China: A股科创板研究系列:核心技术、核心技术人员小结(一)

Last Updated: 27 August 2019
Article by Bi Xiuli and He Wang
Most Read Contributor in China, November 2019

拥有核心技术为科创板上市企业的基本要求之一。科创板上市企业应面向世界科技前沿、面向经济主战场、面向国家重大需求。国家优先支持符合国家战略,拥有关键核心技术,科技创新能力突出,主要依靠核心技术开展生产经营,具有稳定的商业模式,市场认可度高,社会形象良好,具有较强成长性的企业。

核心技术人员稳定是发行人业务完整的体现,是发行人具有直接面向市场独立持续经营的能力的要求。核心技术人员应与主营业务和董事、高级管理人员在最近2年内没有发生重大不利变化。发行人应不存在核心技术的重大权属纠纷,重大偿债风险等或有事项,经营环境已经或者将要发生重大变化等对持续经营有重大不利影响的事项。发行人应当在招股说明书中披露公开发行股份前核心技术人员股份的锁定期安排。

为了更好的把握、整理科创板有关核心技术、核心技术人员的认定标准、监管要求等相关内容,更好的服务客户,笔者将截至目前的有关核心技术、核心技术人员的规定予以了小结,同时结合近期已经登录科创板上市企业的案例进行分析整理,以期抛转引玉,与各位共同探讨学习。本专题共分两篇文章,分别为规定监管篇及案例实践篇,本文为第一篇。

本文的主要内容包括:有关核心技术、核心技术人员的主要规定、科创板首次公开发行股票注册的要求、科创板股票发行上市审核规则、科创板股票上市规则、在招股说明书中的披露、其他文件的披露、上市审核问答等中有关核心技术及核心技术人员的规定。

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