上海市产权交易市场管理办法
上海市人民政府令第36号发布

　　第一章 总则

　　第一条 （目的）

　　为了规范产权交易行为，促进产权交易市场的健康发展，推动国有、集体产权和其他产权的有序流转，制定本办法。

　　第二条 （适用范围）

　　在本市产权交易市场从事产权交易活动，适用本办法。法律、法规和规章另有规定的，从其规定。

　　第三条 （含义）

　　本办法所称的产权，是指包括物权、债权、股权、知识产权等各类财产权利。

　　本办法所称的产权交易，是指产权主体将合法拥有的产权，通过产权交易市场实行有偿转让的行为。

　　本办法所称的产权交易市场，是指经上海市人民政府批准设立的产权交易场所。

　　第四条 （原则）

　　在产权交易市场从事产权交易，应当遵循诚实信用和公开、公平、公正的原则。

　　第五条 （进场交易）

　　本市所辖国有、集体产权的交易，应当在产权交易市场进行。

　　中央企业国有产权和其他产权，可以进入产权交易市场进行交易。

　　在产权交易市场进行产权交易，不受地区、行业、出资或者隶属关系的限制。

　　第六条 （管理部门）

　　上海市国有资产监督管理委员会（以下简称市国资委）负责本市产权交易市场的管理和协调工作。

　　上海市产权交易管理办公室（以下简称市产管办）是本市产权交易市场的监管机构，负责拟订产权交易市场的政策、规划和管理制度，监督产权交易市场的业务活动和中介机构活动，查处违规行为，指导产权交易中介行业协会工作。

　　本市有关部门按照各自职责，协助市国资委和市产管办做好产权交易市场的管理工作。

　　第二章 产权交易市场

　　第七条 （性质）

　　产权交易市场是不以营利为目的的事业单位法人。

　　第八条 （章 程）

　　产权交易市场应当制定章程，规定其组织架构、会员管理和机构运作等事宜。

　　章程的制定和修改，应当听取市产管办意见，并报市国资委批准。

　　第九条 （交易规则）

　　产权交易市场应当根据经市国资委批准的管理制度和章程，依法制定相关交易规则，并报市产管办审核。

　　第十条 （服务功能）

　　产权交易市场应当为产权交易提供场所、设施和信息等服务。

　　产权交易市场应当建立产权交易信息发布网络平台，形成可供上网查询的信息网站和数据库系统，及时提供产权交易的信息、管理制度、交易规则和相关的法律、法规、规章及政策规定。

　　产权交易市场建立的产权交易信息发布网络平台，应当与国资、工商等有关权证变更登记管理部门实现网络互联或者信息交换。

　　产权交易市场可以为产权交易提供价款结算服务。

　　第十一条 （会员）

　　具有企业法人资格、从事产权交易活动的中介机构，承诺遵守产权交易市场章程，书面申请并经产权交易市场认可，可以成为产权交易市场会员。

　　产权交易市场应当将会员情况向市产管办备案。

　　第三章 产权交易市场的交易活动

　　第十二条 （委托代理）

　　进入产权交易市场从事产权交易活动的出让方、受让方可以委托产权交易市场的会员进行产权交易活动，并签订委托代理合同。

　　第十三条 （出让方提交的材料）

　　出让产权的，应当向产权交易市场提供下列材料：

　　（一）出让方的有效资格证明；

　　（二）出让方产权权属的有效证明；

　　（三）准予产权出让的证明；

　　（四）出让标的的基本情况；

　　（五）法律、法规和规章规定需要提交的其他材料。

　　国有、集体企业出让整体产权，涉及职工合法权益的，应当依法经出让企业职工代表大会或者职工大会审议。出让方提交委托交易方案时，应当出具经职工代表大会或者职工大会审议的证明材料。

