圖片來源：攝圖網

關于全力支持上市公司等市場主體堅決打贏防控新型冠狀病毒感染肺炎疫情阻擊戰的通知

各市場參與人：

當(dang)(dang)前，新型冠狀病(bing)毒感染肺(fei)炎(yan)疫(yi)(yi)(yi)情(qing)(qing)防控(kong)(kong)(kong)工(gong)作正處于關鍵階段，牽動(dong)(dong)著全(quan)國(guo)人民(min)的心。疫(yi)(yi)(yi)情(qing)(qing)發生以來，深交所堅決(jue)貫徹落實習近(jin)平總(zong)書記重要(yao)(yao)指示精神、黨(dang)中央國(guo)務院決(jue)策(ce)部署和中國(guo)證監會工(gong)作安(an)排，切實增強大局意識(shi)、全(quan)局觀念，把全(quan)力做好疫(yi)(yi)(yi)情(qing)(qing)防控(kong)(kong)(kong)作為首(shou)要(yao)(yao)政(zheng)治任(ren)務和當(dang)(dang)前最(zui)重要(yao)(yao)工(gong)作，多(duo)方協(xie)調、迅速行動(dong)(dong)，充分發揮交易所作為市場(chang)(chang)組織者、監管(guan)者、服(fu)務者職能作用，深入了(le)解受疫(yi)(yi)(yi)情(qing)(qing)影(ying)響(xiang)市場(chang)(chang)主體實際困難，多(duo)措(cuo)并舉、協(xie)作聯動(dong)(dong)，以實際行動(dong)(dong)支持疫(yi)(yi)(yi)情(qing)(qing)防控(kong)(kong)(kong)工(gong)作。

為進一步(bu)貫徹落(luo)實黨中央國務院(yuan)決策部(bu)署，積極推進落(luo)實中國人民銀(yin)行(xing)等五部(bu)委《關(guan)(guan)于(yu)進一步(bu)強化金融支(zhi)持防(fang)控(kong)新型冠(guan)狀(zhuang)病毒感染肺炎疫情(qing)的(de)通知》和(he)(he)中國證監會疫情(qing)防(fang)控(kong)工(gong)作(zuo)有(you)關(guan)(guan)要求(qiu)，深交所(suo)按照一切有(you)利于(yu)疫情(qing)防(fang)控(kong)工(gong)作(zuo)、一切有(you)利于(yu)促進深市(shi)平穩運(yun)行(xing)的(de)原(yuan)則，加強業(ye)務支(zhi)持和(he)(he)服(fu)務保障(zhang)，針對特(te)(te)殊時期市(shi)場(chang)主(zhu)體實際需求(qiu)作(zuo)出相應安排(pai)，改進市(shi)場(chang)服(fu)務方式(shi)，優化業(ye)務操作(zuo)安排(pai)，落(luo)實落(luo)細防(fang)控(kong)措施，減少人員(yuan)聚集流(liu)動，提供有(you)彈性、有(you)溫(wen)度(du)的(de)一線(xian)監管和(he)(he)市(shi)場(chang)服(fu)務，特(te)(te)事特(te)(te)辦(ban)、急(ji)事急(ji)辦(ban)，促進市(shi)場(chang)各項業(ye)務穩定運(yun)行(xing)，保障(zhang)廣大市(shi)場(chang)參與者健康安全，與市(shi)場(chang)各方同舟共(gong)濟、共(gong)克(ke)時艱，助力打贏防(fang)控(kong)疫情(qing)阻擊(ji)戰。

