China: 科创板制度解读系列之(六)

Last Updated: 17 April 2019
Article by Yuwei Wang
Most Read Contributor in China, March 2019

科创板制度解读系列之(六)《上海证券交易所科技创新咨询委员会工作规则(征求意见稿)》

根据中国证监会于2019年1月30日发布的《科创板首次公开发行股票注册管理办法(试行)》,上海证券交易所(以下简称"上交所")设立科创板科技创新咨询委员会(以下简称"咨询委员会"),向交易所提供专业咨询、人员培训和政策建议。咨询委员会由相关领域科技专家、知名企业家、资深投资专家等组成。

2019年1月30日,上交所发布了科创板上市审核等一系列制度。其中,针对咨询委员会的组成、职责和履职,上交所制定了《上海证券交易所科技创新咨询委员会工作规则(征求意见稿)》(以下简称"《工作规则》")。

那么,科技创新咨询委员会在科创板上市中承担着什么样的作用?笔者对《工作规则》梳理和解读如下:

一、设立咨询委员会的目的

科创板的定位是科技创新性高新技术企业和战略新型产业企业,科创企业处于科技前沿,专业性较强,更新迭代和发展变化快,为在科创板相关工作中更准确地把握科创企业的行业特点,设立科技创新咨询委员会,提供专业咨询、政策建议,以更好地推动科创板建设,促进完善科创板制度设计。

二、咨询委员会的定位

咨询委员会是交易所专家咨询机构,负责向交易所提供专业咨询、人员培训和政策建议。

上交所在上市审核过程中可以根据需要就发行人是否符合科创板定位向科技创新咨询委员会提出咨询,必要时可对申请发行上市的企业进行询问。

因此,咨询委员会主要定位为科创板建设、科创企业属性确定、科创企业上市推荐指引制定等提供咨询意见,并为科创板发行上市审核提供问询意见和建议。

三、咨询委员会的咨询内容

咨询委员会的咨询内容主要为业务与技术层面,接受咨询的事项主要是科创板发行人的科技创新属性、所披露的行业现状、技术水平和发展前景等涉及的专业性、技术性问题。

四、咨询委员会专家的遴选

1.咨询委员会遴选突出专业性和代表性

咨询委员会由40-60名从事科技创新行业的权威专家、知名企业家、资深投资专家组成,并根据行业划分为多个咨询小组。

2.咨询委员会专家涵盖的专业领域

(1)集成电路领域;(2)生物医药领域;(3)人工智能;(4)大数据;(5)云计算;(6)软件;(7)互联网;(8)物联网;(9)新一代移动通信服务(5G)等新一代信息技术领域;(9)航空航天;(10)海洋工程;(11)先进轨道交通;(12)高端数控机床和机器人等高端装备制造领域;(13)新材料;(14)新能源汽车等领域。

3.分行业组别咨询

与科创板分行业审核的架构相适应,咨询委员会采取分行业咨询的模式,各行业委员的数量根据该行业企业发行上市工作的实际需要进行配备。

4.任期及选聘

咨询委员会委员每届任期两年,可以连选连任。科技创新行业具有领域前沿、专业性强、更新迭代和发展变化快等特点,初步设置两年的任职期限,有利于按照相关科创行业发展及时调整委员会人员结构,或及时增补相应委员。

咨询委员会委员由上交所按照依法、公开、择优的原则予以选聘。实践中,上交所可以根据需要,商请有关部委、科研院校、行业协会等单位推荐委员人选。咨询委员会委员被解聘的,上交所重新聘任新委员。

五、咨询委员会的主要职责

1.咨询委员会职责定位于专家咨询机构,重在提供专业咨询意见和建议

为充分体现咨询委员会为科创板建设提供决策参考的定位,《上海证券交易所科创板股票发行上市审核规则(征求意见稿)》明确咨询委员会将根据上交所工作需要,在上市推广相关工作中,就企业是否具有科创企业属性、是否符合技术发展趋势,提供咨询意见;在发行上市审核相关工作中,就发行人披露的行业现状、技术水平和发展前景涉及的专业性、技术性问题,对审核问询提供意见和建议。