　　第十四条 （受让方提交的材料）

　　受让产权的，应当向产权交易市场提交下列材料：

　　（一）受让方的有效资格证明；

　　（二）受让方的资信证明；

　　（三）法律、法规和规章规定需要提交的其他材料。

　　第十五条 （核实和审查）

　　接受委托代理的会员应当对委托方提供的相关材料进行核实；产权交易市场应当对产权交易主体资格和交易条件进行审查。

　　出让方、受让方对其提供的产权交易材料的完整性、真实性负责。

　　第十六条 （信息发布）

　　产权交易市场实行产权交易信息挂牌制度。

　　产权交易市场对提供的产权交易信息进行分类、整理，并在约定的期限内，通过产权交易市场信息网络发布平台发布，还可以同时通过媒体或者采用推介会等形式，对外公布。

　　第十七条 （信息的反馈）

　　产权交易信息挂牌发布后，产权交易市场应当及时整理反馈的转让和受让意向信息，并做好转让和受让申请登记。

　　第十八条 （国有产权的出让价格）

　　国有产权出让价格，应当以评估结果作为主要依据，同时充分利用产权交易市场的价格发现机制，兼顾产权交易市场的供求状况、同类资产的市场价格、职工安置、引进先进技术等综合性因素予以确定。

　　国有产权出让价格具体实施办法，由市国资委另行制定。

　　第十九条 （交易方式）

　　产权交易可以采取协议转让、拍卖、招标、竞价和国家法律、法规规定的其他方式。

　　产权交易信息挂牌发布后，只有一个受让意向人的，可以采取协议转让的方式；有两个以上受让意向人的，出让方可以与产权交易市场协商，根据产权交易标的的具体情况采取拍卖、招标或者竞价方式确定受让人和受让价格。

　　第二十条 （合同签订及内容）

　　出让方和受让方达成成交意向后，应当签订产权交易合同，并签字、盖章。产权交易合同包括下列主要内容：

　　（一）出让方和受让方的名称、住所；

　　（二）转让标的；

　　（三）成交方式；

　　（四）转让价格及价款支付时间和方式；

　　（五）转让标的涉及的债权、债务的处理方案；

　　（六）产权交割事项；

　　（七）违约责任；

　　（八）合同争议解决方式；

　　（九）出让方和受让方约定的其他事项。

　　除前款合同内容外，国有、集体企业产权交易合同还应当包括职工（含离退休职工）安置方案等内容。

　　第二十一条 （产权交易凭证）

　　产权交易市场应当对在产权交易市场交易的产权交易合同进行核实，符合本办法第二十条规定的，出具产权交易凭证。

　　第二十二条 （权证变更）

　　在产权交易市场进行产权交易的出让方或者受让方，凭产权交易市场出具的产权交易凭证和产权交易合同到国资、工商、房地产、外资、税务、公安等有关部门办理有关权证变更手续。

　　各有关部门应当依据产权交易市场出具的产权交易凭证和产权交易合同文本，在收到变更申请的15个工作日内，作出权证变更的决定。

　　第二十三条 （明示收费价格）

　　产权交易市场办理产权交易的收费标准，应当在产权交易市场予以公示。

　　第二十四条 （产权交易的中止和终止）

　　出现下列情形之一的，经出让方、受让方或者第三方向产权交易市场提出申请，可以中止交易：

　　（一）对出让的产权有争议且尚未解决的；

　　（二）因不可抗力致使产权交易活动不能按约定的期限和程序进行的。

　　出现前款第（一）项或者第（二）项情况，致使产权交易合同无法继续履行的，应当终止交易。

　　第二十五条 （报告）

　　产权交易市场应当定期向市国资委和市产管办报告产权交易情况。在产权交易过程中，发现国有产权有异常事项的，应当及时报告市国资委；有重大的产权交易事项，应当及时报告市产管办。

