中證網訊（記者 黃一靈）2月26日(ri)，上(shang)交所(suo)發布實(shi)施《全國中小企業股份轉(zhuan)讓系(xi)統掛牌(pai)公司向上(shang)海證券交易所(suo)科(ke)創板轉(zhuan)板上(shang)市(shi)辦法（試行）》（以下(xia)簡稱《轉(zhuan)板上(shang)市(shi)辦法》）。

　　在(zai)中國(guo)證監(jian)會統籌(chou)(chou)指導下，上(shang)交所落實《轉(zhuan)板上(shang)市指導意見(jian)》安排，組織制(zhi)定了《轉(zhuan)板上(shang)市辦法》，按照(zhao)市場導向、統籌(chou)(chou)兼顧(gu)、試點先行、防控風(feng)險的(de)思路，立足轉(zhuan)板公司已在(zai)精選層掛牌、無需發(fa)行股份的(de)業務邏輯，設計簡(jian)便高效的(de)轉(zhuan)板要(yao)求和程序(xu)，并做好制(zhi)度及監(jian)管(guan)銜接(jie)。

　　一(yi)是明(ming)確(que)轉板(ban)(ban)條(tiao)件(jian)。遵循(xun)市場(chang)導(dao)向(xiang)(xiang)，基(ji)于(yu)轉板(ban)(ban)公(gong)司(si)(si)已經(jing)過(guo)公(gong)開發行(xing)、交易等實(shi)際情況，明(ming)確(que)轉板(ban)(ban)公(gong)司(si)(si)向(xiang)(xiang)科(ke)創板(ban)(ban)轉板(ban)(ban)的，應(ying)當(dang)符(fu)合科(ke)創板(ban)(ban)定位(wei)，并滿足(zu)科(ke)創板(ban)(ban)首(shou)次公(gong)開發行(xing)上(shang)市條(tiao)件(jian)，包括合規性、股(gu)(gu)(gu)東(dong)人數、累計成(cheng)交量、公(gong)眾股(gu)(gu)(gu)東(dong)持股(gu)(gu)(gu)比例、市值及財務指標等。轉板(ban)(ban)公(gong)司(si)(si)范圍為全國(guo)中小企業(ye)股(gu)(gu)(gu)份轉讓系統有限責(ze)任公(gong)司(si)(si)精選層連續掛(gua)牌(pai)一(yi)年以上(shang)且不(bu)存在應(ying)當(dang)調出精選層情形的公(gong)司(si)(si)。

　　二是優化審(shen)(shen)(shen)核程序。鑒于轉板(ban)上(shang)市(shi)(shi)(shi)屬于股(gu)票(piao)(piao)交(jiao)易場所變更，不涉及股(gu)票(piao)(piao)公開發行，且轉板(ban)公司(si)已接受持續監管，具有規(gui)范運行基(ji)礎，故轉板(ban)上(shang)市(shi)(shi)(shi)審(shen)(shen)(shen)核時限由首次公開發行的(de)3個月(yue)壓(ya)縮為2個月(yue)，提高審(shen)(shen)(shen)核效(xiao)率。明確(que)規(gui)定(ding)申請(qing)受理(li)、審(shen)(shen)(shen)核問(wen)詢、審(shen)(shen)(shen)議決定(ding)等轉板(ban)上(shang)市(shi)(shi)(shi)審(shen)(shen)(shen)核的(de)主要環節(jie)，以及申請(qing)文件和轉板(ban)上(shang)市(shi)(shi)(shi)保(bao)薦安排，明確(que)市(shi)(shi)(shi)場預(yu)期(qi)。結合注(zhu)冊(ce)制發行上(shang)市(shi)(shi)(shi)審(shen)(shen)(shen)核規(gui)則及實踐(jian)做好審(shen)(shen)(shen)核制度銜接，強調轉板(ban)公司(si)、保(bao)薦人(ren)等主體(ti)的(de)信息披(pi)露義務，提高信息披(pi)露質量。