現將相關業務安(an)排通知如下：

一、上市公司信息披(pi)露業務

一是(shi)(shi)設立(li)上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)信(xin)息(xi)(xi)披(pi)(pi)(pi)(pi)露(lu)(lu)(lu)(lu)專項服務(wu)(wu)通道。就本(ben)(ben)(ben)次疫(yi)(yi)(yi)情(qing)(qing)涉及的(de)上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)信(xin)息(xi)(xi)披(pi)(pi)(pi)(pi)露(lu)(lu)(lu)(lu)及相(xiang)關(guan)(guan)業(ye)務(wu)(wu)接受(shou)咨(zi)詢，支(zhi)(zhi)持(chi)上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)做(zuo)好(hao)當前疫(yi)(yi)(yi)情(qing)(qing)防(fang)控(kong)及相(xiang)關(guan)(guan)信(xin)息(xi)(xi)披(pi)(pi)(pi)(pi)露(lu)(lu)(lu)(lu)工(gong)(gong)作。上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)可直接聯系本(ben)(ben)(ben)所(suo)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)管理(li)(li)部門進(jin)行(xing)(xing)業(ye)務(wu)(wu)咨(zi)詢或(huo)(huo)者(zhe)(zhe)辦理(li)(li)信(xin)息(xi)(xi)披(pi)(pi)(pi)(pi)露(lu)(lu)(lu)(lu)業(ye)務(wu)(wu)。二是(shi)(shi)支(zhi)(zhi)持(chi)上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)做(zuo)好(hao)定期(qi)(qi)(qi)報(bao)(bao)告披(pi)(pi)(pi)(pi)露(lu)(lu)(lu)(lu)工(gong)(gong)作。上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)受(shou)疫(yi)(yi)(yi)情(qing)(qing)影(ying)響，難(nan)(nan)以按(an)期(qi)(qi)(qi)披(pi)(pi)(pi)(pi)露(lu)(lu)(lu)(lu)業(ye)績(ji)預告或(huo)(huo)業(ye)績(ji)快報(bao)(bao)的(de)，可向本(ben)(ben)(ben)所(suo)申(shen)請(qing)延期(qi)(qi)(qi)辦理(li)(li)；難(nan)(nan)以在原(yuan)預約日期(qi)(qi)(qi)披(pi)(pi)(pi)(pi)露(lu)(lu)(lu)(lu)2019年(nian)(nian)年(nian)(nian)報(bao)(bao)的(de)，可向本(ben)(ben)(ben)所(suo)申(shen)請(qing)延期(qi)(qi)(qi)至2020年(nian)(nian)4月30日前披(pi)(pi)(pi)(pi)露(lu)(lu)(lu)(lu)。上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)受(shou)疫(yi)(yi)(yi)情(qing)(qing)影(ying)響，在法定期(qi)(qi)(qi)限內披(pi)(pi)(pi)(pi)露(lu)(lu)(lu)(lu)2019年(nian)(nian)年(nian)(nian)報(bao)(bao)或(huo)(huo)2020年(nian)(nian)第一季(ji)度(du)季(ji)報(bao)(bao)有(you)困(kun)難(nan)(nan)的(de)，本(ben)(ben)(ben)所(suo)將(jiang)(jiang)按(an)中(zhong)國(guo)證監(jian)會(hui)(hui)(hui)(hui)統一部署(shu)依法妥(tuo)善安(an)排，相(xiang)關(guan)(guan)安(an)排明確后將(jiang)(jiang)另行(xing)(xing)通知(zhi)。三(san)是(shi)(shi)適(shi)當放寬并(bing)購(gou)(gou)重組業(ye)務(wu)(wu)相(xiang)關(guan)(guan)時限。按(an)照(zhao)《關(guan)(guan)于(yu)進(jin)一步強化金融(rong)支(zhi)(zhi)持(chi)防(fang)控(kong)新型冠狀病毒感染肺炎疫(yi)(yi)(yi)情(qing)(qing)的(de)通知(zhi)》相(xiang)關(guan)(guan)要求(qiu)，適(shi)當延長上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)并(bing)購(gou)(gou)重組行(xing)(xing)政許可財(cai)務(wu)(wu)資(zi)(zi)(zi)料有(you)效期(qi)(qi)(qi)和(he)并(bing)購(gou)(gou)重組預案(an)披(pi)(pi)(pi)(pi)露(lu)(lu)(lu)(lu)后發布召開(kai)股(gu)東大(da)(da)會(hui)(hui)(hui)(hui)通知(zhi)的(de)時限。四是(shi)(shi)支(zhi)(zhi)持(chi)上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)召開(kai)網(wang)上(shang)(shang)投(tou)(tou)(tou)資(zi)(zi)(zi)者(zhe)(zhe)說(shuo)明會(hui)(hui)(hui)(hui)。鼓(gu)勵上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)依規通過(guo)(guo)網(wang)絡(luo)方式(shi)召開(kai)投(tou)(tou)(tou)資(zi)(zi)(zi)者(zhe)(zhe)說(shuo)明會(hui)(hui)(hui)(hui)或(huo)(huo)者(zhe)(zhe)年(nian)(nian)度(du)業(ye)績(ji)說(shuo)明會(hui)(hui)(hui)(hui)，介紹(shao)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)經營(ying)情(qing)(qing)況，與投(tou)(tou)(tou)資(zi)(zi)(zi)者(zhe)(zhe)溝通交流，引導(dao)投(tou)(tou)(tou)資(zi)(zi)(zi)者(zhe)(zhe)理(li)(li)性投(tou)(tou)(tou)資(zi)(zi)(zi)，本(ben)(ben)(ben)所(suo)將(jiang)(jiang)為(wei)上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)提供必要的(de)協(xie)助(zhu)。五是(shi)(shi)鼓(gu)勵投(tou)(tou)(tou)資(zi)(zi)(zi)者(zhe)(zhe)通過(guo)(guo)網(wang)絡(luo)投(tou)(tou)(tou)票(piao)參(can)(can)加股(gu)東大(da)(da)會(hui)(hui)(hui)(hui)。為(wei)防(fang)止疫(yi)(yi)(yi)情(qing)(qing)擴散和(he)保(bao)護(hu)投(tou)(tou)(tou)資(zi)(zi)(zi)者(zhe)(zhe)健(jian)(jian)康(kang)，鼓(gu)勵上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)股(gu)東采取網(wang)絡(luo)投(tou)(tou)(tou)票(piao)方式(shi)參(can)(can)加會(hui)(hui)(hui)(hui)議(yi)(yi)，本(ben)(ben)(ben)所(suo)免收注冊地在湖北省(sheng)的(de)上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)2020年(nian)(nian)網(wang)絡(luo)投(tou)(tou)(tou)票(piao)服務(wu)(wu)費用。疫(yi)(yi)(yi)情(qing)(qing)防(fang)控(kong)期(qi)(qi)(qi)間，上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)如確需現場召開(kai)股(gu)東大(da)(da)會(hui)(hui)(hui)(hui)，應做(zuo)好(hao)會(hui)(hui)(hui)(hui)議(yi)(yi)組織保(bao)障，有(you)效保(bao)護(hu)參(can)(can)會(hui)(hui)(hui)(hui)人員健(jian)(jian)康(kang)安(an)全(quan)。六是(shi)(shi)鼓(gu)勵上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)積(ji)極履(lv)(lv)行(xing)(xing)社會(hui)(hui)(hui)(hui)責(ze)任。上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)應結合(he)生產經營(ying)實際(ji)，積(ji)極履(lv)(lv)行(xing)(xing)社會(hui)(hui)(hui)(hui)責(ze)任，采取有(you)效措施支(zhi)(zhi)持(chi)疫(yi)(yi)(yi)情(qing)(qing)防(fang)控(kong)工(gong)(gong)作。上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)履(lv)(lv)行(xing)(xing)社會(hui)(hui)(hui)(hui)責(ze)任相(xiang)關(guan)(guan)信(xin)息(xi)(xi)披(pi)(pi)(pi)(pi)露(lu)(lu)(lu)(lu)情(qing)(qing)況將(jiang)(jiang)作為(wei)年(nian)(nian)度(du)信(xin)息(xi)(xi)披(pi)(pi)(pi)(pi)露(lu)(lu)(lu)(lu)考核重要評(ping)價指標。