　　第二十六条 （禁止行为）

　　凡权属关系不清或者存在权属纠纷的产权，不得进入产权交易市场交易。

　　产权交易市场不得直接或者变相进行产权中介活动。

　　会员不得在同一宗产权交易中，同时接受出让方和受让方的委托，或者采取胁迫、欺诈、贿赂、恶意串通等手段进行产权交易。

　　第四章 争议处理和法律责任

　　第二十七条 （争议处理）

　　产权交易双方在产权交易过程中发生纠纷，可以向产权交易市场或者市产管办申请调解；也可以依据合同约定，申请仲裁或者向人民法院提起诉讼。

　　第二十八条 （对违规出具产权交易凭证的处理）

　　市产管办对产权交易市场违反规定的产权交易，经立案调查并确认的，可以责令产权交易市场撤销违反规定出具的产权交易凭证。

　　撤销产权交易凭证致使产权交易无效且造成损失的，由违反规定的产权交易市场、出让方、受让方或者会员承担相应的赔偿责任。

　　第二十九条 （违规从事国有、集体产权交易的处理）

　　国有、集体产权在产权交易市场外交易的，由市国资委依法追究有关责任人员的责任。

　　第三十条 （责任追究和处理）

　　产权交易市场及其工作人员违反本办法及有关规定的，由市产管办责令改正;情节严重，造成国有、集体资产流失或者给当事人造成经济损失的，除根据有关法律、法规承担民事责任外，由市国资委等有关部门依法追究有关责任人员的责任；构成犯罪的，依法追究刑事责任。

　　第五章 附则

　　第三十一条 （外资购并）

　　外资在产权交易市场购并产权的，还应当符合国家公布的外商投资产业指导目录的要求，并按照法律、法规和规章的规定办理手续。

　　第三十二条 （股权托管和受让）

　　非上市股份有限公司国有股权进行转让的，经国有资产出资人同意，应当由产权交易市场托管。

　　本市的国有企业受让非上市股份有限公司股权的，应当按照本办法产权交易的程序规定在产权交易市场进行。

　　第三十三条 （施行日期）

　　本办法自2004年11月25日起施行。市政府1998年12月22日发布的《上海市产权交易管理办法》同时废止。

　　2004年10月25日

Decree No. 36 of the People's Government of Shanghai Municipality, Promulgating¹ the Measures for Administration of the Property Right Trading Market in Shanghai
Decree No. 36 of the Shanghai Municipal People's Government

　　Chapter I General Provisions

　　Article 1 （Purpose）

　　These Procedures are formulated³ for the purpose of normalizing the acts of property rights trading, promoting the healthy development of property rights trading markets and pressing ahead with the orderly circulation of state-owned, collective-owned, and other property rights.

　　Article 2 （Application Scope）

　　These Procedures apply to any property rights trading activity in property rights trading markets in this Municipality. Where there are provisions otherwise provided by laws, rules and regulations, such provisions shall prevail.

　　Article 3 （Definitions）

　　The term "property rights" mentioned in these Procedures refers to all kinds of property rights including real right, creditor's right, equity⁴ right and intellectual property right.

　　The term "property rights transaction" mentioned in these Procedures refers to the act in which a property right subject exercises a paid transfer of property rights legally owned by him or her through the property rights trading market.

　　The term "property trading market" mentioned in these Procedures refers to the property rights trading place established with approval of the Shanghai Municipal People's Government.

　　Article 4 （Principle）

　　The principle of good faith, openness, fairness and impartiality⁵ shall be followed in the conduct of property rights transactions in the property rights trading market.

　　Article 5 （Floor Trading）

　　The transaction of state-owned and collective-owned property rights under the jurisdiction⁶ of this Municipality shall be made in the property rights trading market.

　　State-owned property rights of central-governmental enterprises and other property rights may be traded in the property right trading market.

　　Transactions conducted in the property rights trading market are not subject to restriction⁷ of regions, trades, amount of capital put in or relationship of administrative⁸ subordination.

　　Article 6 （Administrative Departments）

　　The Shanghai Municipal State Assets Supervision⁹ and Administration Committee （hereinafter referred to as SSAC） is responsible for the administration and coordination¹⁰ work of this Municipality's property rights trading markets.

