中證網訊(xun)（記者 黃一靈）上交所網站12月17日消息，為(wei)進一步優化互聯(lian)互通(tong)機制，規(gui)范滬股通(tong)股票交易行為(wei)，根據中國證監(jian)會統一部署，上交所擬對《上海證券交易所滬港通(tong)業務實施辦(ban)法(fa)》中的相關條款進行修訂，并就《上海證券交易所滬港通(tong)業務實施辦(ban)法(fa)（征求意(yi)見稿）》向社會公開征求意(yi)見，意(yi)見反饋截止時(shi)間為(wei)2022年1月16日。

　　本次修訂內(nei)容主要(yao)包括(kuo)兩方面(mian)。一是補(bu)充規(gui)定滬股通投(tou)資(zi)(zi)(zi)者(zhe)不包括(kuo)內(nei)地投(tou)資(zi)(zi)(zi)者(zhe)。此次修訂新增(zeng)1條(tiao)作為第三十二條(tiao)，明確規(gui)定“滬股通投(tou)資(zi)(zi)(zi)者(zhe)不包括(kuo)內(nei)地投(tou)資(zi)(zi)(zi)者(zhe)。聯(lian)交(jiao)所(suo)(suo)證券(quan)交(jiao)易服務公司應當(dang)采取適(shi)當(dang)方式，要(yao)求聯(lian)交(jiao)所(suo)(suo)參與(yu)者(zhe)遵(zun)守前款規(gui)定，并要(yao)求聯(lian)交(jiao)所(suo)(suo)參與(yu)者(zhe)敦促其客戶遵(zun)守前款規(gui)定。”

　　二是(shi)明(ming)(ming)(ming)(ming)確內(nei)(nei)(nei)(nei)(nei)(nei)地(di)(di)(di)投(tou)(tou)資(zi)者(zhe)的范圍(wei)和(he)界定標準。內(nei)(nei)(nei)(nei)(nei)(nei)地(di)(di)(di)投(tou)(tou)資(zi)者(zhe)指(zhi)持有(you)中國(guo)內(nei)(nei)(nei)(nei)(nei)(nei)地(di)(di)(di)身(shen)(shen)份證(zheng)(zheng)(zheng)明(ming)(ming)(ming)(ming)文(wen)(wen)件(jian)(jian)(jian)的中國(guo)公民(min)(min)和(he)在中國(guo)內(nei)(nei)(nei)(nei)(nei)(nei)地(di)(di)(di)注冊的法人(ren)(ren)及(ji)非(fei)法人(ren)(ren)組織，不(bu)包(bao)(bao)括(kuo)(kuo)取得(de)境(jing)(jing)外(wai)(wai)永(yong)(yong)久(jiu)居留(liu)身(shen)(shen)份證(zheng)(zheng)(zheng)明(ming)(ming)(ming)(ming)文(wen)(wen)件(jian)(jian)(jian)的中國(guo)公民(min)(min)。內(nei)(nei)(nei)(nei)(nei)(nei)地(di)(di)(di)身(shen)(shen)份證(zheng)(zheng)(zheng)明(ming)(ming)(ming)(ming)文(wen)(wen)件(jian)(jian)(jian)包(bao)(bao)括(kuo)(kuo)境(jing)(jing)內(nei)(nei)(nei)(nei)(nei)(nei)居民(min)(min)戶(hu)口簿、居民(min)(min)身(shen)(shen)份證(zheng)(zheng)(zheng)、中華(hua)人(ren)(ren)民(min)(min)共和(he)國(guo)護照、往來港澳通(tong)(tong)行證(zheng)(zheng)(zheng)。境(jing)(jing)外(wai)(wai)永(yong)(yong)久(jiu)居留(liu)身(shen)(shen)份證(zheng)(zheng)(zheng)明(ming)(ming)(ming)(ming)文(wen)(wen)件(jian)(jian)(jian)包(bao)(bao)括(kuo)(kuo)但不(bu)限于境(jing)(jing)外(wai)(wai)國(guo)家和(he)地(di)(di)(di)區頒發的永(yong)(yong)久(jiu)居民(min)(min)卡、永(yong)(yong)久(jiu)居民(min)(min)簽(qian)證(zheng)(zheng)(zheng)等。內(nei)(nei)(nei)(nei)(nei)(nei)地(di)(di)(di)身(shen)(shen)份證(zheng)(zheng)(zheng)明(ming)(ming)(ming)(ming)文(wen)(wen)件(jian)(jian)(jian)不(bu)包(bao)(bao)括(kuo)(kuo)前往港澳通(tong)(tong)行證(zheng)(zheng)(zheng)（俗稱單(dan)程證(zheng)(zheng)(zheng)）。內(nei)(nei)(nei)(nei)(nei)(nei)地(di)(di)(di)注冊法人(ren)(ren)及(ji)非(fei)法人(ren)(ren)組織在境(jing)(jing)外(wai)(wai)設立的分(fen)支機構或子(zi)公司可使用在境(jing)(jing)外(wai)(wai)取得(de)的身(shen)(shen)份證(zheng)(zheng)(zheng)明(ming)(ming)(ming)(ming)文(wen)(wen)件(jian)(jian)(jian)（如商(shang)業登記(ji)證(zheng)(zheng)(zheng)等）開(kai)通(tong)(tong)滬股通(tong)(tong)交易權(quan)限。如聯(lian)名(ming)賬(zhang)戶(hu)的投(tou)(tou)資(zi)者(zhe)中有(you)任(ren)一方屬內(nei)(nei)(nei)(nei)(nei)(nei)地(di)(di)(di)投(tou)(tou)資(zi)者(zhe)，該聯(lian)名(ming)賬(zhang)戶(hu)按(an)內(nei)(nei)(nei)(nei)(nei)(nei)地(di)(di)(di)投(tou)(tou)資(zi)者(zhe)賬(zhang)戶(hu)規范。