二、股票發行(xing)承銷業(ye)務和上市培育(yu)服務

一(yi)是通(tong)過(guo)非(fei)現(xian)場(chang)方式(shi)辦(ban)理股票(piao)發(fa)行上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)業務(wu)。疫情(qing)防控(kong)期間，發(fa)行人及主(zhu)承銷商原則(ze)上(shang)(shang)通(tong)過(guo)郵寄方式(shi)向本(ben)所報送(song)發(fa)行上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)申請文件。二是取消疫情(qing)防控(kong)期間上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)儀(yi)式(shi)現(xian)場(chang)環節。疫情(qing)防控(kong)期間，本(ben)所暫不安排(pai)現(xian)場(chang)上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)儀(yi)式(shi)，本(ben)所與(yu)發(fa)行人的(de)上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)協(xie)議通(tong)過(guo)郵寄方式(shi)簽署；支持(chi)發(fa)行人疫情(qing)影(ying)響消除后在本(ben)所補辦(ban)上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)儀(yi)式(shi)。三是減輕湖北省上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公司費(fei)用負擔。免收注冊地(di)在湖北省的(de)上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)公司2020年的(de)上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)初費(fei)和上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)年費(fei)。四(si)是持(chi)續做好市(shi)(shi)(shi)(shi)(shi)場(chang)培(pei)(pei)育(yu)和服(fu)務(wu)工作。通(tong)過(guo)上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)通(tong)APP線上(shang)(shang)咨詢、遠程視頻、在線培(pei)(pei)訓等(deng)方式(shi)做好市(shi)(shi)(shi)(shi)(shi)場(chang)培(pei)(pei)育(yu)，積(ji)極(ji)提供便利化、專業化、針對(dui)性(xing)市(shi)(shi)(shi)(shi)(shi)場(chang)服(fu)務(wu)。加大對(dui)湖北等(deng)疫情(qing)相對(dui)嚴(yan)重地(di)區(qu)市(shi)(shi)(shi)(shi)(shi)場(chang)培(pei)(pei)育(yu)服(fu)務(wu)支持(chi)，主(zhu)動配合(he)當(dang)地(di)政府及擬上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)企(qi)業做好上(shang)(shang)市(shi)(shi)(shi)(shi)(shi)服(fu)務(wu)工作。