2.咨询委员会履职要求

结合咨询委员会工作的自身特点,要求委员遵守以下规定:

(1)勤勉尽责、诚实守信履行职责,确保工作时间与精力;

(2)保守因参与咨询委员会工作了解的国家秘密、商业秘密和内幕信息,不向任何第三方泄露;

(3)咨询事项与自身利益相关或者存在利益冲突的,及时提出回避;

(4)不得利用委员身份谋取不正当利益或进行业务宣传,不得接受企业馈赠或存在其他有损其公正履职的行为。

六、咨询委员会的工作机制

1.履职方式

上交所根据工作需要向咨询委员会委员进行咨询的,通过召开会议、书面函件等方式,就具体咨询事项向相关行业委员进行咨询。

委员应当结合自身专长和所从事工作,尽职尽责,认真阅研上交所提出的咨询事项及相关材料,以个人身份独立、客观、公正地提供咨询意见。

2.回避监督机制

为监督咨询委员会委员履职,上交所根据工作需要进行咨询时,接受咨询的委员存在《工作规则》规定的回避情形的,委员应当回避。委员回避可以依委员主动申请、由发行人等第三方提出书面要求或者由上交所决定。委员存在回避情形但未回避的,上交所将依照规定解聘有关委员。

3.年度会议

咨询委员会每年至少召开一次全体会议,讨论分析上交所提议的相关议题,总结咨询委员会年度工作情况,提出咨询委员会工作计划和意见建议。

七、证监会科技创新咨询委员会和上交所科技创新咨询委员会的区别

证监会为配合CDR发行于2018年6月6日发布的证监会公告[2018]16号《中国证监会科技创新咨询委员会工作规则(试行)》设立的科技创新咨询委员会与此次上交所设立的咨询委员会有诸多相似之处,具体如下:

上交所科技创新咨询委员会

证监会科技创新咨询委员会

定位

专家咨询机构,负责向上交所提供专业咨询、人员培训和政策建议。

是证监会的政策咨询机构,负责向证监会以及发行审核委员会、并购重组审核委员会、上交所、深圳证券交易所、全国中小企业股份转让系统有限责任公司(以下简称全国股转公司)提供专业咨询和政策建议。

委员构成

四十至六十名,由从事科技创新行业的权威专家、知名企业家、资深投资专家组成,所有委员均为兼职。

由从事高新技术产业和战略性新兴产业(主要包括互联网、大数据、云计算、人工智能、软件和集成

电路、高端装备制造、生物医药等)的权威专家、知名企业家、资深投资专家组成。

咨询委员会设主任委员一名,副主任委员若干名。

选聘方式

由上交所按照依法、公开、择优的原则予以选聘。可以商请有关部委、科研院校、行业协会等单位推荐委员人选。

委员由证监会按照依法、公开、择优的原则聘任,根据工作需要动态调整。

选任条件

(一)严格遵守国家法律法规,坚持原则,公正廉洁,恪守职业道德和诚信准则;

(二)从事科技创新行业的科学研究、企业经营、投资管理、政策制定等相关工作,熟悉相关方面的产业政策、前沿技术、发展前景、竞争态势等,在所在领域取得突出成就,享有较高社会声望;

(三)愿意且保证认真参与咨询委员会工作;

(四)上交所认为需要符合的其他条件。

(一)严格遵守国家法律法规,坚持原则,公正廉洁,恪守

职业道德和诚信准则;

(二)从事高新技术产业和战略性新兴产业(主要包括互联网、大数据、云计算、人工智能、软件和集成电路、高端装备制造、生物医药等)的科学研究、企业经营、投资管理、政策制定

等相关工作,熟悉相关方面的产业政策、前沿技术、发展前景、竞争态势等,在所在领域取得突出成就,享有较高社会声望;

(三)愿意且保证认真参与咨询委员会工作;

