上市公司股东大会规则中英文 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。 上市公司董事会应当切实履行职责，认真、按时组织股东大会。上市公 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6个月内举行。临时股东大会 不定期召开，出现《公司法》第一百零一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2个月内召开。 上市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。 第五条上市公司召开股东大会，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）应上市公司要求对其他有关问题出具的法律意见。 第二章 股东大会的召集 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。 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10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5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10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5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10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。 第九条单独或者合计持有公司10%以上股份的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10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5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。 董事会不同意召开临时股东大会，或者在收到请求后10日内未作出反馈 的，单独或者合计持有公司10%以上股份的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5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。 监事会未在规定期限内发出股东大会通知的，视为监事会不召集和主持 股东大会，连续90日以上单独或者合计持有公司10%以上股份的股东可 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， 同时向公司所在地中国证监会派出机构和证券交易所备案。 在股东大会决议公告前，召集股东持股比例不得低于10%。 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， 向公司所在地中国证监会派出机构和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，向证券登记结算 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，会议所必需的费用由上市 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3%以上股份的股东，可以在股东大会召 开10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2 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。 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20日前以公告方式通知各股 东，临时股东大会应当于会议召开15日前以公告方式通知各股东。 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； （二）与上市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7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， 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2个工作日公告并说明原因。 第四章 股东大会的召开 第二十条上市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。 股东大会应当设置会场， 以现场会议形式召开。 上市公司可以采用安全、 经济、便捷的网络或其他方式为股东参加股东大会提供便利。股东通过
上述方式参加股东大会的，视为出席。 股东可以亲自出席股东大会并行使表决权，也可以委托他人代为出席和 在授权范围内行使表决权。 第二十一条上市公司股东大会采用网络或其他方式的，应当在股东大会 通知中明确载明网络或其他方式的表决时间以及表决程序。 股东大会网络或其他方式投票的开始时间，不得早于现场股东大会召开 前一日下午3∶00，并不得迟于现场股东大会召开当日上午9∶30，其结 束时间不得早于现场股东大会结束当日下午3∶00。 第二十二条董事会和其他召集人应当采取必要措施，保证股东大会的正 常秩序。对于干扰股东大会、寻衅滋事和侵犯股东合法权益的行为，应 当采取措施加以制止并及时报告有关部门查处。 第二十三条股权登记日登记在册的所有股东或其代理人，均有权出席股 东大会，上市公司和召集人不得以任何理由拒绝。 第二十四条股东应当持股票账户卡、身份证或其他能够表明其身份的有 效证件或证明出席股东大会。代理人还应当提交股东授权委托书和个人 有效身份证件。 第二十五条召集人和律师应当依据证券登记结算机构提供的股东名册 共同对股东资格的合法性进行验证，并登记股东姓名或名称及其所持有 表决权的股份数。在会议主持人宣布现场出席会议的股东和代理人人数 及所持有表决权的股份总数之前，会议登记应当终止。 第二十六条上市公司召开股东大会，全体董事、监事和董事会秘书应当 出席会议，经理和其他高级管理人员应当列席会议。 第二十七条股东大会由董事长主持。董事长不能履行职务或不履行职务 时，由副董事长主持；副董事长不能履行职务或者不履行职务时，由半 数以上董事共同推举的一名董事主持。 监事会自行召集的股东大会，由监事会主席主持。监事会主席不能履行 职务或不履行职务时，由监事会副主席主持；监事会副主席不能履行职 务或者不履行职务时，由半数以上监事共同推举的一名监事主持。 股东自行召集的股东大会，由召集人推举代表主持。 上市公司应当制定股东大会议事规则。召开股东大会时，会议主持人违 反议事规则使股东大会无法继续进行的，经现场出席股东大会有表决权 过半数的股东同意，股东大会可推举一人担任会议主持人，继续开会。 第二十八条在年度股东大会上，董事会、监事会应当就其过去一年的工 作向股东大会作出报告，每名独立董事也应作出述职报告。 第二十九条董事、监事、高级管理人员在股东大会上应就股东的质询作
出解释和说明。 第三十条会议主持人应当在表决前宣布现场出席会议的股东和代理人 人数及所持有表决权的股份总数，现场出席会议的股东和代理人人数及 所持有表决权的股份总数以会议登记为准。 第三十一条股东与股东大会拟审议事项有关联关系时，应当回避表决， 其所持有表决权的股份不计入出席股东大会有表决权的股份总数。 上市公司持有自己的股份没有表决权，且该部分股份不计入出席股东大 会有表决权的股份总数。 第三十二条股东大会就选举董事、监事进行表决时，根据公司章程的规 定或者股东大会的决议，可以实行累积投票制。 前款所称累积投票制是指股东大会选举董事或者监事时，每一股份拥有 与应选董事或者监事人数相同的表决权，股东拥有的表决权可以集中使 用。 第三十三条除累积投票制外，股东大会对所有提案应当逐项表决。对同 一事项有不同提案的，应当按提案提出的时间顺序进行表决。除因不可 抗力等特殊原因导致股东大会中止或不能作出决议外，股东大会不得对 提案进行搁置或不予表决。 第三十四条股东大会审议提案时，不得对提案进行修改，否则，有关变 更应当被视为一个新的提案，不得在本次股东大会上进行表决。 第三十五条同一表决权只能选择现场、网络或其他表决方式中的一种。 同一表决权出现重复表决的以第一次投票结果为准。 第三十六条出席股东大会的股东，应当对提交表决的提案发表以下意见 之一：同意、反对或弃权。 未填、错填、字迹无法辨认的表决票或未投的表决票均视为投票人放弃 表决权利，其所持股份数的表决结果应计为“弃权”。 第三十七条股东大会对提案进行表决前，应当推举两名股东代表参加计 票和监票。审议事项与股东有关联关系的，相关股东及代理人不得参加 计票、监票。 股东大会对提案进行表决时，应当由律师、股东代表与监事代表共同负 责计票、监票。 通过网络或其他方式投票的上市公司股东或其代理人，有权通过相应的 投票系统查验自己的投票结果。 第三十八条股东大会会议现场结束时间不得早于网络或其他方式，会议 主持人应当在会议现场宣布每一提案的表决情况和结果，并根据表决结 果宣布提案是否通过。