三、固定收益業務

一是設立業務(wu)(wu)(wu)咨詢專(zhuan)項服(fu)務(wu)(wu)(wu)通(tong)道(dao)。疫(yi)(yi)(yi)(yi)(yi)情(qing)防(fang)(fang)控(kong)(kong)期(qi)間，債(zhai)券(quan)(quan)、資(zi)(zi)(zi)產支(zhi)(zhi)持(chi)證(zheng)(zheng)券(quan)(quan)相(xiang)(xiang)(xiang)(xiang)關參與主(zhu)體(ti)(ti)因疫(yi)(yi)(yi)(yi)(yi)情(qing)防(fang)(fang)控(kong)(kong)在審(shen)核(he)(he)(he)、發(fa)(fa)(fa)(fa)(fa)行(xing)(xing)(xing)、上市(shi)、掛牌轉讓、信息(xi)披露(lu)(lu)(lu)、交易結算等相(xiang)(xiang)(xiang)(xiang)關業務(wu)(wu)(wu)中(zhong)出現(xian)特殊情(qing)況(kuang)的(de)，可通(tong)過(guo)電(dian)話(hua)、電(dian)子郵件(jian)等方(fang)式(shi)(shi)及時(shi)(shi)與本(ben)所(suo)(suo)固定(ding)(ding)收益部(bu)(bu)溝通(tong)聯系。二是做(zuo)(zuo)好(hao)疫(yi)(yi)(yi)(yi)(yi)情(qing)防(fang)(fang)控(kong)(kong)融(rong)資(zi)(zi)(zi)服(fu)務(wu)(wu)(wu)工(gong)作(zuo)。本(ben)所(suo)(suo)將(jiang)按(an)(an)照(zhao)財政部(bu)(bu)相(xiang)(xiang)(xiang)(xiang)關部(bu)(bu)署(shu)，根據湖北省等疫(yi)(yi)(yi)(yi)(yi)情(qing)相(xiang)(xiang)(xiang)(xiang)對嚴(yan)重地區政府(fu)安排，積極配(pei)合做(zuo)(zuo)好(hao)地方(fang)政府(fu)一般債(zhai)券(quan)(quan)、專(zhuan)項債(zhai)券(quan)(quan)發(fa)(fa)(fa)(fa)(fa)行(xing)(xing)(xing)業務(wu)(wu)(wu)、技(ji)術(shu)支(zhi)(zhi)持(chi)和(he)服(fu)務(wu)(wu)(wu)工(gong)作(zuo)；對募(mu)集資(zi)(zi)(zi)金主(zhu)要用于疫(yi)(yi)(yi)(yi)(yi)情(qing)防(fang)(fang)控(kong)(kong)以(yi)及疫(yi)(yi)(yi)(yi)(yi)情(qing)較重地區企業發(fa)(fa)(fa)(fa)(fa)行(xing)(xing)(xing)的(de)債(zhai)券(quan)(quan)、資(zi)(zi)(zi)產支(zhi)(zhi)持(chi)證(zheng)(zheng)券(quan)(quan)，建立發(fa)(fa)(fa)(fa)(fa)行(xing)(xing)(xing)審(shen)核(he)(he)(he)綠色通(tong)道(dao)，優化(hua)工(gong)作(zuo)流程，實(shi)行(xing)(xing)(xing)“專(zhuan)人(ren)(ren)對接，專(zhuan)項審(shen)核(he)(he)(he)”。三是適當放(fang)寬債(zhai)券(quan)(quan)、資(zi)(zi)(zi)產支(zhi)(zhi)持(chi)證(zheng)(zheng)券(quan)(quan)發(fa)(fa)(fa)(fa)(fa)行(xing)(xing)(xing)辦(ban)理(li)(li)時(shi)(shi)限(xian)(xian)(xian)。已取得債(zhai)券(quan)(quan)、資(zi)(zi)(zi)產支(zhi)(zhi)持(chi)證(zheng)(zheng)券(quan)(quan)發(fa)(fa)(fa)(fa)(fa)行(xing)(xing)(xing)辦(ban)理(li)(li)文件(jian)，受(shou)疫(yi)(yi)(yi)(yi)(yi)情(qing)影(ying)響(xiang)未能在文件(jian)有效期(qi)內完成(cheng)發(fa)(fa)(fa)(fa)(fa)行(xing)(xing)(xing)的(de)，非公開發(fa)(fa)(fa)(fa)(fa)行(xing)(xing)(xing)公司債(zhai)券(quan)(quan)及資(zi)(zi)(zi)產支(zhi)(zhi)持(chi)證(zheng)(zheng)券(quan)(quan)發(fa)(fa)(fa)(fa)(fa)行(xing)(xing)(xing)主(zhu)體(ti)(ti)可向本(ben)所(suo)(suo)申(shen)請(qing)(qing)延(yan)期(qi)發(fa)(fa)(fa)(fa)(fa)行(xing)(xing)(xing)。四(si)是通(tong)過(guo)非現(xian)場方(fang)式(shi)(shi)辦(ban)理(li)(li)相(xiang)(xiang)(xiang)(xiang)關業務(wu)(wu)(wu)。疫(yi)(yi)(yi)(yi)(yi)情(qing)防(fang)(fang)控(kong)(kong)期(qi)間，原需向本(ben)所(suo)(suo)報(bao)送相(xiang)(xiang)(xiang)(xiang)關書(shu)(shu)面材料(liao)（如審(shen)核(he)(he)(he)項目(mu)封卷材料(liao)、發(fa)(fa)(fa)(fa)(fa)行(xing)(xing)(xing)申(shen)請(qing)(qing)材料(liao)、律師發(fa)(fa)(fa)(fa)(fa)行(xing)(xing)(xing)鑒證(zheng)(zheng)意見、承銷總(zong)結報(bao)告等）的(de)，可以(yi)電(dian)子版文件(jian)形(xing)式(shi)(shi)先行(xing)(xing)(xing)發(fa)(fa)(fa)(fa)(fa)送，相(xiang)(xiang)(xiang)(xiang)應(ying)書(shu)(shu)面材料(liao)可后(hou)續以(yi)郵寄等方(fang)式(shi)(shi)補充(chong)提(ti)供。如受(shou)疫(yi)(yi)(yi)(yi)(yi)情(qing)防(fang)(fang)控(kong)(kong)影(ying)響(xiang)，預計難以(yi)在規(gui)定(ding)(ding)期(qi)限(xian)(xian)(xian)內提(ti)交債(zhai)券(quan)(quan)、資(zi)(zi)(zi)產支(zhi)(zhi)持(chi)證(zheng)(zheng)券(quan)(quan)審(shen)核(he)(he)(he)項目(mu)申(shen)請(qing)(qing)材料(liao)的(de)，可向本(ben)所(suo)(suo)申(shen)請(qing)(qing)延(yan)期(qi)辦(ban)理(li)(li)。五是支(zhi)(zhi)持(chi)發(fa)(fa)(fa)(fa)(fa)行(xing)(xing)(xing)人(ren)(ren)及管理(li)(li)人(ren)(ren)等做(zuo)(zuo)好(hao)定(ding)(ding)期(qi)報(bao)告、臨時(shi)(shi)報(bao)告披露(lu)(lu)(lu)工(gong)作(zuo)。如受(shou)疫(yi)(yi)(yi)(yi)(yi)情(qing)防(fang)(fang)控(kong)(kong)影(ying)響(xiang)，預計難以(yi)按(an)(an)規(gui)定(ding)(ding)期(qi)限(xian)(xian)(xian)披露(lu)(lu)(lu)債(zhai)券(quan)(quan)、資(zi)(zi)(zi)產支(zhi)(zhi)持(chi)證(zheng)(zheng)券(quan)(quan)定(ding)(ding)期(qi)報(bao)告、臨時(shi)(shi)報(bao)告的(de)，可向本(ben)所(suo)(suo)申(shen)請(qing)(qing)延(yan)期(qi)辦(ban)理(li)(li)。本(ben)所(suo)(suo)正(zheng)按(an)(an)照(zhao)中(zhong)國證(zheng)(zheng)監會統一部(bu)(bu)署(shu)，抓(zhua)緊研究部(bu)(bu)分債(zhai)券(quan)(quan)發(fa)(fa)(fa)(fa)(fa)行(xing)(xing)(xing)人(ren)(ren)和(he)資(zi)(zi)(zi)產支(zhi)(zhi)持(chi)證(zheng)(zheng)券(quan)(quan)管理(li)(li)人(ren)(ren)、托管人(ren)(ren)等因疫(yi)(yi)(yi)(yi)(yi)情(qing)影(ying)響(xiang)難以(yi)在法定(ding)(ding)期(qi)限(xian)(xian)(xian)內披露(lu)(lu)(lu)定(ding)(ding)期(qi)報(bao)告事宜，相(xiang)(xiang)(xiang)(xiang)關安排明(ming)確(que)后(hou)將(jiang)另行(xing)(xing)(xing)通(tong)知。六是鼓勵(li)采取非現(xian)場方(fang)式(shi)(shi)召開債(zhai)券(quan)(quan)、資(zi)(zi)(zi)產支(zhi)(zhi)持(chi)證(zheng)(zheng)券(quan)(quan)持(chi)有人(ren)(ren)會議(yi)。為防(fang)(fang)止疫(yi)(yi)(yi)(yi)(yi)情(qing)擴散和(he)保(bao)護投資(zi)(zi)(zi)者健康，鼓勵(li)采取視(shi)頻或(huo)電(dian)話(hua)等非現(xian)場方(fang)式(shi)(shi)召開債(zhai)券(quan)(quan)、資(zi)(zi)(zi)產支(zhi)(zhi)持(chi)證(zheng)(zheng)券(quan)(quan)持(chi)有人(ren)(ren)會議(yi)；疫(yi)(yi)(yi)(yi)(yi)情(qing)防(fang)(fang)控(kong)(kong)期(qi)間，如確(que)需以(yi)現(xian)場方(fang)式(shi)(shi)召開會議(yi)的(de)，會議(yi)召集人(ren)(ren)應(ying)當做(zuo)(zuo)好(hao)場所(suo)(suo)清潔消毒和(he)參會人(ren)(ren)員健康防(fang)(fang)護工(gong)作(zuo)，營造(zao)衛生、安全(quan)、有序的(de)會議(yi)環(huan)境。

