上海技术交易所

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《上海市技术交易场所管理细则》出炉

时间： 2020-04-27 　

<section><section><section><section><section><section><section><section><section><section><section><section><section><section><section><section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; text-align: center; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">一 </strong><strong style="font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">起草背景</strong></span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></strong></span></p></section></section></section></section></section></section></section></section></section></section></section></section></section></section></section></section></section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, system-ui, "Helvetica Neue", "PingFang SC", "Hiragino Sans GB", "Microsoft YaHei UI", "Microsoft YaHei", Arial, sans-serif; font-size: 16px; letter-spacing: 0.7px; white-space: normal; background-color: rgb(255, 255, 255); box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="font-size: 14px; color: rgb(89, 89, 89);">根据国务院《关于清理整顿各类交易场所切实防范金融风险的决定》（国发〔2011〕38号）、《关于清理整顿各类交易场所的实施意见》（国办发〔2012〕37号）等文件要求，各省级人民政府应审慎批设交易场所，制定本地区监管制度。2019年1月30日，市政府发布《上海市交易场所管理暂行办法》。该办法提出“行业主管部门作为本行业交易场所的监管部门，履行监管责任”，主要明确以下相关事项：</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, system-ui, "Helvetica Neue", "PingFang SC", "Hiragino Sans GB", "Microsoft YaHei UI", "Microsoft YaHei", Arial, sans-serif; font-size: 16px; letter-spacing: 0.7px; text-align: justify; white-space: normal; background-color: rgb(255, 255, 255); box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="font-size: 14px; color: rgb(89, 89, 89);"><span style="font-size: 14px; color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">一是</span>技术类交易的行业主管部门是市科委。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, system-ui, "Helvetica Neue", "PingFang SC", "Hiragino Sans GB", "Microsoft YaHei UI", "Microsoft YaHei", Arial, sans-serif; font-size: 16px; letter-spacing: 0.7px; text-align: justify; white-space: normal; background-color: rgb(255, 255, 255); box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="font-size: 14px; color: rgb(89, 89, 89);"><span style="font-size: 14px; color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">二是</span>行业主管部门履行的职责主要包括 “制定交易场所监管制度并配合其开展准入管理和业务规范工作”等。</span></p><p><br/></p><section><section><section><section><section><section><section><section><section><section><section><section><section><section><section><section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; text-align: center; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">二 </strong><strong style="font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">起草原则</strong></span></p></section></section></section></section></section></section></section></section></section></section></section></section></section></section></section></section></section><p><br/></p><section><section><section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">根据《上海市交易场所管理暂行办法》要求，结合技术交易的特点，遵循以下原则。</span></p></section></section></section></section><p><br/></p><section><section><section><section><section><section><section><section><section><section><section><section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">1 </strong><span style="color: rgb(63, 63, 63); font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">遵循上位法与兼顾个性。</strong></span><span style="color: rgb(63, 63, 63); font-size: 10.5pt;">鉴于技术交易特殊性，细则就技术交易范围、交易方式提出基本要求。</span></span></p></section></section></section></section></section></section></section></section></section></section></section></section></section><section><section><section><section><section><section><section><section><section><section><section><section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></strong></span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">2 </strong><span style="color: rgb(63, 63, 63); font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">明晰职责与协同监管。</strong></span><span style="color: rgb(63, 63, 63); font-size: 10.5pt;">在上海市金融稳定发展联席会议办公室统筹协调下，市科委负责所属技术交易场所管理与监督。</span></span></p></section></section></section></section></section></section></section></section></section></section></section></section></section><section><section><section><section><section><section><section><section><section><section><section><section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></strong></span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">3 </strong><span style="color: rgb(63, 63, 63); font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">夯实能力与增强监管。</strong></span><span style="color: rgb(63, 63, 63); font-size: 10.5pt;">结合技术交易特征，提出技术交易场所的基本业务规则；结合交易场所管理基本要求，细化对技术交易场所的风险管控和监督管理。