【中英文对照版】上市公司股东大会规则(2022年修订).docx

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1、上市公司股东大会规则(2022年修订)RulesfortheShareholders1MeetingsofListedCompanies(2022Revision)【制定机关】【发文字号】【公布日期】【施行日期】【效力位阶】【法规类别】中国证券监督管理委员会中国证券监督管理委员会公告202213号2022.01.052022.01.05部门规范性文件证券监督管理机构与市场监管Issuingauthority：InstrumentalitiesoftheStateCouncil,ACommissionstChinaSecuRegulatoryCommissionDocumentNumber；An

2、nouncementNo.132022oftheChinaSecuritiesRegulatoryCommisDateissued：01-05-2022Effectivedate：01-05-20221.evelofAuthority：DepartmentalRegulatoryDocumentsAreaofLaw：SecuritiesAnnouncementoftheChinaSecuritiesRegulatoryCommission中国证券监督管理委员会公告(No.132022)(2022)13号)TheRulesfortheShareholders*MeetingsofListedCo

3、mpanies(2022Revision)areherebyissued,andshallcomeintoforceonthedateofissuance.现公布上市公司股东大会规则（2022年修订），自公布之日起施行。ChinaSecuritiesRegulatoryCommission中国证监会January5,20222022年1月5日Annex1:RulesfortheShareholdersMeetingsofListedCompanies(2022Revision)附件1：上市公司股东大会规则（2022年修订）Annex2:ExplanationonRevisingtheRules

4、fortheShareholdersMeetingsofListedCompanies附件2：上市公司股东大会规则修订说明上市公司股东大会规则（2022 年修订）第一章总则第一条为规范上市公司 行为，保证股东大会依法行使 职权，根据中华人民共和国 公司法（以下简称公司法）、 中华人民共和国证券法（以 下简称证券法）的规定， 制定本规则。第二条上市公司应当严 格按照法律、行政法规、本规 则及公司章程的相关规定召开 股东大会，保证股东能够依法 行使权利。公司董事会应当切实履行职 责，认真、按时组织股东大会。 公司全体董事应当勤勉尽责， 确保股东大会正常召开和依法 行使职权。第三条股东大会应当在 公

5、司法和公司章程规定的 范围内行使职权。第四条股东大会分为年 度股东大会和临时股东大会。 年度股东大会每年召开一次， 应当于上一会计年度结束后的 六个月内举行。临时股东大会 不定期召开，出现公司法RulesfortheShareholdersMeetingsofListedCompanies(2022Revision)ChapterIGeneralProvisionsArticle1Forthepurposeofregulatingtheconductoflistedcompaniesandensuringthattheirshareholders*meetingsperformfunction

6、sinaccordancewiththelaw,theseRulesaredevelopedinaccordancewiththeCompanyLawofthePeoplesRepublicofChina(hereinafterreferredtoastheuCompanyLaw)andtheSecuritiesLawofthePeoplesRepublicofChina(hereinafterreferredtoastheSecuritiesLaW)Article2Alistedcompanyshallholdshareholdersmeetingsinstrictaccordancewit

7、hrelevantprovisionsoflaws,administrativeregulations,theseRules,anditsbylaws,andensurethatshareholdersareabletoexercisetheirrightsinaccordancewiththelaw.Theboardofdirectorsofacompanyshalleffectivelyperformitsdutiesandorganizeshareholdersmeetingsconscientiouslyontime.Allthedirectorsofthecompanyshalldi

8、ligentlyperformdutiessoastoensurethesmoothholdingofshareholdersmeetingsandthelegalperformanceoffunctions.Article3TheshareholdersmeetingshallperformfunctionswithinthescopespecifiedbytheCompanyLawandthebylawsofthecompany.Article4Shareholders*meetingsincludeannualshareholdersmeetingsandspecialsharehold

9、ersmeetings.Theannualshareholdersmeeting,whichisheldonceeveryyear,shallbeheldwithinsixmonthsaftertheendofthelastfiscalyear.Thespecialshareholdersmeetingshallbeheldfromtimetotime,andshallbeheldwithintwomonthsincaseanycircumstancewheresuchameetingisnecessaryasprescribedinArticle100oftheCompanyLawoccur

10、s.Whereacompanyfailstoholdashareholders,meetingwithintheaforesaidtimelimit,itshallreporttothelocalofficeoftheChinaSecuritiesRegulatoryCommission(hereinafterreferredtoastheuCSRC)attheplacewhereitislocatedandthestockexchangeonwhichitsstockislistedfortrading(hereinafterreferredtoasthe“stockexchangen),e