四、會員業務

一是(shi)(shi)落實落細政策支(zhi)(zhi)持要求。本(ben)(ben)所(suo)(suo)(suo)將(jiang)根據中國證監會(hui)(hui)統一部署(shu)，就(jiu)股票(piao)質(zhi)押融(rong)資(zi)(zi)(zi)、融(rong)資(zi)(zi)(zi)融(rong)券業(ye)(ye)務(wu)(wu)(wu)，對湖北省(sheng)等疫(yi)情(qing)嚴重地區進行(xing)專門政策支(zhi)(zhi)持。二是(shi)(shi)設立業(ye)(ye)務(wu)(wu)(wu)咨詢(xun)專項服務(wu)(wu)(wu)通(tong)(tong)道。疫(yi)情(qing)防(fang)(fang)控(kong)期間，會(hui)(hui)員(yuan)(yuan)(yuan)(yuan)如有股票(piao)質(zhi)押融(rong)資(zi)(zi)(zi)、融(rong)資(zi)(zi)(zi)融(rong)券等業(ye)(ye)務(wu)(wu)(wu)咨詢(xun)，可通(tong)(tong)過(guo)(guo)電話、電子郵(you)件等方式及(ji)(ji)時與本(ben)(ben)所(suo)(suo)(suo)會(hui)(hui)員(yuan)(yuan)(yuan)(yuan)管(guan)理(li)(li)部溝(gou)通(tong)(tong)聯系。三是(shi)(shi)通(tong)(tong)過(guo)(guo)非現(xian)(xian)(xian)(xian)場(chang)(chang)(chang)(chang)(chang)方式進行(xing)業(ye)(ye)務(wu)(wu)(wu)培(pei)訓(xun)。疫(yi)情(qing)防(fang)(fang)控(kong)期間，本(ben)(ben)所(suo)(suo)(suo)暫(zan)停會(hui)(hui)員(yuan)(yuan)(yuan)(yuan)業(ye)(ye)務(wu)(wu)(wu)現(xian)(xian)(xian)(xian)場(chang)(chang)(chang)(chang)(chang)培(pei)訓(xun)，相(xiang)(xiang)關(guan)培(pei)訓(xun)將(jiang)通(tong)(tong)過(guo)(guo)網站視頻等非現(xian)(xian)(xian)(xian)場(chang)(chang)(chang)(chang)(chang)方式開展(zhan)。四(si)是(shi)(shi)鼓勵(li)會(hui)(hui)員(yuan)(yuan)(yuan)(yuan)引導投(tou)資(zi)(zi)(zi)者(zhe)非現(xian)(xian)(xian)(xian)場(chang)(chang)(chang)(chang)(chang)交(jiao)易(yi)。為(wei)防(fang)(fang)止疫(yi)情(qing)擴散(san)和保護(hu)投(tou)資(zi)(zi)(zi)者(zhe)健康，鼓勵(li)會(hui)(hui)員(yuan)(yuan)(yuan)(yuan)通(tong)(tong)過(guo)(guo)多種方式，引導投(tou)資(zi)(zi)(zi)者(zhe)采(cai)取非現(xian)(xian)(xian)(xian)場(chang)(chang)(chang)(chang)(chang)方式進行(xing)交(jiao)易(yi)活動(dong)，并(bing)為(wei)非現(xian)(xian)(xian)(xian)場(chang)(chang)(chang)(chang)(chang)交(jiao)易(yi)提供(gong)有效的(de)(de)技術保障(zhang)和相(xiang)(xiang)關(guan)服務(wu)(wu)(wu)。確有必要提供(gong)現(xian)(xian)(xian)(xian)場(chang)(chang)(chang)(chang)(chang)交(jiao)易(yi)服務(wu)(wu)(wu)的(de)(de)，請(qing)會(hui)(hui)員(yuan)(yuan)(yuan)(yuan)做好(hao)(hao)營業(ye)(ye)場(chang)(chang)(chang)(chang)(chang)所(suo)(suo)(suo)及(ji)(ji)交(jiao)易(yi)設施(shi)的(de)(de)衛生(sheng)防(fang)(fang)疫(yi)防(fang)(fang)護(hu)工(gong)(gong)作。發現(xian)(xian)(xian)(xian)異常情(qing)況的(de)(de)，請(qing)及(ji)(ji)時向本(ben)(ben)所(suo)(suo)(suo)報告。五(wu)是(shi)(shi)支(zhi)(zhi)持會(hui)(hui)員(yuan)(yuan)(yuan)(yuan)做好(hao)(hao)投(tou)資(zi)(zi)(zi)者(zhe)教育(yu)工(gong)(gong)作和客戶(hu)(hu)交(jiao)易(yi)行(xing)為(wei)管(guan)理(li)(li)。支(zhi)(zhi)持會(hui)(hui)員(yuan)(yuan)(yuan)(yuan)積極引導投(tou)資(zi)(zi)(zi)者(zhe)理(li)(li)性(xing)、客觀分(fen)析(xi)疫(yi)情(qing)影響，秉持長期投(tou)資(zi)(zi)(zi)、價(jia)值投(tou)資(zi)(zi)(zi)的(de)(de)理(li)(li)念，依法(fa)合(he)規開展(zhan)投(tou)資(zi)(zi)(zi)活動(dong)。支(zhi)(zhi)持會(hui)(hui)員(yuan)(yuan)(yuan)(yuan)充分(fen)揭示融(rong)資(zi)(zi)(zi)融(rong)券業(ye)(ye)務(wu)(wu)(wu)風險，鼓勵(li)會(hui)(hui)員(yuan)(yuan)(yuan)(yuan)根據市場(chang)(chang)(chang)(chang)(chang)情(qing)況、客戶(hu)(hu)資(zi)(zi)(zi)信和公(gong)司風險承受能力等因(yin)素，合(he)理(li)(li)確定(ding)最(zui)低維持擔(dan)保比(bi)例，維護(hu)市場(chang)(chang)(chang)(chang)(chang)穩(wen)定(ding)運行(xing)。六是(shi)(shi)支(zhi)(zhi)持會(hui)(hui)員(yuan)(yuan)(yuan)(yuan)采(cai)取措施(shi)確保各業(ye)(ye)務(wu)(wu)(wu)平(ping)穩(wen)運作。支(zhi)(zhi)持會(hui)(hui)員(yuan)(yuan)(yuan)(yuan)制定(ding)有針(zhen)對性(xing)、切實可行(xing)的(de)(de)業(ye)(ye)務(wu)(wu)(wu)應急預案，采(cai)取必要措施(shi)保障(zhang)辦公(gong)營業(ye)(ye)場(chang)(chang)(chang)(chang)(chang)所(suo)(suo)(suo)衛生(sheng)安全，對關(guan)鍵崗(gang)位實施(shi)雙崗(gang)互(hu)備，并(bing)做好(hao)(hao)特(te)殊情(qing)形下有關(guan)人員(yuan)(yuan)(yuan)(yuan)的(de)(de)替崗(gang)安排。