(四)证监会认为需要符合的其他条件。

任期

每届任期两年,可以连任。

解聘

(一)违反法律、行政法规、证监会和上交所相关规定;

(二)未按照上交所的相关规定勤勉履职;

(三)本人提出辞职申请;

(四)上交所认为不适合继续担任委员的其他情形。

(一)违反法律、行政法规和证监会相关规定的;

(二)未按照证监会的有关规定勤勉尽职的;

(三)本人提出辞职申请的;

(四)证监会认为不适合继续担任委员的其他情形。

工作职责

就下列事项提供咨询意见:

(一)上交所科创板的定位以及发行人是否具备科技创新属性;

(二)上交所《科创板企业上市推荐指引》等相关规则的制定;

(三)发行上市申请文件中与发行人业务和技术相关的问题;

(四)国内外科技创新及产业化应用的发展动态;

(五)上交所根据工作需要提请咨询的其他事项。

咨询委员会依照前款第三项提供的咨询意见,供上交所发行上市审核问询参考。

咨询委员会的职责包括:

(一)介绍科技创新及产业化应用的发展动态、境内外典型案例;

(二)分析我国经济发展中科技应用的战略机遇和薄弱环节,对证监会落实国家创新驱动发展战略的重要政策进行咨询研究,提出政策建议;

(三)对申请境内发行股票或存托凭证试点的企业相关情况提供咨询;

(四)对证监会已受理的申请首次公开发行、再融资、并购重组等企业的行业现状、技术水平和发展前景进行分析讨论;

(五)证监会根据工作需要提请咨询的其他事项。

履职要求

(一)保证足够的时间和精力参与咨询委员会工作,勤勉尽责、诚实守信;

(二)保守在参与咨询委员会工作中获取的国家秘密、商业秘密和内幕信息,不得向任何第三方泄露工作相关内容;

(三)提供咨询意见的事项与自身利益相关或者可能存在利益冲突的,应当及时提出回避;

(四)不得利用咨询委员会委员身份谋取不正当利益或者进行业务宣传,不得接受咨询事项所涉企业的馈赠或者存在有损其公正履职的其他行为;

(五)与委员履行职责相关的其他规定。

(一)勤勉尽职、诚实守信履行委员职责;

(二)保守在参与咨询委员会工作中获取的国家秘密、商业秘密和内幕信息,不向任何第三方泄露工作相关内容;

(三)不得利用咨询委员会委员身份进行宣传,不得与相关企业进行接触、接受馈赠等;

(四)与咨询委员会履行职责相关的其他规定。

履职方式

上交所通过召开会议、书面函件等方式,向咨询事项涉及的相关行业委员进行咨询。

咨询委员会以召开会议的形式开展工作。咨询委员会会议由主任委员召集,或者由主任委员委托副主任委员召集。

回避情形

有下列情形之一的,应当回避:

(一)咨询委员会委员或者其亲属近两年内担任发行人或者保荐人的董事、监事、高级管理人员;

(二)咨询委员会委员或者其亲属、咨询委员会委员所在工作单位与发行人或者保荐人存在股权关系,可能影响其公正履行职责;

(三)咨询委员会委员或者其亲属、咨询委员会委员所在工作单位近两年内与发行人存在业务往来,可能影响其公正履行职责;

(四)咨询委员会委员或者其亲属担任董事、监事、高级管理人员的公司与发行人或者保荐人有利害关系,经认定可能影响其公正履行职责;

(五)咨询委员会委员提供咨询意见前,与发行人、保荐人及其他相关单位或者个人进行过接触,可能影响其公正履行职责;

