval document for the transfer of state-owned shares (if applicable);
(twenty-five) other documents required by this exchange.
2. Introduction of related processes
On or before (1)T- 1 day, the sponsor institution shall submit 1- 13 listing application documents to the listing promotion department of Shenzhen Stock Exchange according to the requirements of the listing application documents list;
(2) On or before L-3 (L-3 is the listing date), the sponsor institution shall submit 14-25 listing application documents to the listing promotion department of Shenzhen Stock Exchange according to the requirements of the listing documents list;
(3) On the L-2 day, the sponsor institution will receive the listing notice from the Listing Promotion Department of Shenzhen Stock Exchange; The company went to the listing promotion department of Shenzhen Stock Exchange to receive the Notice of Payment of Initial Listing Fee and pay the initial listing fee;
(4)L- 1, disclosure of listing announcement;
(5) On the L day, the stock went public.
For details, please refer to the column "Laws/Rules" in the Business Rules of the Firm-Guidelines for Initial Public Offering and Listing of Shenzhen Stock Exchange on the website of the Firm.
Listing of corporate bonds
Work guide:
1. Documents to be submitted:
(1) bond listing application;
(two) the documents of the the State Council authorized department to approve the issuance of corporate bonds;
(3) The resolution of the board of directors on the bond application for listing;
(4) the listing recommendation letter signed by the members of this Exchange;
(5) Articles of association;
(6) Business license of the enterprise;
(7) Measures for raising corporate bonds, issuance announcement, issuance summary report and underwriting agreement;
(8) Bond credit rating report;
(9) A capital verification report on the funds raised by bonds;
(10) listing announcement;
(1 1) An audit report issued by an accounting firm with securities qualification; Or the relevant reply from the competent financial authority;
(12) the guarantor's financial statements and other credit information in the last three years and the guarantee agreement (in the case of guarantee issuance);
(13) List of bondholders and description of bond custody;
(14) Legal opinions on the issuance and listing of bonds issued by law firms with securities and futures-related business licenses;
(15) Securities qualification certificates of all intermediaries and signatories;
(16) Other documents required by the China Securities Regulatory Commission or the Exchange.
2. Introduction of related processes
(1) After the first trial is passed, the company management department will issue a bond listing commitment letter to those who meet the listing conditions;
(2) The company management department determines the abbreviation and code of bonds of listed companies, and the lead underwriter enters the detailed information of investor custody according to the data interface specification, and submits it to China Securities Depository and Clearing Co., Ltd. Shenzhen Branch for registration and custody;
(3) The company management department shall review the announcement of the listing of corporate bonds and notify the lead underwriter to publish it in the designated newspapers.
Tel: 0755-88668532 0755-88668139
Fax: 0755-82083 164
Stock and bond listing ceremony
Venue: Ceremony Hall on the eighth floor of our office.
Time: 9: 00-9: 25 (when the bell rings at 9: 25, the start time can be adjusted).
Reference agenda:
(1) Guests attending the listing ceremony should arrive at the Exchange before 8: 45 on the day of listing;
(2) VIP sign-in;
(3) The listing ceremony begins, and VIPs and guests enter the venue;
(4) the host introduces the guests;
(5) Speech by the representative of the company's chairman and government leaders;
(6) The leaders of Shenzhen Stock Exchange presented souvenirs to the chairman of the company;
(7) At the prompt of the big screen, the chairman of the company rings the opening bell;
(8) The listing ceremony is over.