五、基金業務

一(yi)是通過非(fei)現場方(fang)式進行(xing)業(ye)(ye)(ye)(ye)務(wu)培訓及交流(liu)(liu)。疫(yi)情(qing)防(fang)控期(qi)間，本(ben)(ben)所暫停ETF大(da)講壇等現場培訓，并(bing)采用電話會(hui)議等非(fei)現場方(fang)式與基金管理人(ren)開(kai)展產品開(kai)發等相關業(ye)(ye)(ye)(ye)務(wu)交流(liu)(liu)，為(wei)市場持續(xu)提供優質服務(wu)。二是支持基金流(liu)(liu)動(dong)(dong)性(xing)服務(wu)商(shang)有序(xu)開(kai)展業(ye)(ye)(ye)(ye) 務(wu)。支持基金流(liu)(liu)動(dong)(dong)性(xing)服務(wu)商(shang)積極實施(shi)流(liu)(liu)動(dong)(dong)性(xing)服務(wu)業(ye)(ye)(ye)(ye)務(wu)，維(wei)護正(zheng)(zheng)常(chang)交易秩(zhi)序(xu)。確因疫(yi)情(qing)防(fang)控無法(fa)正(zheng)(zheng)常(chang)開(kai)展流(liu)(liu)動(dong)(dong)性(xing)服務(wu)業(ye)(ye)(ye)(ye)務(wu)的，可(ke)根(gen)據實際(ji)情(qing)況向本(ben)(ben)所申(shen)請豁(huo)免一(yi)段期(qi)間的流(liu)(liu)動(dong)(dong)性(xing)服務(wu)評(ping)級(ji)考核(he)。