在正式公布表决结果前，股东大会现场、网络及其他表决方式中所涉及 的上市公司、计票人、监票人、主要股东、网络服务方等相关各方对表 决情况均负有保密义务。 第三十九条股东大会决议应当及时公告，公告中应列明出席会议的股东 和代理人人数、所持有表决权的股份总数及占公司有表决权股份总数的 比例、表决方式、每项提案的表决结果和通过的各项决议的详细内容。 发行境内上市外资股的上市公司，应当对内资股股东和外资股股东出席 会议及表决情况分别统计并公告。 第四十条提案未获通过，或者本次股东大会变更前次股东大会决议的， 应当在股东大会决议公告中作特别提示。 第四十一条股东大会会议记录由董事会秘书负责，会议记录应记载以下 内容： （一）会议时间、地点、议程和召集人姓名或名称； （二）会议主持人以及出席或列席会议的董事、监事、董事会秘书、经 理和其他高级管理人员姓名； （三）出席会议的股东和代理人人数、所持有表决权的股份总数及占公 司股份总数的比例； （四）对每一提案的审议经过、发言要点和表决结果； （五）股东的质询意见或建议以及相应的答复或说明； （六）律师及计票人、监票人姓名； （七）公司章程规定应当载入会议记录的其他内容。 出席会议的董事、董事会秘书、召集人或其代表、会议主持人应当在会 议记录上签名，并保证会议记录内容真实、准确和完整。会议记录应当 与现场出席股东的签名册及代理出席的委托书、网络及其它方式表决情 况的有效资料一并保存，保存期限不少于10年。 第四十二条召集人应当保证股东大会连续举行，直至形成最终决议。因 不可抗力等特殊原因导致股东大会中止或不能作出决议的，应采取必要 措施尽快恢复召开股东大会或直接终止本次股东大会，并及时公告。同 时，召集人应向公司所在地中国证监会派出机构及证券交易所报告。 第四十三条股东大会通过有关董事、监事选举提案的，新任董事、监事 按公司章程的规定就任。 第四十四条股东大会通过有关派现、送股或资本公积转增股本提案的， 上市公司应当在股东大会结束后2个月内实施具体方案。 第四十五条公司股东大会决议内容违反法律、行政法规的无效。 股东大会的会议召集程序、 表决方式违反法律、 行政法规或者公司章程，
或者决议内容违反公司章程的，股东可以自决议作出之日起60日内，请 求人民法院撤销。 第五章 监管措施 第四十六条在本规则规定期限内，上市公司无正当理由不召开股东大会 的，证券交易所有权对该公司挂牌交易的股票及衍生品种予以停牌，并 要求董事会作出解释并公告。 第四十七条股东大会的召集、召开和相关信息披露不符合法律、行政法 规、本规则和公司章程要求的，中国证监会及其派出机构有权责令上市 公司或相关责任人限期改正，并由证券交易所予以公开谴责。 第四十八条董事、监事或董事会秘书违反法律、行政法规、本规则和公 司章程的规定，不切实履行职责的，中国证监会及其派出机构有权责令 其改正，并由证券交易所予以公开谴责；对于情节严重或不予改正的， 中国证监会可对相关人员实施证券市场禁入。 第六章 附则 第四十九条对发行外资股的上市公司的股东大会，相关法律、行政法规 或文件另有规定的，从其规定。 第五十条本规则所称公告或通知，是指在中国证监会指定报刊上刊登有 关信息披露内容。公告或通知篇幅较长的，上市公司可以选择在中国证 监会指定报刊上对有关内容作摘要性披露，但全文应当同时在中国证监 会指定的网站上公布。 本规则所称的股东大会补充通知应当在刊登会议通知的同一指定报刊 上公告。 第五十一条本规则所称“以上”、“内”，含本数；“过”、“低于”、“多于”， 不含本数。 第五十二条本规则由中国证监会负责解释。 第五十三条本规则自发布之日起施行。2000年5月18日中国证监会发布 的《上市公司股东大会规范意见》（证监公司字[2000]53号）和2004年 11月29日中国证监会发布的《上市公司股东大会网络投票工作指引（试 行）》（证监公司字[2004]96号）同时废止。 中国证券监督管理委员会 2006年03月16日 颁布
Rules for the General Meetings of Shareholders of Listed Companies Chapter I General Provisions Article 1For the purpose of regulating the acts of listed companies and ensuring the general meetings of listed companies to lawfully exercise their functions, these Rules are formulated in pursuant to the Company Law of the People's Republic of China (hereinafter referred to as the Company Law) and the Securities Law of the People's Republic of China (hereinafter referred to as the Securities Law). Article 2A listed company shall hold sessions of the general meeting of shareholders in strict accordance with the relevant provisions in the laws, administrative regulations, these Rules and its own articles of association, and shall ensure that shareholders can lawfully exercise their rights. The board of directors of a listed company shall practically perform its duties, and shall organize the sessions of the general meeting of shareholders seriously and timely. All the directors of a listed company shall be diligent and responsible so as to ensure that the sessions of the general meeting of shareholders are held normally and lawfully exercise its functions. Article 3The general meeting of shareholders shall exercise its functions within the scope as prescribed in the Company Law and the Articles of Association of the company. Article 4The sessions of the general meeting of shareholders can be divided into annual sessions and temporary sessions. The former shall be held once every year within 6 months upon conclusion of the previous accounting year. The latter shall be held irregularly and shall be held within 2 months if any circumstance for holding such a meeting occurs as it is prescribed in Article 101 of the Company Law. If a listed company fails to hold a session of the general meeting of shareholders within the aforesaid time limit, it shall report
it to the dispatched office of CSRC at the locality of the company and the stock exchange where its stocks are listed for trading (hereinafter referred to as the stock exchange), and shall explain the reasons and make an announcement. Article 5When holding a session of the general meeting of shareholders, a listed company shall hire lawyers to issue legal opinions about the following matters and make an announcement: (1)Whether the procedures for convening and holding the session conform to the laws, administrative regulations, these Rules and the Articles of Association of the company; (2)Whether the qualifications of the attendees and the convener are lawful and effective; (3)Whether the voting procedures and results of the meeting are lawful and effective; and (4)Issue legal opinions about other relevant matters as requested by the listed company. Chapter II Convening of the General meeting of Shareholders Article 6The board of directors shall convene the sessions of the general meeting of shareholders within the time limit