中證(zheng)(zheng)網訊(xun)（記(ji)者 黃靈(ling)靈(ling)）2月26日，深交所正(zheng)式發布《深圳證(zheng)(zheng)券(quan)交易所關于全(quan)國中小企(qi)(qi)業股份轉(zhuan)(zhuan)讓系統掛(gua)牌公司向創(chuang)業板轉(zhuan)(zhuan)板上市(shi)(shi)(shi)辦法(fa)（試行）》（以(yi)下簡稱《轉(zhuan)(zhuan)板辦法(fa)》），明確轉(zhuan)(zhuan)板上市(shi)(shi)(shi)各項制度(du)安(an)排，規(gui)范轉(zhuan)(zhuan)板上市(shi)(shi)(shi)行為。這(zhe)是(shi)深交所推(tui)進資本市(shi)(shi)(shi)場(chang)全(quan)面深化改革的(de)重(zhong)要舉措(cuo)，有(you)助于豐富新三板掛(gua)牌公司上市(shi)(shi)(shi)路(lu)徑，打通中小企(qi)(qi)業成長壯大(da)的(de)發展通道，加強多(duo)層次資本市(shi)(shi)(shi)場(chang)有(you)機聯系，增強金融服務實(shi)體經(jing)濟能(neng)力(li)。

　　根據證監會(hui)《關于全國中(zhong)小企業股(gu)份轉(zhuan)讓系統(tong)掛牌公司轉(zhuan)板上(shang)(shang)(shang)市的(de)指導(dao)意見(jian)》總體要(yao)求(qiu)，《轉(zhuan)板辦法》在充分借鑒創(chuang)業板首發上(shang)(shang)(shang)市相(xiang)關制度(du)安排的(de)基礎上(shang)(shang)(shang)，結合轉(zhuan)板上(shang)(shang)(shang)市主體、程序等(deng)的(de)特殊性，從(cong)轉(zhuan)板上(shang)(shang)(shang)市條件、轉(zhuan)板上(shang)(shang)(shang)市審核、轉(zhuan)板上(shang)(shang)(shang)市后(hou)持(chi)續監管及交易銜(xian)接等(deng)方(fang)面作(zuo)出規范要(yao)求(qiu)。

　　一是(shi)轉(zhuan)板上(shang)市(shi)(shi)條件(jian)。與創(chuang)業(ye)板首發(fa)上(shang)市(shi)(shi)條件(jian)保持總體一致，轉(zhuan)板公(gong)(gong)司(si)(si)需要符合(he)創(chuang)業(ye)板定位及首發(fa)條件(jian)、符合(he)《創(chuang)業(ye)板股票上(shang)市(shi)(shi)規(gui)則》規(gui)定的上(shang)市(shi)(shi)標準等(deng)。此外，轉(zhuan)板公(gong)(gong)司(si)(si)應當在新三(san)板精選層連(lian)續掛牌一年以上(shang)，并滿足股東人數(shu)不低于(yu)(yu)1000人、董事(shi)(shi)會審議轉(zhuan)板上(shang)市(shi)(shi)相關事(shi)(shi)宜決議公(gong)(gong)告日前六十(shi)個交易日內(nei)累計(ji)成交量不低于(yu)(yu)1000萬股等(deng)條件(jian)。

　　二是(shi)轉(zhuan)板(ban)上(shang)(shang)(shang)市審(shen)(shen)核(he)(he)。審(shen)(shen)核(he)(he)程(cheng)序上(shang)(shang)(shang)，由于轉(zhuan)板(ban)上(shang)(shang)(shang)市不涉(she)及新(xin)股發(fa)行(xing)，無需履行(xing)注(zhu)(zhu)冊程(cheng)序，由深交所發(fa)行(xing)上(shang)(shang)(shang)市審(shen)(shen)核(he)(he)機構對轉(zhuan)板(ban)上(shang)(shang)(shang)市申請進(jin)行(xing)審(shen)(shen)核(he)(he)，出具審(shen)(shen)核(he)(he)報告，提交創業板(ban)上(shang)(shang)(shang)市委員會審(shen)(shen)議；時(shi)限(xian)安(an)排上(shang)(shang)(shang)，相比于首(shou)發(fa)上(shang)(shang)(shang)市，轉(zhuan)板(ban)上(shang)(shang)(shang)市審(shen)(shen)核(he)(he)時(shi)限(xian)縮短至兩個月、同意轉(zhuan)板(ban)上(shang)(shang)(shang)市決定(ding)有效期縮短至六個月，進(jin)一步提高轉(zhuan)板(ban)上(shang)(shang)(shang)市效率；審(shen)(shen)核(he)(he)內(nei)容上(shang)(shang)(shang)，重點(dian)關注(zhu)(zhu)轉(zhuan)板(ban)公司是(shi)否符合(he)轉(zhuan)板(ban)上(shang)(shang)(shang)市條(tiao)件、信(xin)息披露是(shi)否符合(he)要求等(deng)方(fang)面。