六、期權業務

一是設立業(ye)務(wu)(wu)(wu)咨詢專項服務(wu)(wu)(wu)通(tong)(tong)道。疫情防(fang)控(kong)期(qi)(qi)(qi)(qi)(qi)(qi)間(jian)，期(qi)(qi)(qi)(qi)(qi)(qi)權(quan)(quan)(quan)經營機(ji)(ji)(ji)(ji)構如有期(qi)(qi)(qi)(qi)(qi)(qi)權(quan)(quan)(quan)業(ye)務(wu)(wu)(wu)咨詢及(ji)緊急報(bao)(bao)告事項，可通(tong)(tong)過電話、電子(zi)郵件等(deng)方(fang)式及(ji)時與本所(suo)衍生(sheng)(sheng)品業(ye)務(wu)(wu)(wu)部溝通(tong)(tong)聯系(xi)。二是支持(chi)期(qi)(qi)(qi)(qi)(qi)(qi)權(quan)(quan)(quan)經營機(ji)(ji)(ji)(ji)構做(zuo)(zuo)(zuo)好(hao)期(qi)(qi)(qi)(qi)(qi)(qi)權(quan)(quan)(quan)風險管(guan)理、做(zuo)(zuo)(zuo)市商(shang)管(guan)理、報(bao)(bao)備業(ye)務(wu)(wu)(wu)安(an)排。支持(chi)期(qi)(qi)(qi)(qi)(qi)(qi)權(quan)(quan)(quan)經營機(ji)(ji)(ji)(ji)構結合市場狀況(kuang)，做(zuo)(zuo)(zuo)好(hao)期(qi)(qi)(qi)(qi)(qi)(qi)權(quan)(quan)(quan)業(ye)務(wu)(wu)(wu)資金(jin)調度(du)安(an)排、投資者期(qi)(qi)(qi)(qi)(qi)(qi)權(quan)(quan)(quan)保證金(jin)管(guan)理和交易(yi)風險提示工作。支持(chi)期(qi)(qi)(qi)(qi)(qi)(qi)權(quan)(quan)(quan)做(zuo)(zuo)(zuo)市商(shang)積極履(lv)行做(zuo)(zuo)(zuo)市義(yi)務(wu)(wu)(wu)，維護正常交易(yi)秩序。確因疫情防(fang)控(kong)無法正常開展做(zuo)(zuo)(zuo)市業(ye)務(wu)(wu)(wu)的(de)(de)(de)，可根(gen)據(ju)實際情況(kuang)向本所(suo)申請豁免一段期(qi)(qi)(qi)(qi)(qi)(qi)間(jian)內的(de)(de)(de)做(zuo)(zuo)(zuo)市義(yi)務(wu)(wu)(wu)。對于期(qi)(qi)(qi)(qi)(qi)(qi)權(quan)(quan)(quan)品種權(quan)(quan)(quan)利倉持(chi)倉限額首次提升至2000張以上(shang)的(de)(de)(de)賬(zhang)(zhang)(zhang)戶(hu)持(chi)倉限額報(bao)(bao)備和期(qi)(qi)(qi)(qi)(qi)(qi)權(quan)(quan)(quan)程序化交易(yi)賬(zhang)(zhang)(zhang)戶(hu)報(bao)(bao)備兩項業(ye)務(wu)(wu)(wu)，期(qi)(qi)(qi)(qi)(qi)(qi)權(quan)(quan)(quan)經營機(ji)(ji)(ji)(ji)構受疫情影響，無法通(tong)(tong)過本所(suo)期(qi)(qi)(qi)(qi)(qi)(qi)權(quan)(quan)(quan)業(ye)務(wu)(wu)(wu)專區辦理的(de)(de)(de)，可通(tong)(tong)過電子(zi)郵件方(fang)式提交材料。三(san)是鼓勵(li)期(qi)(qi)(qi)(qi)(qi)(qi)權(quan)(quan)(quan)經營機(ji)(ji)(ji)(ji)構做(zuo)(zuo)(zuo)好(hao)非現(xian)場開戶(hu)服務(wu)(wu)(wu)。對于滿足(zu)非現(xian)場開戶(hu)條件的(de)(de)(de)投資者，鼓勵(li)期(qi)(qi)(qi)(qi)(qi)(qi)權(quan)(quan)(quan)經營機(ji)(ji)(ji)(ji)構通(tong)(tong)過見證、網上(shang)等(deng)方(fang)式為其開立深市衍生(sheng)(sheng)品合約賬(zhang)(zhang)(zhang)戶(hu)。

七(qi)、協議轉(zhuan)讓、協助執法(fa)和聽(ting)證復核業務(wu)

一(yi)是(shi)通(tong)(tong)(tong)過(guo)非(fei)現(xian)(xian)場方(fang)(fang)(fang)(fang)式(shi)(shi)辦(ban)(ban)理(li)股份協(xie)(xie)議轉讓業務(wu)(wu)。疫(yi)(yi)情(qing)(qing)防控(kong)期間，申(shen)(shen)(shen)(shen)請(qing)人可通(tong)(tong)(tong)過(guo)郵(you)寄方(fang)(fang)(fang)(fang)式(shi)(shi)將申(shen)(shen)(shen)(shen)請(qing)文(wen)件(jian)(jian)、《承諾函》等(deng)寄至本(ben)所。對符合(he)條件(jian)(jian)的(de)(de)(de)申(shen)(shen)(shen)(shen)請(qing)，本(ben)所將通(tong)(tong)(tong)過(guo)電子郵(you)件(jian)(jian)方(fang)(fang)(fang)(fang)式(shi)(shi)向申(shen)(shen)(shen)(shen)請(qing)人發送相關通(tong)(tong)(tong)知(zhi)，出(chu)具確認(ren)意見書(shu)并(bing)郵(you)寄給(gei)申(shen)(shen)(shen)(shen)請(qing)人；申(shen)(shen)(shen)(shen)請(qing)人已提(ti)交(jiao)(jiao)申(shen)(shen)(shen)(shen)請(qing)但尚未領取確認(ren)意見書(shu)的(de)(de)(de)，參(can)(can)照前述(shu)方(fang)(fang)(fang)(fang)式(shi)(shi)辦(ban)(ban)理(li)后(hou)續業務(wu)(wu)。二是(shi)通(tong)(tong)(tong)過(guo)非(fei)現(xian)(xian)場方(fang)(fang)(fang)(fang)式(shi)(shi)辦(ban)(ban)理(li)協(xie)(xie)助執法(fa)業務(wu)(wu)。疫(yi)(yi)情(qing)(qing)防控(kong)期間，人民(min)法(fa)院、人民(min)檢察院、公(gong)安機(ji)關等(deng)有權機(ji)關依(yi)法(fa)要求本(ben)所辦(ban)(ban)理(li)協(xie)(xie)助查詢等(deng)執法(fa)業務(wu)(wu)的(de)(de)(de)，原則上(shang)(shang)通(tong)(tong)(tong)過(guo)郵(you)寄方(fang)(fang)(fang)(fang)式(shi)(shi)辦(ban)(ban)理(li)。本(ben)所收(shou)悉后(hou)可通(tong)(tong)(tong)過(guo)視(shi)頻連線等(deng)方(fang)(fang)(fang)(fang)式(shi)(shi)予以核(he)(he)驗，并(bing)通(tong)(tong)(tong)過(guo)機(ji)要途徑或(huo)上(shang)(shang)述(shu)機(ji)關指定(ding)的(de)(de)(de)方(fang)(fang)(fang)(fang)式(shi)(shi)反饋。三是(shi)聽(ting)證(zheng)(zheng)復(fu)核(he)(he)會(hui)議調(diao)整安排。原定(ding)于近期舉(ju)行(xing)的(de)(de)(de)聽(ting)證(zheng)(zheng)、復(fu)核(he)(he)會(hui)議，原則上(shang)(shang)延期舉(ju)行(xing)；申(shen)(shen)(shen)(shen)請(qing)人因(yin)受疫(yi)(yi)情(qing)(qing)影響，無法(fa)如(ru)期前往本(ben)所參(can)(can)加聽(ting)證(zheng)(zheng)等(deng)活動的(de)(de)(de)，可提(ti)出(chu)延期申(shen)(shen)(shen)(shen)請(qing)；申(shen)(shen)(shen)(shen)請(qing)人于疫(yi)(yi)情(qing)(qing)防控(kong)期間提(ti)出(chu)聽(ting)證(zheng)(zheng)、復(fu)核(he)(he)申(shen)(shen)(shen)(shen)請(qing)的(de)(de)(de)，本(ben)所可視(shi)情(qing)(qing)況延期舉(ju)行(xing)或(huo)采用視(shi)頻、電話會(hui)議等(deng)非(fei)現(xian)(xian)場方(fang)(fang)(fang)(fang)式(shi)(shi)召(zhao)開聽(ting)證(zheng)(zheng)、復(fu)核(he)(he)會(hui)；如(ru)需(xu)提(ti)交(jiao)(jiao)申(shen)(shen)(shen)(shen)請(qing)書(shu)等(deng)文(wen)件(jian)(jian)，申(shen)(shen)(shen)(shen)請(qing)人可通(tong)(tong)(tong)過(guo)本(ben)所業務(wu)(wu)專(zhuan)區或(huo)電子郵(you)件(jian)(jian)等(deng)非(fei)現(xian)(xian)場方(fang)(fang)(fang)(fang)式(shi)(shi)提(ti)交(jiao)(jiao)電子文(wen)件(jian)(jian)，效力與紙(zhi)質文(wen)件(jian)(jian)等(deng)同。