　　三(san)是做(zuo)好(hao)制度(du)銜接。其(qi)(qi)一(yi)，轉(zhuan)(zhuan)板(ban)(ban)(ban)上(shang)市(shi)程序(xu)銜接。上(shang)交(jiao)(jiao)(jiao)所(suo)(suo)同(tong)意轉(zhuan)(zhuan)板(ban)(ban)(ban)上(shang)市(shi)的決(jue)定(ding)自作出之日(ri)起6個月有(you)效(xiao)，轉(zhuan)(zhuan)板(ban)(ban)(ban)公(gong)(gong)司應當在決(jue)定(ding)有(you)效(xiao)期(qi)內(nei)完成轉(zhuan)(zhuan)板(ban)(ban)(ban)上(shang)市(shi)準備工作并申請股(gu)(gu)票在科(ke)創(chuang)板(ban)(ban)(ban)上(shang)市(shi)交(jiao)(jiao)(jiao)易(yi)。上(shang)市(shi)相關(guan)程序(xu)及(ji)持(chi)(chi)續監管適(shi)用《上(shang)海證券交(jiao)(jiao)(jiao)易(yi)所(suo)(suo)科(ke)創(chuang)板(ban)(ban)(ban)股(gu)(gu)票上(shang)市(shi)規(gui)則》關(guan)于首(shou)(shou)次(ci)公(gong)(gong)開發(fa)行股(gu)(gu)票并上(shang)市(shi)的規(gui)定(ding)。其(qi)(qi)二，股(gu)(gu)份限售(shou)銜接。根據《轉(zhuan)(zhuan)板(ban)(ban)(ban)上(shang)市(shi)指導意見》規(gui)定(ding)，明確(que)轉(zhuan)(zhuan)板(ban)(ban)(ban)公(gong)(gong)司控(kong)(kong)股(gu)(gu)股(gu)(gu)東、實際控(kong)(kong)制人(ren)、董(dong)監高所(suo)(suo)持(chi)(chi)股(gu)(gu)份限售(shou)期(qi)為12個月；控(kong)(kong)股(gu)(gu)股(gu)(gu)東、實際控(kong)(kong)制人(ren)限售(shou)期(qi)滿后6個月內(nei)減持(chi)(chi)的，不得導致公(gong)(gong)司控(kong)(kong)制權發(fa)生變更；核心技(ji)術人(ren)員、未盈利企業的限售(shou)及(ji)減持(chi)(chi)安(an)(an)排與(yu)首(shou)(shou)發(fa)上(shang)市(shi)公(gong)(gong)司保(bao)持(chi)(chi)一(yi)致。其(qi)(qi)三(san)，交(jiao)(jiao)(jiao)易(yi)制度(du)銜接。明確(que)轉(zhuan)(zhuan)板(ban)(ban)(ban)公(gong)(gong)司上(shang)市(shi)首(shou)(shou)日(ri)的開盤(pan)(pan)參考價格原則上(shang)為其(qi)(qi)股(gu)(gu)票在全國股(gu)(gu)轉(zhuan)(zhuan)系統最后一(yi)個有(you)成交(jiao)(jiao)(jiao)交(jiao)(jiao)(jiao)易(yi)日(ri)的收(shou)盤(pan)(pan)價，其(qi)(qi)他(ta)交(jiao)(jiao)(jiao)易(yi)安(an)(an)排適(shi)用上(shang)交(jiao)(jiao)(jiao)所(suo)(suo)關(guan)于科(ke)創(chuang)板(ban)(ban)(ban)上(shang)市(shi)公(gong)(gong)司的規(gui)定(ding)。

　　在前(qian)期公開征(zheng)求意見的(de)過程中，市場總體認(ren)可(ke)《轉板上(shang)市辦法》的(de)思(si)路和制度(du)安(an)排，并提出了(le)完善建(jian)議。上(shang)交(jiao)所經認(ren)真研(yan)究論證，充(chong)分吸(xi)收合理可(ke)行建(jian)議，如將(jiang)轉板公司(si)回復審核(he)問詢的(de)時間由2個(ge)月延(yan)長至3個(ge)月，提升制度(du)包(bao)容性(xing)。

　　下一(yi)步，上(shang)(shang)交所將進(jin)一(yi)步細化轉板(ban)上(shang)(shang)市各項配套制(zhi)度，推(tui)進(jin)轉板(ban)上(shang)(shang)市平穩實施，提高(gao)直(zhi)接(jie)融資(zi)包(bao)容度和(he)覆蓋(gai)面，增強金融服務實體經濟能力(li)，形(xing)成多層(ceng)次(ci)資(zi)本市場(chang)協同發(fa)展合力(li)。