11、xplainthereasonsandannounceittothepublic.Article5Whereashareholdersmeetingisheld,acompanyshallretainlawyerstoissuelegalopinionsonthefollowingmatters,andpublishsuchopinions:(1) Whethertheproceduresforconveningandholdingthemeetingcomplieswithlaws,administrativeregulations,theseRules,andthebylawsofthec

12、ompany.(2) Whetherthequalificationsofpersonsattendingthemeetingandthequalificationoftheconvenerofthemeetingarelegalandvalid.(3) Whetherthevotingproceduresandresultsatthemeetingarelegalandvalid.(4) 1.egalopinionsonotherrelevantissuesasrequiredbythecompany.第一百条规定的应当召开临时 股东大会的情形时，临时股东 大会应当在二个月内召开。公司在上述

13、期限内不能召开股 东大会的，应当报告公司所在 地中国证券监督管理委员会 （以下简称中国证监会）派出 机构和公司股票挂牌交易的证 券交易所（以下简称证券交易 所），说明原因并公告。第五条公司召开股东大 会，应当聘请律师对以下问题 出具法律意见并公告：（一）会议的召集、召开程序 是否符合法律、行政法规、本 规则和公司章程的规定；（二）出席会议人员的资格、 召集人资格是否合法有效；（三）会议的表决程序、表决 结果是否合法有效；（四）应公司要求对其他有关 问题出具的法律意见。ChapterIlConveningofShareholders,第二章股东大会的召集Meetings第六条董事会应当在本 规则

14、第四条规定的期限内按时 召集股东大会QArticle6TheboardofdirectorsofacompanyshallconveneshareholdersmeetingswithinthetimelimitsspecifiedinArticle4oftheseRules.Article7Independentdirectorsshallhavetherighttoproposetheholdingofaspecialshareholdersmeetingtotheboardofdirectors.Forsuchaproposal,theboardofdirectorsshall,inac

15、cordancewithlaws,administrativeregulations,andthebylawsofthecompany,issueawrittenaffirmativeornegativeopinionwithintendaysafterreceivingtheproposal.Iftheboardofdirectorsagreestoholdthemeeting,itshallissueanoticeofholdingashareholdersmeetingwithinfivedaysafteraresolutionismadeatameetingoftheboardofdi

16、rectors;oriftheboardofdirectorsdisagreestoholdthemeeting,itshallexplainthereasonsandannounceittothepublic.Article8Theboardofsupervisorsshallhavetherighttoproposetheholdingofaspecialshareholdersmeetingtotheboardofdirectors,andshallproposeitinwriting.Theboardofdirectorsshall,inaccordancewithlaws,admin

17、istrativeregulations,andthebylawsofthecompany,issueawrittenaffirmativeornegativeopinionwithintendaysafterreceivingtheproposal.Iftheboardofdirectorsagreestoholdthemeeting,itshallissueanoticeofholdingashareholdersmeetingwithinfivedaysafteraresolutionismadeatameetingoftheboardofdirectors,butanymodifica

18、tiontotheoriginalproposalinthenoticeshallbesubjecttotheconsentoftheboardofsupervisors.第七条独立董事有权向 董事会提议召开临时股东大 会。对独立董事要求召开临时 股东大会的提议，董事会应当 根据法律、行政法规和公司章 程的规定，在收到提议后十日 内提出同意或不同意召开临时 股东大会的书面反馈意见。董事会同意召开临时股东大会 的，应当在作出董事会决议后 的五日内发出召开股东大会的 通知；董事会不同意召开临时 股东大会的，应当说明理由并 公告。第八条监事会有权向董 事会提议召开临时股东大会， 并应当以书面形式向董

19、事会提 出。董事会应当根据法律、行 政法规和公司章程的规定，在 收到提议后十日内提出同意或 不同意召开临时股东大会的书 面反馈意见。董事会同意召开临时股东大会 的，应当在作出董事会决议后 的五日内发出召开股东大会的 通知，通知中对原提议的变更, 应当征得监事会的同意。董事会不同意召开临时股东大 会，或者在收到提议后十日内 未作出书面反馈的，视为董事 会不能履行或者不履行召集股 东大会会议职责，监事会可以 自行召集和主持。Iftheboardofdirectorsdisagreestoholdthemeetingornofeedbackisprovidedwithintendaysafterth

