The Shanghai Stock Exchange issued ＂30 measures against epidemic diseases＂ to ensure the stable operation of the market.

　　On the 27th, the Shanghai Stock Exchange said that in order to thoroughly implement the decision-making arrangements of the CPC Central Committee and the State Council on epidemic prevention and control and the work requirements of the China Securities Regulatory Commission, the Shanghai Stock Exchange (hereinafter referred to as the Exchange) made adjustments and convergence arrangements for the development of relevant businesses in the special period of epidemic prevention and control, optimized self-regulatory supervision and service methods, supported the development of the real economy, stimulated the vitality of market players, fully maintained the smooth operation of the capital market, and implemented detailed work to support epidemic prevention and control and ensure market operation. The relevant matters are hereby notified as follows:

　　I. Review and underwriting of stock issuance and listing

　　1. Ensure the normal progress of audit business in science and technology innovation board. During the period of epidemic prevention and control, the issuer shall normally accept the issuance and listing, major asset restructuring and other related applications submitted through the science and technology innovation board audit business system of this Exchange. By means of video conference, etc., ensure that the deliberation meeting of the Shanghai Municipal Committee is normally promoted in accordance with the established procedures.

　　2. Strengthen online communication and consultation guarantee. In the process of project application and reply, if it is impossible to make an appointment for on-site communication due to the epidemic situation, the issuer and intermediary agencies may apply for online communication and consultation. The firm will strengthen the relevant guarantee of telephone communication and online consultation communication between the audit department and issuers and intermediaries.

　　3. Relax the requirements for signing relevant documents such as declarations. When issuers and intermediaries submit relevant documents such as project declaration, inquiry reply, etc., natural persons who are really affected by the epidemic situation and cannot sign uniformly can do so by providing electronic scanning documents with signature pages.

　　4. Appropriately relax the reply time of audit inquiry. Issuers and intermediaries that are really affected by the epidemic and cannot reply to the audit inquiry and complete the due diligence within the prescribed time limit may apply to the Exchange to suspend the audit, so as to ensure sufficient time to prepare the verification reply to the questions related to the audit inquiry.

　　5. Provide "cloud listing" service. Issuers are encouraged to arrange the listing time reasonably according to the actual situation. The Exchange provides free webcast listing ceremony service, and supports issuers to reissue the on-site listing ceremony after the impact of the epidemic is eliminated.

　　6. Optimize the way of online and offline roadshows. Issuers are encouraged to carry out free online roadshows through the Shanghai Stock Exchange Roadshow Center and offline roadshows through online means such as the Internet and telephone.

　　7. Set up a 24-hour consultation hotline for underwriting business. During the epidemic prevention and control period, in order to ensure the daily business operation and announcement disclosure of the lead underwriter, the Exchange set up a 24-hour consultation hotline (021-68607509) for the issuance and underwriting business, and issued a list of operations for the issuance and underwriting business.

　　II. Information disclosure business of listed companies

　　8. Extend the processing time of information disclosure business. During the epidemic prevention and control period, the disclosure period of listed companies’ post-announcement was extended to 23:00 at night.

　　9. Support listed companies to make regular report disclosure. If a listed company is expected to find it difficult to disclose the 2021 annual report on the original appointment date due to the epidemic situation, it may apply to the Exchange for an extension to the disclosure before April 30, 2022. If it is really affected by the epidemic and it is difficult to disclose the 2021 annual report or the first quarter report of 2022 within the statutory time limit, please contact the company supervision department of our firm in time to inform the relevant situation.

　　10. Increase the submission methods of announcements such as mail and fax. If a listed company is unable to submit information disclosure documents through the daily business management system by using EKey due to the epidemic situation, it can submit them by email or fax.

　　11. Relax the requirements for the submission form of information disclosure documents. If the disclosure of document information cannot provide entity signature in time due to the epidemic situation, it can be temporarily replaced by electronic signature or submit relevant explanations.

　　12. Support the online shareholders’ meeting. A listed company may, in light of its actual situation, set up an online shareholders’ meeting venue. If the lawyer is really unable to attend the meeting on the spot due to the epidemic, he can witness the shareholders’ meeting by video and other means.

　　13. Strengthen technical support for online performance briefing. Support listed companies to hold online performance briefings by using Internet platforms such as the Shanghai Stock Exchange Roadshow Center to strengthen exchanges with investors and enhance investor confidence. The Institute launched the docking service between roadshows and SSE Cloud SDK, and investors can participate in performance briefing sessions through brokers and information providers’ apps.

　　14. Set up a 24-hour information disclosure operation hotline. During the epidemic prevention and control period, in order to solve the difficulties and problems faced by listed companies in information disclosure operations, the Institute set up a 24-hour consultation hotline for information disclosure operations (021-68601632).