as prescribed in Article 4 of these Rules. Article 7An independent director has the right to propose the board of directors to hold a temporary session of the general meeting of shareholders. With respect to the proposal of the independent director for holding a temporary session, the board of directors shall give a written reply on whether to hold the temporary session or not within 10 days upon receipt of the proposal in accordance with the laws, administrative regulations and the Articles of Association of the company. If the board of directors agrees to hold a temporary session of the general meeting of shareholders, it shall send out a notice on the temporary session of the general meeting of shareholders within 5 days after the resolution of the board of directors is made. If the board of directors does not agree to hold a temporary session of the general meeting of shareholders, it shall explain the reasons and make an announcement.
Article 8The board of supervisors has the right to propose the board of directors to hold a temporary session of the general meeting of shareholders, and shall put forward the proposal to the board of directors in written form. The board of directors shall administrative regulations and the Articles of Association of the company, give a written reply on whether to hold a temporary session or not within 10 days upon receipt of the proposal in accordance with the laws. If the board of directors agrees to hold a temporary session, it shall send out a notice on the temporary session of the general meeting of shareholders within 5 days after the resolution of the board of directors is made; if it makes any modification to the original proposal in the notice, it shall be consented by the board of supervisors. If the board of directors does not agree to hold a temporary session of the general meeting of shareholders or fails to give a reply within 10 days upon receipt of the proposal, it shall be regarded that the board of directors can not or fails to perform the duty of convening sessions of the general meeting of shareholders, and the board of supervisors may convene and preside over the session by itself. Article 9The shareholders that solely or collectively hold 10% or more shares of a company has the right to propose the board of directors to hold a temporary session of the general meeting of shareholders, and shall put forward the proposal to the board of directors in written form. The board of directors shall administrative regulations and the Articles of Association of the company, give a written reply on whether to hold a temporary session or not within 10 days upon receipt of the proposal in accordance with the laws. If the board of directors agrees to hold a temporary session of the general meeting of shareholders, it shall send out a notice within 5 days after the resolution of the board of directors is made; if it makes any modification to the original proposal in the notice, it shall be consented by the relevant shareholders.
If the board of directors does not agree to hold a temporary session or fails to give feedback within 10 days upon receipt of the proposal, the shareholders that independently or collectively hold 10% or more shares of the company shall have the right to propose the board of supervisors to hold a temporary session of the general meeting of shareholders, and shall put forward the request to the board of supervisors in written form. If the board of supervisors agrees to hold a temporary session of the general meeting of shareholders, it shall send out a notice within 5 days upon receipt of the request; if it makes any modification to the original proposal in the notice, it shall be consented by the relevant shareholders. If the board of supervisors fails to send out a notice on the temporary session within the prescribed time limit, it shall be regarded that the board of supervisors will not convene or preside over the session, and the shareholders that independently or collectively hold 10% or more shares of the company for consecutively 90 or more days may hold or preside over the session by themselves. Article 10Where the board of supervisors or shareholders decide to convene the general meeting of shareholders by itself/themselves, it/they shall send out a written notice