20、eproposalisreceived,itshallbedeemedthattheboardofdirectorsisunabletoperformorfailstoperformthedutyofconveningtheshareholdersmeeting,andtheboardofsupervisorsmayconveneandpresideoverthemeetingonitsinitiative.Article9Thecommonshareholders)(includingpreferredshareholderswhosevotingrightsarerestored)sepa

21、ratelyoraggregatelyholding10%ormoreofthesharesofacompanyshallhavetherighttofilearequestfortheholdingofaspecialshareholdersmeetingwiththeboardofdirectors,andshallrequestitinwriting.Theboardofdirectorsshall,inaccordancewithlaws,administrativeregulations,andthebylawsofthecompany,issueawrittenaffirmativ

22、eornegativeopinionwithintendaysafterreceivingtherequest.Iftheboardofdirectorsagreestoholdthemeeting,theboardofdirectorsshallissueanoticeofholdingashareholdersmeetingwithinfivedaysafteraresolutionismadeatameetingoftheboardofdirectors,butanymodificationtotheoriginalrequestinthenoticeshallbesubjecttoth

23、econsentoftherelevantshareholders.Iftheboardofdirectorsdisagreestoholdthemeetingornofeedbackisprovidedwithintendaysaftertherequestisreceived,thecommonshareholders)(includingpreferredshareholderswhosevotingrightsarerestored)separatelyoraggregatelyholding10%ormoreofthesharesofthecompanyshallhavetherig

24、httoproposetheholdingofaspecialshareholdersmeetingtotheboardofsupervisors,andshallrequestitinwriting.第九条单独或者合计持 有公司百分之十以上股份的普 通股股东（含表决权恢复的优 先股股东）有权向董事会请求 召开临时股东大会，并应当以 书面形式向董事会提出。董事 会应当根据法律、行政法规和 公司章程的规定，在收到请求 后十日内提出同意或不同意召 开临时股东大会的书面反馈意 见。董事会同意召开临时股东大会 的，应当在作出董事会决议后 的五日内发出召开股东大会的 通知，通知中对原请求的变更, 应当征

25、得相关股东的同意。董事会不同意召开临时股东大 会，或者在收到请求后十日内 未作出反馈的，单独或者合计 持有公司百分之十以上股份的 普通股股东（含表决权恢复的 优先股股东）有权向监事会提 议召开临时股东大会，并应当 以书面形式向监事会提出请 求。监事会同意召开临时股东大会 的，应在收到请求五日内发出 召开股东大会的通知，通知中 对原请求的变更，应当征得相 关股东的同意。Iftheboardofsupervisorsagreestoholdthemeeting,itshallissueanoticeofholdingashareholdersmeetingwithinfivedaysafterre

26、ceivingtherequest,butanymodificationtotheoriginalproposalinthenoticeshallbesubjecttotheconsentoftherelevantshareholders).Iftheboardofsupervisorsfailstoissueanoticeofholdingashareholdersmeetingwithintheprescribedtimelimit,itshallbedeemedthattheboardofsupervisorsfailstoconveneandpresideoverthesharehol

27、ders*meeting,andthecommonshareholders)(includingpreferredshareholderswhosevotingrightsarerestored)separatelyoraggregatelyholding10%ormoreofthesharesofthecompanyfor90consecutivedaysormoremayconveneandpresideoverthemeetingonitsortheirinitiative.Article10Afterdecidingtoconveneashareholdersmeetingonitso

28、rtheirinitiative,theboardofsupervisorsorshareholders)shallnotifytheboardofdirectorsinwriting,andundergorecordationformalitiesatthestockexchangeatthesametime.Beforetheresolutionoftheshareholders,meetingisannounced,thesharesheldbythecommonshareholders)(includingpreferredshareholderswhosevotingrightsar

29、erestored)conveningthemeetingmaynotbelessthan10%,Whenissuingthenoticeofholdingashareholdersmeetingandannouncingtheresolutionoftheshareholders*meeting,theboardofsupervisorsandtheshareholders)conveningthemeetingshallsubmittherelevantevidentiarymaterialstothestockexchange.监事会未在规定期限内发出股 东大会通知的，视为监事会不 召集