(六)上交所认定的可能产生利害冲突或者咨询委员会委员认为可能影响其公正履行职责的其他情形。

前款所称亲属,包括咨询委员会委员的配偶、父母、子女、兄弟姐妹、配偶的父母、子女的配偶、兄弟姐妹的配偶。

会议安排

每年至少召开一次全体会议,总结委员会年度工作情况,提出委员会工作计划和意见建议。

咨询委员会会议根据工作需要不定期召开。

咨询委员会召开会议,应由议题涉及或相关企业所处行业的委员参加。咨询委员会办公室应将会议材料提前送参会委员。参会委员应提前阅研,认真做好参会准备。

会议召开时,委员应围绕议题,充分发表意见。

八、结语

科创板的定位是拥有核心科技的高新技术产业和战略性新兴产业,上市审核委员会在聆讯和审核科创企业上市前,其必要的前提是判断所审企业是否属于科创板定位的产业以及是否具有核心科技。因此,咨询委员会的专业意见是科创企业进入科创板的第一道门槛,咨询委员会对拥有核心技术企业进入科创板板具有重要的引导作用。

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Unless otherwise expressly set out to the contrary, nothing in these Terms shall serve to transfer from Mondaq to you, any Intellectual Property Rights owned by and/or licensed to Mondaq and all rights, title and interest in and to such Intellectual Property Rights will remain exclusively with Mondaq and/or its licensors.

Mondaq shall use its reasonable endeavours to make the Website and Services available to you at all times, but we cannot guarantee an uninterrupted and fault free service.

Mondaq reserves the right to make changes to the services and/or the Website or part thereof, from time to time, and we may add, remove, modify and/or vary any elements of features and functionalities of the Website or the services.

Mondaq also reserves the right from time to time to monitor your Use of the Website and/or services.

Disclaimer

The Content is general information only. It is not intended to constitute legal advice or seek to be the complete and comprehensive statement of the law, nor is it intended to address your specific requirements or provide advice on which reliance should be placed. Mondaq and/or its Contributors and other suppliers make no representations about the suitability of the information contained in the Content for any purpose. All Content provided "as is" without warranty of any kind. Mondaq and/or its Contributors and other suppliers hereby exclude and disclaim all representations, warranties or guarantees with regard to the Content, including all implied warranties and conditions of merchantability, fitness for a particular purpose, title and non-infringement. To the maximum extent permitted by law, Mondaq expressly excludes all representations, warranties, obligations, and liabilities arising out of or in connection with all Content. In no event shall Mondaq and/or its respective suppliers be liable for any special, indirect or consequential damages or any damages whatsoever resulting from loss of use, data or profits, whether in an action of contract, negligence or other tortious action, arising out of or in connection with the use of the Content or performance of Mondaq’s Services.

General

Mondaq may alter or amend these Terms by amending them on the Website. By continuing to Use the Services and/or the Website after such amendment, you will be deemed to have accepted any amendment to these Terms.

These Terms shall be governed by and construed in accordance with the laws of England and Wales and you irrevocably submit to the exclusive jurisdiction of the courts of England and Wales to settle any dispute which may arise out of or in connection with these Terms. If you live outside the United Kingdom, English law shall apply only to the extent that English law shall not deprive you of any legal protection accorded in accordance with the law of the place where you are habitually resident ("Local Law"). In the event English law deprives you of any legal protection which is accorded to you under Local Law, then these terms shall be governed by Local Law and any dispute or claim arising out of or in connection with these Terms shall be subject to the non-exclusive jurisdiction of the courts where you are habitually resident.

You may print and keep a copy of these Terms, which form the entire agreement between you and Mondaq and supersede any other communications or advertising in respect of the Service and/or the Website.

No delay in exercising or non-exercise by you and/or Mondaq of any of its rights under or in connection with these Terms shall operate as a waiver or release of each of your or Mondaq’s right. Rather, any such waiver or release must be specifically granted in writing signed by the party granting it.

If any part of these Terms is held unenforceable, that part shall be enforced to the maximum extent permissible so as to give effect to the intent of the parties, and the Terms shall continue in full force and effect.

Mondaq shall not incur any liability to you on account of any loss or damage resulting from any delay or failure to perform all or any part of these Terms if such delay or failure is caused, in whole or in part, by events, occurrences, or causes beyond the control of Mondaq. Such events, occurrences or causes will include, without limitation, acts of God, strikes, lockouts, server and network failure, riots, acts of war, earthquakes, fire and explosions.

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