to the board of directors, and put on the records at the dispatched office of CSRC and the stock exchange. Before the resolution of the general meeting of shareholders is announced, the proportion of the summoning shareholders shall be not less than 10%. When sending out a notice on meeting and circulating an announcement on the resolution of the general meeting of shareholders, the board of supervisors or shareholders that convene the meeting shall submit the relevant certification materials to the dispatched office of CSRC at the locality of the company and the stock exchange. Article 11With respect to the general meeting of shareholders convened by the board of supervisors or shareholders on its/their
own initiative, the board of directors and its secretary shall cooperate. The board of directors shall provide the register of shareholders on the date of equity registration. Where the board of directors fails to provide the register of shareholders, the convener may apply to the securities registration and clearing institution for it upon the strength of the relevant announcement of the notice on convening the general meeting of shareholders. The register of shareholders offered to the convener shall not be used for other purposes except for the general meeting of shareholders. Article 12The expenses necessary for holding the general meeting of shareholders convened by the board of supervisors or shareholders shall be borne by the listed company. Chapter III Proposal and Notification of the General Meeting of Shareholders Article 13The contents of a proposal shall be determined by the general meeting of shareholders, which shall have definite topics and specific matters for resolution, and shall be in accordance with the laws, administrative regulations and the Articles of Association of the company. Article 14The shareholders that independently or collectively hold 3% or more of the shares of a company may put forward a temporary proposal and submit it to the convener in written form within 10 days before the meeting is held. The convener shall issue a supplementary notice on the meeting and announce the contents of the temporary proposal within 2 days upon the receipt of the aforesaid proposal. Unless it is prescribed by the preceding Paragraph, the convener shall not amend the proposal as mentioned in the aforesaid notice or add any new proposal after sending out a notice on a session of the general meeting of shareholders. The general meeting of shareholders shall not vote on or make a resolution for any proposal that is not listed in the notice on the general meeting of shareholders or that is inconsistent with Article 13 of these Rules.
Article 15The convener shall notify all the shareholders in the form of announcement within 20 days before holding an annual session of the general meeting of shareholders, and shall notify all the shareholders in the form of announcement within 15 days before holding a temporary session of the general meeting of shareholders. Article 16The notice or supplementary notice on holding a session of the general meeting of shareholders shall thoroughly and completely disclose the specific contents of all the proposals as well as all the materials or explanations necessary for reasonable judgment of the matters to be discussed by the shareholders. In case the opinions of an independent director are necessary for any matter to be discussed, the opinions and the reasons of the independent director shall also be disclosed when the notice or supplementary notice on convening the general meeting of shareholders is sent out. Article 17In case the general meeting of shareholders plans to discuss the election of directors or supervisors, the notice on convening the general meeting of shareholders shall fully disclose the detailed information about the candidates for directors or supervisors in the following aspects at least: (1)Educational background, work experiences, concurrent positions, and other personal information; (2)Whether he has any connected relation with the listed company, controlling shareholders or actual controllers; (3)The amount of shares of the listed company he holds; and (4)Whether he has been subjected to the punishment of the CSRC or any other relevant department or the reprimand of the stock exchange. A single proposal shall be put forward for each candidate for directors or supervisors except for the directors or supervisors that are elected by way of cumulative voting system. Article 18The notice on convening the general meeting of shareholders shall indicate the time and place of the meeting and specify the date of equity registration. The interval between the