　　上交(jiao)所表示，聯(lian)(lian)交(jiao)所證券交(jiao)易服務(wu)公司應當采(cai)取適(shi)當方式，要(yao)求聯(lian)(lian)交(jiao)所參與者遵守并要(yao)求聯(lian)(lian)交(jiao)所參與者敦促其(qi)客戶遵守以下規定：

　　一、自《實施辦(ban)法》施行(xing)之日起，聯交(jiao)所參與(yu)者(zhe)不得再(zai)為內地(di)投資者(zhe)新開通(tong)滬股(gu)通(tong)交(jiao)易權限。

　　二、自(zi)《實(shi)施(shi)辦(ban)法》施(shi)行(xing)之日起設置一年過(guo)渡期(qi)(qi)。過(guo)渡期(qi)(qi)內(nei)，《實(shi)施(shi)辦(ban)法》施(shi)行(xing)前已開通滬(hu)股(gu)通權(quan)限的內(nei)地投(tou)資(zi)者（以下簡(jian)稱存量內(nei)地投(tou)資(zi)者），可繼續通過(guo)滬(hu)股(gu)通買賣(mai)滬(hu)股(gu)通股(gu)票。過(guo)渡期(qi)(qi)結束后，存量內(nei)地投(tou)資(zi)者不得(de)再通過(guo)滬(hu)股(gu)通主(zhu)動(dong)買入(ru)滬(hu)股(gu)通股(gu)票，因(yin)公司行(xing)為（如以股(gu)票形(xing)式分派股(gu)息、配股(gu)等）等被動(dong)取得(de)滬(hu)股(gu)通股(gu)票情形(xing)除外，所持有滬(hu)股(gu)通股(gu)票可繼續賣(mai)出。

　　三(san)、過渡期(qi)結束后，聯交(jiao)所參與者(zhe)應當注銷(xiao)無持股存(cun)量(liang)內地投資者(zhe)滬股通(tong)交(jiao)易權限。

　　四、《實施辦法(fa)》施行后，如聯交(jiao)(jiao)所參(can)與(yu)者倒(dao)閉或不能(neng)提供滬(hu)股通(tong)交(jiao)(jiao)易服務，導致(zhi)存量內地投資者無法(fa)參(can)與(yu)滬(hu)股通(tong)交(jiao)(jiao)易，在符合上述規定(ding)的(de)前提下(xia)，此類存量內地投資者可通(tong)過其(qi)他聯交(jiao)(jiao)所參(can)與(yu)者開通(tong)滬(hu)股通(tong)交(jiao)(jiao)易權限，繼續參(can)與(yu)滬(hu)股通(tong)交(jiao)(jiao)易。