　　The Shanghai Municipal Property Rights Transaction Administration Office （hereinafter referred to as SPAO） is the supervisory agency of this Municipality's property rights trading markets, having the responsibility for drawing up policies, planning and administrative systems for property rights trading markets, for supervision on the business activities of property rights trading markets and the activity of intermediary agencies, for investigation¹¹ and punishment of regulation-breaking acts and for giving direction to the work of the intermediary trade association of property rights transactions.

　　Relevant departments of this Municipality shall, according to their respective functions and duties, assist SSAC and SPAO in doing a good job of the administration work of property rights trading markets.

　　Chapter II Property Rights Trading Markets

　　Article 7 （Nature）

　　A property rights trading market is a not-for-profit institution corporation.

　　Article 8 （Articles of Association）

　　A property rights trading market shall draw up articles of association, stipulating¹² its organizational framework, management of members, operation of the body and other matters.

　　For the formulation and revision of the articles of association, opinions shall be sought from SPAO and approval shall be obtained from SSAC.

　　Article 9 （Trading Rules）

　　A property rights trading market shall, according to the administrative system and articles of association approved by SSAC, draw up relevant trading rules according to law and report to SPAO for examination and approval.

　　Article 10 （Service Functions）

　　A property rights trading market shall provide the floor, facilities, information and other services for transactions of property rights.

　　A property rights trading market shall establish a network platform to release information on property rights transactions, form an information website and a data system accessible for on-line inquiry¹³, and timely furnish information, administrative system and trading rules on property rights transactions and related laws, regulations, rules and policy provisions.

　　The network platform to release information on property rights transactions which is established by the property rights trading market shall actualize network interconnection or information exchange with the administrative departments of state assets, industry and commerce and with those in relation to registration¹⁴ of altered title deed.

　　The property rights trading market may provide clearing service of payment for transactions of property rights.

　　Article 11 （Members）

　　An intermediary agency with legal personality of enterprise, engaged in activity of property rights transactions and committed to compliance¹⁵ with the articles of association of the property rights trading market, upon filing a written application to and obtaining approval by the property rights trading market, may become a member of the property rights trading market.

　　The property rights trading market shall report the matters about its members to SPAO for the record.

　　Chapter III Trading Activity in Property Rights Trading Market

　　Article 12 （Agency by Agreement）

　　A transferor and a transferee that conduct property rights transaction activity in the property rights trading market may entrust¹⁶ a member of the property rights trading market to carry out the property rights transaction activity and enter into an agency contract.

　　Article 13 （Material Furnished by Transferor）

　　A transferor of property rights shall submit to the property rights trading market the following material:

　　（1） A valid¹⁷ certificate of transferor's eligibility¹⁸;

　　（2） A valid ownership certificate of transferor's property rights;

　　（3） An approval certificate of property rights transfer;

　　（4） The basic conditions of subject-matter to be transferred; and

　　（5） Other materials to be submitted as provided by laws, rules and regulations.

　　Where the transfer of entire property rights by a state-owned or collective-owned enterprise involves the legitimate¹⁹ rights and interests of its employees, the employees' representatives conferenceor the general meeting of employees of the transfer or-enterprise shall examine and approve the transfer according to law. When presenting the scheme of entrusted²⁰ transaction, the transferor shall produce the certification that the employees' representatives conference or the general meeting of employees has made examination and approval thereof.

　　Article 14 （Material Submitted by Transferee）

　　A transferee of property rights shall submit to the property rights trading market the following material:

　　（1） A valid certificate of transferee's eligibility;

　　（2） A valid certificate of transferee's credit rating; and

　　（3） Other material to be submitted as provided by laws, rules and regulations.

　　Article 15 （Verification and Examination）

　　The member that accepts agency by agreement shall verify relevant material furnished by the principal; the property rights trading market shall examine the eligibility and trading condition of the subject of the property rights transaction.

　　The transferor and the transferee shall be accountable for the completeness and truthfulness²¹ of the material for property rights transaction both of them furnished.