date of equity registration and the date of meeting shall be not more than 7 working days. Once the date of equity registration is specified, it shall not be altered. Article 19After the notice on convening the general meeting of shareholders is sent out, the session of the general meeting of shareholders shall not be postponed or cancelled and the proposal listed in the notice on the general meeting of shareholders shall not be cancelled without justifiable causes. In case of any circumstance for postponement or cancellation of the meeting, the convener shall make an announcement and explain the reasons at least 2 working days before the date for the planned session of the general meeting of shareholders. Chapter IV Holding of a session of the General Meeting of Shareholders Article 20A listed company shall hold the sessions of the general meeting of shareholders at its domicile or the place prescribed in its Articles of Association. The meetings of the general meeting of shareholders shall be held at a meeting place in the form of live meeting. A listed company may use safe, economical and convenient network or by any other means for its shareholders to conveniently participate in sessions of the general meeting of shareholders. The shareholders that participate in the meetings of the general meeting of shareholders by any aforesaid means shall be regarded as having attended the meeting. A shareholder may personally attend the meetings of the general meeting of shareholders and exercise his voting right, or may entrust other person to attend the meetings and exercise the voting right within the scope of authorization. Article 21Where a listed company uses the network or any other means to hold meetings of the general meeting of shareholders, it shall clearly state the time of voting and the procedures for the shareholders to vote through network or by other means. The voting through network or by other means for the general meeting of shareholders shall be started not earlier than 3: 00
p.m. on the day before the live meeting of the general meeting of shareholders is held and not later than 9: 30 a.m. on the day when the live general meeting of shareholders is held, and shall be concluded not earlier than 3: 00 p.m. on the day when the live general meeting of shareholders ends. Article 22The board of directors or any other convener shall take necessary measures to guarantee the normal order of the general meeting of shareholders. Measures shall be taken to deter any act of intervening in the general meeting of shareholders, picking quarrels, provoking troubles or damaging the lawful rights and interests of any shareholder, and it shall be timely reported to the relevant department for investigation and punishment. Article 23All the shareholders or their agents registered on the date of equity registration shall be entitled to attend the meetings of the general meeting of shareholders, and the listed company or the convener shall not refuse them under any pretext. Article 24A shareholder shall attend the meetings of the general meeting of shareholders upon the strength of his stock account certificate, identification card or any other valid certificates or proof that can prove his identity. An agent shall also submit the letter of attorney issued by the shareholder as well as his own valid identification card. Article 25The convener and lawyer shall jointly assess the validity of the shareholders' qualifications in light of the shareholders' register provided by the securities registration and settlement institution, and shall register the names of the shareholders and the amount of their voting shares. The registration for a meeting shall be terminated before the presider of the meeting announces the number of shareholders and agents that attend the meeting and the total amount of their voting shares. Article 26Where a listed company holds a session of the general meeting of shareholders, all the directors, supervisors and the secretary of the board of directors shall attend the meeting, and the managers and other senior managers shall attend the meeting