八、投資者服務業務

一是暢通投資(zi)者(zhe)(zhe)(zhe)訴求(qiu)渠道。疫(yi)(yi)(yi)情(qing)防(fang)控(kong)期間，本(ben)所(suo)(suo)(suo)將暫(zan)(zan)時關閉(bi)投資(zi)者(zhe)(zhe)(zhe)來訪接待場(chang)所(suo)(suo)(suo)。投資(zi)者(zhe)(zhe)(zhe)可通過(guo)服務熱線(xian)、微(wei)信公眾號、電子(zi)郵件等(deng)非現(xian)場(chang)方(fang)式(shi)向本(ben)所(suo)(suo)(suo)咨詢問題、反(fan)映訴求(qiu)，本(ben)所(suo)(suo)(suo)將密切跟(gen)進投資(zi)者(zhe)(zhe)(zhe)來電，細致解(jie)答投資(zi)者(zhe)(zhe)(zhe)提問，及時處理投資(zi)者(zhe)(zhe)(zhe)訴求(qiu)。二(er)是做(zuo)好(hao)投資(zi)者(zhe)(zhe)(zhe)教(jiao)(jiao)育服務。本(ben)所(suo)(suo)(suo)將積極(ji)利(li)用網(wang)站、微(wei)博、微(wei)信等(deng)互聯網(wang)渠道開展投資(zi)者(zhe)(zhe)(zhe)教(jiao)(jiao)育宣傳，網(wang)絡(luo)直播投資(zi)者(zhe)(zhe)(zhe)教(jiao)(jiao)育講座(zuo)，為投資(zi)者(zhe)(zhe)(zhe)持續提供優質在線(xian)投教(jiao)(jiao)服務。本(ben)所(suo)(suo)(suo)提醒投資(zi)者(zhe)(zhe)(zhe)做(zuo)好(hao)個人健康防(fang)護，疫(yi)(yi)(yi)情(qing)防(fang)控(kong)期間，本(ben)所(suo)(suo)(suo)投資(zi)者(zhe)(zhe)(zhe)教(jiao)(jiao)育基(ji)地將暫(zan)(zan)停服務。三是倡導理性投資(zi)。本(ben)所(suo)(suo)(suo)呼吁投資(zi)者(zhe)(zhe)(zhe)在疫(yi)(yi)(yi)情(qing)防(fang)控(kong)期間，盡(jin)量通過(guo)網(wang)絡(luo)、電話等(deng)非現(xian)場(chang)方(fang)式(shi)行使股東權利(li)、查閱(yue)相關信息、參與證(zheng)券交易，客觀分析本(ben)次疫(yi)(yi)(yi)情(qing)影(ying)響，審慎(shen)開展證(zheng)券投資(zi)。

新(xin)型冠狀(zhuang)病(bing)毒(du)感染肺(fei)炎疫情防(fang)控形勢(shi)依然復雜(za)嚴峻，深交所(suo)將繼續認真(zhen)貫徹落實(shi)黨中央國務院(yuan)決(jue)策部署，按照中國證監會部署要求(qiu)，想市(shi)(shi)場所(suo)想、急市(shi)(shi)場所(suo)急、解(jie)市(shi)(shi)場所(suo)需，積(ji)(ji)極研究解(jie)決(jue)疫情防(fang)控工(gong)作中出現的(de)新(xin)情況、新(xin)問題，尊重市(shi)(shi)場規(gui)律(lv)，維(wei)護(hu)市(shi)(shi)場正常(chang)秩序(xu)，引導市(shi)(shi)場理性投資，保護(hu)投資者合法(fa)權益(yi)，以更堅定的(de)態(tai)度(du)、更有力(li)的(de)措施、更積(ji)(ji)極的(de)行(xing)動，與(yu)市(shi)(shi)場各方一道，眾志成城，守望(wang)相助，共同維(wei)護(hu)資本市(shi)(shi)場健(jian)康穩定發展，為打贏防(fang)控疫情阻擊戰積(ji)(ji)極貢獻(xian)力(li)量。

特此通知

深圳證券交易所

2020年2月1日