　　Article 16 （Release of Information）

　　The property rights trading market adopts the system of listing information on property rights transactions.

　　The property rights trading market shall classify and sort out the furnished information on property rights transactions, and within the specified²² period, release the information through the information release platform of property rights trading market, and may also publish the information at the same time to the public through media or by adopting recommendation conference or other forms.

　　Article 17 （Feedback of Information）

　　After the release of listed information on property rights transactions, the property rights trading market shall timely sort out the information on the feedback intentions to be a transferor or transferee and do well in registering the applications to be a transferor or transferee.

　　Article 18 （Transfer Price of State-owned Property Rights）

　　The transfer prices of state-owned property rights shall be determined²³ by taking the evaluation²⁴ result as the main basis, and making full use of the price discovery mechanism²⁵ of the property rights trading market, while taking into consideration such comprehensive factors as the state of demand and supply in the property rights trading market, the market price of assets of the same category, placement of workers and staff, and introduction of advanced technologies.

　　SSAC shall formulate² separately the special implementation²⁶ procedures on the transfer prices of state-owned property rights.

　　Article 19 （Transfer Modes）

　　Transactions of property rights may adopt transfer by agreement, auction²⁷, invitation for bids, bidding for price and other modes as may be provided by state laws and regulations.

　　After release of listed information on property rights transactions, where there is only one person with the intention to be the transferee, the mode of transfer by agreement may be adopted; where there are more than two persons with the intention to be transferees, the transferor may determine the transferee and transfer price, through consultation²⁸ with the property rights trading market, by adopting the form of auction, invitation for bids or bidding for price, depending on the specific conditions of the subject-matter of property rights transaction.

　　Article 20 （Conclusion of Contract and Contents）

　　The transferor and the transferee, after arriving at the intention to make a deal, shall enter into a contract of property rights transaction, which shall be signed and sealed. The contract of property rights transaction shall cover the following main contents:

　　（1） Name and domicile of the transferor and the transferee;

　　（2） Transfer subject matter;

　　（3） Mode to conclude the transaction;

　　（4） Transfer cost and time, and mode of payment;

　　（5） Schemes for handling creditor's rights, and debts involved in the transfer subject matter;

　　（6） Matters about the delivery of property rights;

　　（7） Liability for a breach²⁹ of contract;

　　（8） Mode of settling disputes over the contract; and

　　（9） Other matters stipulated³⁰ by the transferor and the transferee.

　　The transaction contract of property rights of a state-owned or collective-owned enterprise shall cover schemes for placement of its employees （including retired³¹ with merit and retired employees） and other contents in addition to the contract contents set out in the preceding clause.

　　Article 21 （Evidence for Property Rights Transaction）

　　The property rights trading market shall verify the trading contract of property rights the transfer of which is conducted in the property rights trading market, and issue evidence for the transaction of property rights which is in compliance with the provision under Article 20 of these Procedures.

　　Article 22 （Alteration³² of Title Deed）

　　The transferor or transferee that carries out the property rights transaction in the property rights trading market shall, by the strength of the evidence for property rights transaction issued by the property rights trading market and the transaction contract of property rights, go through the alteration formalities of relevant title deed or rights certificate with the departments of state assets, industry and commerce, foreign investment, taxation³³ and public security and with other related departments.

　　All the relevant departments shall, on the basis of the evidence for property rights transaction issued by the property rights trading market and the transaction contract text of property rights, within 15 workdays after receiving the alteration application, make a decision on the alteration of the title deed or the rights certificate.

　　Article 23 （Charges Explicitly³⁴ Displayed）

　　Fee-charging criteria³⁵ for handling property rights transactions in the property rights trading market shall be published in the property rights trading market.

　　Article 24 （Suspension and Termination of Property Rights Transaction）

　　If either of the following cases occurs, a transaction may be suspended after the transferor, transferee or a third party files an application with the property rights trading market:

　　（1） Disputes over the property rights to be transferred arise, and have not been solved yet; and

　　（2） The activity of property rights transaction cannot be carried out according to the stipulated time period and procedure due to force majeure.