as nonvoting delegates. Article 27The sessions of the general meeting of shareholders shall be held by the chairman of the board of directors. Where the chairman cannot perform his duties or fails to perform his duties, the deputy chairman of the board of directors shall preside over the meeting; where the deputy chairman can not perform his duties or fails to perform his duties neither, half of the directors or more shall uniformly recommend one director to preside the meeting. Where the board of supervisors convenes the general meeting of shareholders by itself, the chairman of the board of supervisors shall preside over the meeting. Where the chairman cannot perform his duties or fails to perform his duties, the deputy chairman of the board of supervisors shall preside over the meeting; where the deputy chairman still can not perform his duties or fails to perform his duties, half of the supervisors or more shall uniformly recommend one supervisor to preside over the meeting. Where the shareholders convene any session of the general meeting of shareholders by themselves, the conveners shall recommend one representative to preside over the meeting. A listed company shall formulate the rules of procedure for the general meeting of shareholders. In case that the presider of the meeting violates the rules of procedure and makes it difficult for the general meeting of shareholders to continue in the process of general meeting of shareholders the general meeting of shareholders may recommend one person as the presider of the meeting upon consent of half of the voting shareholders that are present at the meeting. Article 28At an annual session of the general meeting of shareholders, the board of directors and the board of supervisors shall report their work of the previous year respectively to the general meeting of shareholders, and each independent director shall also make his duty report correspondingly. Article 29The directors, supervisors and senior managers shall make explanation and statement the inquiries of shareholders at
the general meeting of shareholders. Article 30The presider of a meeting shall declare the number of shareholders and their agents attending the meeting as well as the total amount of their voting shares before the casting votes, and the number of shareholders and their agents attending the meeting or the total amount of their voting shares shall be that as indicated in the meeting's register. Article 31In case a shareholder has any relation with the matters to be deliberated at the general meeting of shareholders, he/it shall withdraw from the voting, and its voting shares shall not be included in the total amount of voting shares of the shareholders that attend the general meeting of shareholders. The listed company has no voting right for the shares it holds, and such part of shares shall not be included in the total amount of voting shares of the shareholders that attend the general meeting of shareholders. Article 32When the general meeting of shareholders votes for the election of directors or supervisors, the cumulative voting system may be implemented according to the provisions in the Articles of Association of the company or the resolution of the general meeting of shareholders. The "cumulative voting system" as mentioned in the preceding Paragraph means that each share has the number of voting right identical to the number of directors or supervisors to be elected, and the voting right owned by the shareholders may be cumulatively used when the general meeting of shareholders elects the directors or supervisors. Article 33Except for the cumulative voting system, the general meeting of shareholders shall vote on all the proposals item by item, and shall vote on the proposals on the basis of the time sequence when the proposals are put forward if there are more than one proposals for one matter. The general meeting of shareholders shall not suspend the voting of the proposals unless the meeting of the general meeting of shareholders is paused or no resolution can be made due to force majeure or any other special reason,.
