【中英文对照版】上市公司股东大会规则(2022年修订).docx

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；AnnouncementNo.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*MeetingsofListedCompanies(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:RulesfortheShareholders'MeetingsofListedCompanies(2022Revision)附件1：上市公司股东大会规则（2022年修订）Annex2:ExplanationonRevisingtheRulesfortheShareholders'MeetingsofListedCompanies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RulesfortheShareholders'MeetingsofListedCompanies(2022Revision)ChapterIGeneralProvisionsArticle1Forthepurposeofregulatingtheconductoflistedcompaniesandensuringthattheirshareholders*meetingsperformfunctionsinaccordancewiththelaw,theseRulesaredevelopedinaccordancewiththeCompanyLawofthePeople'sRepublicofChina(hereinafterreferredtoastheuCompanyLaw")andtheSecuritiesLawofthePeople'sRepublicofChina(hereinafterreferredtoastheSecuritiesLaW)Article2Alistedcompanyshallholdshareholders'meetingsinstrictaccordancewithrelevantprovisionsoflaws,administrativeregulations,theseRules,anditsbylaws,andensurethatshareholdersareabletoexercisetheirrightsinaccordancewiththelaw.Theboardofdirectorsofacompanyshalleffectivelyperformitsdutiesandorganizeshareholders'meetingsconscientiouslyontime.Allthedirectorsofthecompanyshalldiligentlyperformdutiessoastoensurethesmoothholdingofshareholders'meetingsandthelegalperformanceoffunctions.Article3Theshareholders'meetingshallperformfunctionswithinthescopespecifiedbytheCompanyLawandthebylawsofthecompany.Article4Shareholders*meetingsincludeannualshareholders'meetingsandspecialshareholders'meetings.Theannualshareholders'meeting,whichisheldonceeveryyear,shallbeheldwithinsixmonthsaftertheendofthelastfiscalyear.Thespecialshareholders'meetingshallbeheldfromtimetotime,andshallbeheldwithintwomonthsincaseanycircumstancewheresuchameetingisnecessaryasprescribedinArticle100oftheCompanyLawoccurs.Whereacompanyfailstoholdashareholders,meetingwithintheaforesaidtimelimit,itshallreporttothelocalofficeoftheChinaSecuritiesRegulatoryCommission(hereinafterreferredtoastheuCSRC)attheplacewhereitislocatedandthestockexchangeonwhichitsstockislistedfortrading(hereinafterreferredtoasthe“stockexchangen),explainthereasonsandannounceittothepublic.Article5Whereashareholders'meetingisheld,acompanyshallretainlawyerstoissuelegalopinionsonthefollowingmatters,andpublishsuchopinions:(1) Whethertheproceduresforconveningandholdingthemeetingcomplieswithlaws,administrativeregulations,theseRules,andthebylawsofthecompany.(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 规则第四条规定的期限内按时 召集股东大会QArticle6Theboardofdirectorsofacompanyshallconveneshareholders'meetingswithinthetimelimitsspecifiedinArticle4oftheseRules.Article7Independentdirectorsshallhavetherighttoproposetheholdingofaspecialshareholders'meetingtotheboardofdirectors.Forsuchaproposal,theboardofdirectorsshall,inaccordancewithlaws,administrativeregulations,andthebylawsofthecompany,issueawrittenaffirmativeornegativeopinionwithintendaysafterreceivingtheproposal.Iftheboardofdirectorsagreestoholdthemeeting,itshallissueanoticeofholdingashareholders'meetingwithinfivedaysafteraresolutionismadeatameetingoftheboardofdirectors;oriftheboardofdirectorsdisagreestoholdthemeeting,itshallexplainthereasonsandannounceittothepublic.Article8Theboardofsupervisorsshallhavetherighttoproposetheholdingofaspecialshareholders'meetingtotheboardofdirectors,andshallproposeitinwriting.Thebo