30、和主持股东大会，连续九 十日以上单独或者合计持有公 司百分之十以上股份的普通股 股东（含表决权恢复的优先股 股东）可以自行召集和主持。第十条监事会或股东决 定自行召集股东大会的，应当 书面通知董事会，同时向证券 交易所备案。在股东大会决议公告前，召集 普通股股东（含表决权恢复的 优先股股东）持股比例不得低 于百分之十。监事会和召集股东应在发出股 东大会通知及发布股东大会决 议公告时，向证券交易所提交 有关证明材料。第十一条对于监事会或 股东自行召集的股东大会，董 事会和董事会秘书应予配合 董事会应当提供股权登记日的 股东名册。董事会未提供股东 名册的，召集人可以持召集股 东大会通知的相关公告，

31、向证Article11Theboardofdirectorsandthesecretaryoftheboardofdirectorsshallcooperatewithashareholders*meetingconvenedbytheboardofsupervisorsorshareholders)onitsortheirinitiative.Theboardofdirectorsshallprovidetheregisterofshareholdersatthedateofrecord.Incasetheboardofdirectorsfailstoprovidetheregisterof

32、shareholders,theconvenermayapplytothesecuritiesdepositoryandclearinginstitutionforobtainingtheregisterbasedontherelevantannouncementinthenoticeofconveningtheshareholders*meeting,providedthattheregisterofshareholdersobtainedbytheconvenermaynotbeusedforpurposesotherthanholdingtheshareholders,meeting.A

33、rticle12Theexpensesneededforashareholdersmeetingconvenedbytheboardofsupervisorsorshareholders)onitsortheirinitiativeshallbeassumedbythecompany.ChapterIIIProposalsandNoticesforShareholdersMeetingsArticle13Thecontentsofaproposalshallbewithinthescopeoffunctionsoftheshareholdersmeeting,havespecifictopic

34、sfordiscussionandmattersforresolution,andcomplywiththerelevantprovisionsoflaws,administrativeregulations,andthebylawsofthecompany.Article14Thecommonshareholder(s)(includingpreferredshareholderswhosevotingrightsarerestored)separatelyoraggregatelyholding3%ormoreofthesharesofacompanymay,tendaysbeforeth

35、eshareholdersmeetingisheld,makeaspecialproposalandsubmitittotheconvenerinwriting.Theconvenershallissueasupplementarynoticeofholdingtheshareholdersmeetingwithintwodaysafterreceivingtheproposal,andannouncethecontentsofthespecialproposal.券登记结算机构申请获取。召 集人所获取的股东名册不得用 于除召开股东大会以外的其他 用途。第十二条监事会或股东 自行召集的股东大会

36、，会议所 必需的费用由公司承担。第三章股东大会的提案与通 知第十三条提案的内容应 当属于股东大会职权范围，有 明确议题和具体决议事项，并 且符合法律、行政法规和公司 章程的有关规定。第十四条单独或者合计 持有公司百分之三以上股份的 普通股股东（含表决权恢复的 优先股股东），可以在股东大 会召开十日前提出临时提案并 书面提交召集人。召集人应当 在收到提案后二日内发出股东 大会补充通知，公告临时提案 的内容。除前款规定外，召集人在发出 股东大会通知后，不得修改股 东大会通知中已列明的提案或 增加新的提案。Exceptthoseprovidedforintheprecedingparagraph,a

37、fterpublishinganoticeofholdingashareholders*meeting,theconvenermaynotamendanyproposalspecifiedinthenoticeoraddanynewproposal.AnyproposalnotspecifiedinthenoticeofholdingashareholdersmeetingornotcomplyingwithArticle13oftheseRulesmaynotbevotedandresolvedattheshareholders,meeting.Article15Foranannualsha

38、reholdersmeeting,theconvenershallnotifyallcommonshareholders(includingpreferredshareholderswhosevotingrightsarerestored)byannouncement20daysbeforethemeetingisheld;orforaspecialshareholdersmeeting,theconvenershallnotifyallcommonshareholders(includingpreferredshareholderswhosevotingrightsarerestored)b

39、yannouncement15daysbeforethemeetingisheld.Article16Thenoticeandsupplementarynoticeofholdingashareholders*meetingshallfullyandcompletelydisclosethespecificcontentsofallproposals,andallmaterialsorinterpretationsnecessaryforshareholderstorationallydecideonmatterstobedeliberated.Formatterstobedeliberate