　　Iii. Bond business services

　　15. Establish a green channel for distribution services. For enterprises seriously affected by the epidemic situation, if the funds raised by bonds are used for epidemic prevention and control related fields or for repaying corporate bonds due, a green channel for issuing services will be established, that is, reporting for immediate trial and handling special affairs, and financing services for epidemic prevention and control will be effectively done.

　　16. Appropriately extend the project processing time limit. During the epidemic prevention and control period, the time limit for reply and suspension of feedback from corporate bonds and asset-backed securities shall be suspended. If the issuer is really affected by the epidemic and cannot update the financial report in time, it may apply to this Exchange for an extension of the validity period.

　　17. Relax the requirements for submitting documents such as signatures. If the relevant signature and seal cannot be obtained due to the epidemic situation, the lead underwriter may issue an explanation first, and then submit the signature and seal documents in a timely manner.

　　18. Optimize on-site business handling methods. Bookkeeping filing can be based on the epidemic situation, and only the bookkeeper can be arranged as the on-site participant. Investors can send purchase orders by mail, fax, etc. according to the document agreement.

　　19. Cooperate with the issuance of local bonds. In accordance with the arrangements of the Ministry of Finance and the provincial (autonomous regions and municipalities) governments with relatively serious epidemic situation, actively cooperate with local governments to do a good job in issuing general bonds and special bonds, and provide technical support and services.

　　IV. Other business services

　　20. Ensure smooth and safe market transactions. Do a good job in technical support and optimization, continuously reduce the delay of order processing, and improve the experience of market investors. Integrate member front-end software to reduce the complexity of technical system and market maintenance cost. Coordinate and optimize the scheduling of related business tests to reduce the technical test burden of market institutions.

　　21. Fully launch online consulting and training services. According to the actual needs of various market players, we will comprehensively carry out activities such as remote consultation, online training and publicity. Increase the number of online open classes of Pujiang Lecture Hall and enrich the course content. Market participants can directly enter the open class area for learning and browsing without additional registration. (Pujiang Lecture Hall: https://pujiang.sse.com.cn/)

　　22. Increase services to areas and enterprises that are seriously affected by the epidemic. Strengthen the docking of leading enterprises in areas affected by the epidemic and directly involved in the fight against the epidemic, understand the difficulties and demands in a timely manner, and do a good job in detailed investment and financing related services. Understand the investment and financing needs of listed companies in areas with serious epidemic situation one by one, and help enterprises to speed up the declaration under the premise of full preparation, so as to realize the immediate report and immediate trial.

　　23. Support members to take measures to ensure the smooth operation of business. Strengthen communication with member units, understand the impact of the epidemic on the transaction management of member customers and assist in solving it in time. Support members to carry out collaborative work of customer transaction management and supervision through online methods. If a member unit fails to reply to the regulatory letter in time due to epidemic prevention and control, it may apply to the Exchange for an appropriate extension of time.

　　24. Support funds and option market makers to conduct business in an orderly manner. Support fund and option market makers to actively implement liquidity services and market-making services to maintain normal trading order. For funds and option market makers that have practical difficulties due to the epidemic, they should fulfill their quotation obligations and adjust the relevant standards appropriately.

　　25. Strengthen the special channel service for ETF fund managers. Further optimize the special channel service for ETF operation and information disclosure, and ensure the daily business operation and announcement disclosure of fund managers.

　　26. Handle the share agreement transfer business by off-site means. The parties can send the existing materials by e-mail first, and receive feedback on the correction of the materials. After all the electronic materials are confirmed to be complete, they will be notified to send the written materials at one time, thus reducing the market cost.

　　27. Flexible disciplinary action and review hearing. Market participants who are really affected by the epidemic can apply for remote video hearing, postpone hearing and extend the time limit for submitting evidence materials in disciplinary action and review procedures.

　　28. Smooth channels for investors to appeal. Investors can ask questions and reflect their demands to the Exchange through off-site methods such as service hotline, WeChat WeChat official account and e-mail. Our investor service hotline (400-8888-400) will remain open for 7×24 hours.

　　29. Strengthen online education services for investors. Continue to carry out investor education and publicity through Internet channels such as websites and WeChat to meet the online learning needs of investors during the epidemic prevention and control period. Support members, fund managers and option management institutions to actively guide investors to rationally and objectively analyze the impact of the epidemic, adhere to the concept of long-term investment and value investment, and carry out investment activities in compliance with laws and regulations.

　　30. Do a good job in serving international investors. Through online roadshows and other forms, we will strengthen communication and services with various overseas institutional investors and respond to the concerns of international investors in a timely manner. During the epidemic prevention and control period, we will provide convenience services for international investors to investigate listed companies, and carry out a series of activities such as international investors entering Shanghai companies online.

　　(CCTV reporter Sha Qian)