　　If the conditions under item （1） or （2） of the preceding clause occur so that the transaction contract of property rights cannot continue to be performed, the transaction shall be terminated.

　　Article 25 （Reporting）

　　The property rights trading market shall, on a regular basis, report matters about property rights transactions to SSAC and SPAO. When discovering any abnormal matter about state-owned property rights during the property rights transaction, it shall promptly³⁶ report to SSAC; and in the event of major matters about property rights transaction, it shall timely report to SPAO.

　　Article 26 （Prohibitions³⁷）

　　Property rights with unclear ownership or disputes over ownership shall not be traded in the property rights trading market.

　　The property rights trading market shall not carry out intermediary activity of property rights directly or in disguised form.

　　A member shall not accept the concurrent³⁸ commission from both the transferor and the transferee in the same transaction of property rights, or conduct property rights transactions by means of threat, fraud, bribery³⁹ and malicious⁴⁰ collusion.

　　Chapter IV Dispute Settlement and Legal Liability

　　Article 27 （Settlement of Disputes）

　　Where disputes between both parties arise during the process of a property rights transaction, they may apply for mediation⁴¹ to the property rights trading market or SPAO; they may also apply for arbitration⁴² or bring a lawsuit⁴³ before the people's court as stipulated in the contract.

　　Article 28 （Handling of Regulation-breaking Issuance of Evidence for Property Rights Transaction）

　　As for regulation-breaking transaction of property rights in the property rights trading market, SPAO may, after the case has been placed on file for investigation and verified, order the property rights trading market to cancel the evidence for property rights transaction issued in contravention of rules.

　　As for the invalidity of property rights transaction and for losses caused by cancellation⁴⁴ of the evidence for property rights transaction, the property rights trading market, transferor, transferee, or member that contravenes⁴⁶ the rules shall bear corresponding liability for compensation.

　　Article 29 （Handling of Regulation-breaking Conduct of Transaction of State-owned and Collective-owned Property Rights）

　　As for transaction of state-owned or collective-owned property rights conducted outside the property rights trading market, SSAC shall, according to law, investigate and prosecute⁴⁷ the relevant responsible persons for liability.

　　Article 30 （Investigating Responsibility and Handling）

　　Where the property rights trading market and its staff contravene⁴⁵ these Procedures and relevant regulations, SPAO shall order them to correct; in the event of a serious case which causes losses of state or collective assets or economic losses of the client, the wrongdoer shall bear civil liability according to relevant laws and regulations, and, in addition, SSAC and other relevant departments shall investigate the relevant responsible persons for liability according to law; and if the wrongful act constitutes a crime, the wrongdoer shall be prosecuted⁴⁸ for criminal liability as provided by law.

　　Chapter V Supplementary⁴⁹ Provisions

　　Article 31 （Purchase or Merger⁵⁰ by Foreign Investment）

　　Foreign investors⁵¹, when purchasing or merging⁵² property rights in the property rights trading market, shall comply with the requirements set forth⁵³ in the Foreign Investment Industrial Guidance Catalogue published by the State, and shall complete the formalities as provided by laws, rules and regulations.

　　Article 32 （Trusteeship and Assignment of Equity Rights）

　　State equity rights in a non-listed limited company, when transferred, shall, with the consent of the funds provider of state assets, be trusted to the property rights trading market.

　　This Municipality's state-owned enterprise, when acting⁵⁴ as a transferee of equity rights of a non-listed limited company, shall carry out the transaction in the property rights trading market according to the procedure of property rights transaction provided in these Procedures.

　　Article 33 （Effective Date）

　　These Procedures shall become effective on November 25, 2004. The "Procedures of Shanghai Municipality on the Administration of Transaction of Property Rights" promulgated⁵⁵ on December 22, 1998 by the Municipal People's Government shall be repealed⁵⁶ on the same date.

　　Octorber 25，2004

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