40、dwhichrequirecommentsfromindependentdirectors,thecommentsandreasonsofindependentdirectorsshallalsobedisclosedwhenthenoticeorsupplementarynoticeofholdingashareholdersmeetingispublished.Article17Wheremattersconcerningthedirectororsupervisorelectionaretobedeliberatedatashareholders*meeting,thedetailson

41、thecandidatesshallbedisclosedinthenoticeofholdingashareholdersmeeting,includingataminimumthefollowing:股东大会通知中未列明或不符 合本规则第十三条规定的提 案，股东大会不得进行表决并 作出决议。第十五条召集人应当在 年度股东大会召开二十日前以 公告方式通知各普通股股东 （含表决权恢复的优先股股 东），临时股东大会应当于会 议召开十五日前以公告方式通 知各普通股股东（含表决权恢 复的优先股股东）。第十六条股东大会通知 和补充通知中应当充分、完整 披露所有提案的具体内容，以 及为使股东对拟讨论的事

42、项作 出合理判断所需的全部资料或 解释。拟讨论的事项需要独立 董事发表意见的，发出股东大 会通知或补充通知时应当同时 披露独立董事的意见及理由。第十七条股东大会拟讨 论董事、监事选举事项的，股 东大会通知中应当充分披露董 事、监事候选人的详细资料， 至少包括以下内容：（一）教育背景、工作经历、 兼职等个人情况；(1) Personalinformation,suchaseducationalbackground,workingexperience,andpart-timejobs.(2) Whethertheyareaffiliatedtothecompanyorthecontrollings

43、hareholderoractualcontrollerofthecompany.(3) Thenumberofsharesofthelistedcompanyheldbythem.(4) WhethertheyhavebeenpunishedbytheCSRCoranyotherrelevantdepartmentordisciplinedbyastockexchange.Unlessthedirectorsorsupervisorsareelectedbythecumulativevotingsystem,asingleproposalshallbemadeforeachdirectoro

44、rsupervisorcandidate.Article18Thetimeandplaceofmeeting,andthedateofrecordshallbespecifiedinthenoticeofholdingashareholders*meeting.Theintervalbetweenthedateofrecordandthemeetingdateshallnotbemorethansevenworkingdays.Onceconfirmed,thedateofrecordmaynotbechanged.Article19Afteranoticeofholdingasharehol

45、dersmeetingisissued,theshareholdersmeetingshallnotbepostponedorcanceled,andanyproposallistedinthenoticeshallnotbecanceledwithoutanyjustifiedreason.Ifanycircumstanceforpostponementorcancellationofthemeetingoccurs,theconvenershallannounceitandexplainthereasonsatleasttwoworkingdaysbeforetheoriginaldate

46、ofholdingtheshareholdersmeeting.ChapterIVHoldingofShareholders*Meetings（二）与公司或其控股股东及 实际控制人是否存在关联关 系；（三）披露持有上市公司股份 数量；（四）是否受过中国证监会及 其他有关部门的处罚和证券交 易所惩戒。除采取累积投票制选举董事、 监事外，每位董事、监事候选 人应当以单项提案提出。第十八条股东大会通知 中应当列明会议时间、地点， 并确定股权登记日。股权登记 日与会议日期之间的间隔应当 不多于七个工作日。股权登记 日一旦确认，不得变更。第十九条发出股东大会 通知后，无正当理由，股东大 会不得延期或取消

47、，股东大会 通知中列明的提案不得取消。 一旦出现延期或取消的情形， 召集人应当在原定召开日前至 少二个工作日公告并说明原 因。第四章股东大会的召开第二十条公司应当在公 司住所地或公司章程规定的地 点召开股东大会。Article 20 Acompanyshallholdashareholdersmeetingatthedomicileofthecompanyoranyotherplacespecifiedinthebylawsofthecompany.Ashareholdersmeetingshallbeheldinameetingroomintheformofon-sitemeeting,an

48、dshall,inaccordancewithlaws,administrativeregulations,CSRCrules,orthecompanysbylaws,provideshareholderswithsafe,economic,andconvenientonlineorotherformsofvotingtofacilitateshareholders,attendanceintheshareholdersmeeting.Shareholdersattendingtheshareholders,meetingintheaforesaidformsshallbedeemedpresent.Shareholdersmayattendashareholders,meetingandexercisetheirvotingrightsinperson,andmayauthorizeotherstoattendandvoteontheirbehalfwithinthescopeofauthorization.Article 21 Acompanyshallspecifythet