Article 34When the general meeting of shareholders deliberates a proposal, it shall not amend the proposal, otherwise, the relevant alteration shall be regarded as a new one and shall not be voted at the present session of the general meeting of shareholders. Article 35A voting right can be exercised through only one means of on the spot, through network or by any other means of voting. The first voting result shall prevail where one voting right is repeatedly exercised. Article 36The shareholders attending the general meeting of shareholders shall deliver any of the following kinds of opinions about the proposals put forward for voting: consent, objection or abstention. Where there are ballots on which the words are not filled in, wrongly filled in or unintelligible or the ballots that are not voted, the voters shall be regarded as having relinquished their voting rights and the voting results of their shares shall be regarded as "abstention". Article 37Before the general meeting of shareholders votes on proposals, it shall recommend two shareholders to take part in the calculation and monitoring of the cast of ballots. In case any matter for deliberation has any relation with any shareholder, this shareholder and his agent shall not take part in the calculation or monitoring of the cast of ballots. When the general meeting of shareholders is voting on the proposals, the lawyers, representatives of shareholders and supervisors shall be jointly responsible for the calculation and monitoring of ballots. The shareholders or their agents of a listed company that vote through network or by any other means have the right to consult their voting results through the corresponding voting system. Article 38The live meetings of the general meeting of shareholders shall not end earlier than the time when the voting through network or by any other means ends. The presider of the meeting shall declare the voting and result of each proposal at the meeting,
and announce whether the proposal has been adopted according to the voting result. Before the voting result is formally announced, the listed company, vote counters, vote supervisors, main shareholders and the network service provider, etc. involved in the voting of the general meeting of shareholders on the spot, through network or by any other means, shall be obliged to keep secrets to themselves. Article 39The resolution of the general meeting of shareholders shall be announced in a timely manner, and the announcement shall indicate the number of shareholders and agents that attended the meeting, the total amount of their voting shares and its proportion to the total voting shares of the company, the voting method, the voting result of each proposal and detailed contents of each resolution. A listed company that issues foreign capital stocks listed in China shall respectively audit and announce the situation of the attendance of the shareholders of domestic and foreign capital stocks at the meeting and that of their voting. Article 40If a proposal is not adopted or the general meeting of shareholders modifies the resolution of any previous session of the general meeting of shareholders, it shall give a special explanation in the announcement on the resolution of the general meeting of shareholders. Article 41The secretary of the board of directors shall take charge of the records on the general meeting of shareholders, and the aforesaid records shall indicate the following contents: (1)The time, place, rules of procedure of the meeting, the name of the convener; (2)The name of the presider of the meeting, the directors, supervisors, the secretary of the board of directors, managers and other senior managers that attend the meeting or attend the meeting as nonvoting delegates; (3)The number of shareholders and agents that attend the meeting, the total amount of their voting shares and its proportion to the total amount of shares of the company;
(4)The process of deliberation of each proposal, the minutes of the speeches and the voting results; (5)The inquiries or suggestions of the shareholders as well as the corresponding replies or explanations; (6)The name of lawyers, vote counters, and supervisors; and (7)Other contents that shall be indicated in the records of the meeting as prescribed by the Articles of Association of the company. The directors, secretary of the board of directors, convener or their agents that attend the meeting as well as the presider of the meeting shall affix their signatures to the records of the meeting, and ensure that the contents are authentic, accurate and complete. The records of the meeting shall be kept together with the book of signatures of shareholders that attend the meeting, the letters of attorney for the agents as well as the valid materials about the voting through