　　三是(shi)限(xian)(xian)(xian)售(shou)安排銜接。轉板(ban)公(gong)司控股(gu)(gu)股(gu)(gu)東、實際控制人(ren)轉板(ban)上(shang)市(shi)(shi)(shi)后(hou)的限(xian)(xian)(xian)售(shou)期(qi)(qi)縮短為十二個月，解限(xian)(xian)(xian)后(hou)六個月內減(jian)持(chi)股(gu)(gu)份不得(de)導致控制權(quan)變更；董監高所持(chi)股(gu)(gu)份限(xian)(xian)(xian)售(shou)期(qi)(qi)為十二個月；申請(qing)轉板(ban)上(shang)市(shi)(shi)(shi)時有限(xian)(xian)(xian)售(shou)條(tiao)件的股(gu)(gu)份，轉板(ban)上(shang)市(shi)(shi)(shi)時限(xian)(xian)(xian)售(shou)期(qi)(qi)尚未屆滿(man)的，轉板(ban)上(shang)市(shi)(shi)(shi)后(hou)剩余限(xian)(xian)(xian)售(shou)期(qi)(qi)內繼續(xu)限(xian)(xian)(xian)售(shou)。未盈利轉板(ban)公(gong)司轉板(ban)上(shang)市(shi)(shi)(shi)后(hou)，相關人(ren)員(yuan)所持(chi)股(gu)(gu)份限(xian)(xian)(xian)售(shou)事宜與未盈利企業首(shou)發上(shang)市(shi)(shi)(shi)保持(chi)一致。

　　四是交易(yi)(yi)機制銜(xian)接。轉板(ban)(ban)公司股票轉板(ban)(ban)上(shang)市(shi)后(hou)的(de)交易(yi)(yi)、融資融券、股票質(zhi)押回購及約定購回交易(yi)(yi)、投資者適當(dang)性管(guan)理等相關(guan)事宜與創業板(ban)(ban)注冊制下首發(fa)上(shang)市(shi)的(de)股票保持(chi)一(yi)致；股東未開通(tong)創業板(ban)(ban)交易(yi)(yi)權(quan)限(xian)的(de)，可以繼續(xu)持(chi)有或(huo)者賣(mai)出轉板(ban)(ban)公司股票。轉板(ban)(ban)上(shang)市(shi)首日的(de)開盤參考價為轉板(ban)(ban)公司在(zai)新三板(ban)(ban)精選層最后(hou)一(yi)個有成(cheng)交交易(yi)(yi)日收盤價。

　　深交所(suo)始(shi)終(zhong)堅持開(kai)門立規(gui)，于(yu)2020年(nian)11月27日至(zhi)12月11日就《轉(zhuan)板(ban)(ban)辦法》公開(kai)征(zheng)求意(yi)(yi)見，廣泛聽(ting)取(qu)市(shi)(shi)場(chang)(chang)各方(fang)(fang)聲音。總體(ti)來(lai)看，市(shi)(shi)場(chang)(chang)各方(fang)(fang)對(dui)(dui)(dui)《轉(zhuan)板(ban)(ban)辦法》充分認可(ke)，意(yi)(yi)見主(zhu)要集中(zhong)在(zai)轉(zhuan)板(ban)(ban)上(shang)市(shi)(shi)條(tiao)(tiao)件(jian)及(ji)程序、中(zhong)介(jie)機(ji)構(gou)職責、配套制度(du)規(gui)則(ze)(ze)等方(fang)(fang)面(mian)。對(dui)(dui)(dui)于(yu)市(shi)(shi)場(chang)(chang)主(zhu)體(ti)的(de)(de)反饋意(yi)(yi)見，深交所(suo)高(gao)(gao)度(du)重視(shi)、認真研究，對(dui)(dui)(dui)于(yu)合理可(ke)行的(de)(de)建議(yi)予以吸納，進一(yi)步完善《轉(zhuan)板(ban)(ban)辦法》相關條(tiao)(tiao)款。一(yi)是將轉(zhuan)板(ban)(ban)公司(si)及(ji)中(zhong)介(jie)機(ji)構(gou)回復(fu)時(shi)(shi)間(jian)延長至(zhi)三個(ge)月，有利于(yu)提高(gao)(gao)信息披露質(zhi)量。二(er)是明(ming)確成交量指(zhi)標(biao)條(tiao)(tiao)件(jian)的(de)(de)計算范圍(wei)，僅包含通(tong)過(guo)精(jing)選(xuan)層競(jing)價交易(yi)方(fang)(fang)式(shi)實現的(de)(de)股票交易(yi)量。三是借鑒首(shou)發(fa)(fa)審(shen)核規(gui)則(ze)(ze)相關規(gui)定，明(ming)確轉(zhuan)板(ban)(ban)上(shang)市(shi)(shi)申請不(bu)予受(shou)理的(de)(de)具體(ti)情形(xing)。四是明(ming)確實施(shi)現場(chang)(chang)督導情形(xing)不(bu)計入本所(suo)審(shen)核時(shi)(shi)限、發(fa)(fa)行人(ren)及(ji)中(zhong)介(jie)機(ji)構(gou)回復(fu)時(shi)(shi)間(jian)。

　　深(shen)交所(suo)表示，下一步，深(shen)交所(suo)將(jiang)按照中(zhong)國證(zheng)監會統一部署，堅持穩中(zhong)求進(jin)工作總基調(diao)，扎實推進(jin)轉(zhuan)(zhuan)板上市(shi)涉及(ji)(ji)的配套業(ye)務規則、技術系(xi)統等(deng)各項準備工作，認(ren)真做好相關(guan)受理、審(shen)核、上市(shi)及(ji)(ji)監管銜接等(deng)，確保轉(zhuan)(zhuan)板上市(shi)平穩落地、有(you)序運轉(zhuan)(zhuan)。