network or by any other means, and the preservative term shall be 10 years or more. Article 42The convener shall ensure that the meeting of the general meeting of shareholders go on smoothly until the final resolution is made. Where the general meeting of shareholders is paused or no resolution can be made due to force majeure or any other special cause, necessary measures shall be taken to resume the meeting of the general meeting of shareholders or the meeting shall be directly terminated, and an announcement shall be made in a timely manner. At the same time, the convener shall report it to the dispatched office of the CSRC at the locality of the company and the stock exchange. Article 43Where the general meeting of shareholders adopts the proposal on the election of relevant directors or supervisors, the newly appointed directors or supervisors shall take their posts according to the Articles of Association of the company. Article 44Where the general meeting of shareholders adopts the proposal on cash dividends, gift shares or stock dividends from capital reserves, the listed company shall implement the specific scheme within 2 months upon conclusion of the general meeting of
shareholders. Article 45A resolution of the general meeting of shareholders shall be invalidated if it violates any of the laws or administrative regulations. If the procedures for convening the general meeting of shareholders or the voting method is no pursuant to any of the laws, administrative regulations or the Articles of Association of the company, or the contents of the resolution are not pursuant to the Articles of Association of the company, the shareholders may request the people's court to cancel it within 60 days after the resolution is made. Chapter V Supervisory Measures Article 46If a listed company fails to hold a meeting of the general meeting of shareholders without justifiable causes within the term as prescribed by these Rules, the stock exchange has the right to suspend the listing of stocks and derivatives of the company that are listed on this stock exchange, and require the board of directors to give explanations and make an announcement. Article 47If the convening or holding of the sessions of the general meeting of shareholders or the relevant information disclosure is not in line with any of the laws, administrative regulations, these Rules or the Articles of Association of the company, the CSRC and its dispatched office have the right to order the listed company or its relevant principals to make corrections within a time limit, and the stock exchange shall give a public reprimand. Article 48If a director, supervisor or the secretary of the board of directors violates any of the laws, administrative regulations, these Rules or the Articles of Association of the company or fails to practically perform duties, the CSRC and its dispatched office have the right to order him/it to make corrections and the stock exchange shall give a public reprimand; if the circumstance is serious or he/it fails to make corrections, the CSRC may prohibit the relevant persons from coming into the securities market. Chapter VI Supplementary Provisions
Article 49Where there are other provisions on the general meeting of shareholders of the listed companies that issues foreign capital stocks in relevant laws, administrative regulations or documents, such provisions shall prevail. Article 50The "announcement" or "notice" as mentioned in these Rules shall refer to the relevant information disclosure on the newspapers or periodicals designated by the CSRC. If the announcement or notice is too long, the listed company may disclose the summary of relevant contents on the newspapers or periodicals designated by the CSRC. However, the full text shall be also published on the website designated by the CSRC at meantime. The expression "supplementary notice on the general meeting of shareholders" as mentioned in these Rules shall be announced on a designated newspaper or periodical that publishes the notice of the meeting. Article 51The "or more" or "within" as mentioned in these Rules shall contain the said figure itself, while the "exceeding", "less than" or "more than" shall not contain the said figure itself. Article 52The power to interpret these Rules shall remain with the CRCS. Article 53These Rules shall come into force as of the date of promulgation. The Guiding Opinions of the General assembly of Shareholders of the Listed Company (Zheng Jian Gong Si Zi [2000] No. 53) promulgated on May 18, 2000 and the Guidelines for the Network Voting of the General Meeting of Shareholders of the Listed Company (for Trial Implementation) (Zheng Jian Gong Si Zi [2004] No. 96) promulgated on November 29, 2004 shall be simultaneously repealed. China Securities Regulatory Commission 2006-03-16