</span></span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><section><section><section><section><section><section><section><section><section><section><section><section><section><section><section><section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; text-align: center; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">三 </strong><strong style="font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">主要内容</strong></span></p></section></section></section></section></section></section></section></section></section></section></section></section></section></section></section></section></section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="font-size: 10.5pt; color: rgb(89, 89, 89);"><br/></span></p><section><section><section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">本细则共<span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">五章29条</strong></span>，主要包括总则，设立、变更和终止，业务职能，监督管理等。</span></p></section></section></section></section><p><br/></p><section><section><section><section><section><section><section><section><section><section><section><section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">1 </strong><span style="color: rgb(63, 63, 63); font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">总则部分，提出细则制订的依据、范围和管理机构。</strong></span><span style="color: rgb(63, 63, 63); font-size: 10.5pt;">明确技术交易是以技术为核心的权益交易，交易标的涵盖技术成果与技术服务，交易方式包含技术开发、技术转让、技术咨询、技术服务等。</span></span></p></section></section></section></section></section></section></section></section></section></section></section></section></section><section><section><section><section><section><section><section><section><section><section><section><section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></strong></span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">2 </strong><span style="color: rgb(63, 63, 63); font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">设立、变更和终止部分，提出交易场所在设立、变更和终止等重大运营事项方面的申请程序和要求。</strong></span><span style="color: rgb(63, 63, 63); font-size: 10.5pt;">在设立环节，规定“拟申请的交易品种，原则上不得与本市已获批的技术交易场所正常交易的交易品种相互重复”；新设立技术交易场所，申请人向市科委提出申请，对符合条件的市科委再报市政府批准。在变更环节，区分重大事项变更和一般事项变更，报批程序不同。在终止环节，提出应当至少提前3个月向市科委报告等。</span></span></p></section></section></section></section></section></section></section></section></section></section></section></section></section><section><section><section><section><section><section><section><section><section><section><section><section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></strong></span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">3 </strong><span style="color: rgb(63, 63, 63); font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">业务职能部分，对技术交易场所履行职责、技术交易机制，以及风险控制要求做了规定。</strong></span><span style="color: rgb(63, 63, 63); font-size: 10.5pt;">如，</span></span></p></section></section></section></section></section></section></section></section></section></section></section></section><section><section><section><section><section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">一是</strong></span>明确技术交易场所主要职责，即对技术交易主体资格、交易条件、交易程序进行形式审查，符合条件的出具交易鉴证凭证；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">二是</strong></span>明确技术交易方式，技术交易可以采取协议转让、拍卖、招标、竞价和符合国家政策法规的其他方式。技术交易信息挂牌发布期满后，只有一个意向受让人的可采取协议转让；有两个以上意向受让人的采取拍卖、招标或者竞价方式确定。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">三是</strong></span>提出风险管控的有关要求，如独立的结算账户、交易信息保密、交易事项报告等。</span></p></section></section></section></section></section></section></section><section><section><section><section><section><section><section><section><section><section><section><section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></strong></span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">4 </strong><span style="color: rgb(63, 63, 63); font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">监督管理部分明晰了行业主管部门的监督管理职责。</strong></span><span style="color: rgb(63, 63, 63); font-size: 10.5pt;">包括技术交易场所监管要求、违规处理等。</span></span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="font-size: 10.5pt; color: rgb(89, 89, 89);"><br/></span></p></section></section></section></section></section></section></section></section></section></section></section></section></section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p></section></section></section></section></section></section></section></section></section></section></section></section></section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">《上海市技术交易场所管理细则》 全文如下</strong></span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></strong></span></p></section><section><section><section><section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; text-align: center; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第</strong><strong style="font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">一</strong><strong style="font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">章 总则</strong></span></p></section></section></section></section></section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第一条</strong></span> 为防范和化解金融风险，规范本市技术交易场所行为，推动技术市场健康发展，促进科技成果转化，依据《上海市交易场所管理暂行办法》（沪府规〔2019〕8号）等文件要求，制定本细则。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第二条</strong></span> 在本市技术交易场所从事技术交易活动，适用本细则。法律、法规和规章以及国家、市政府另有规定的，从其规定。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">本细则所称的技术交易包括以下交易活动：以技术为核心的权益交易，交易标的涵盖技术成果与技术服务，交易方式包含技术开发、技术转让、技术咨询、技术服务等。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">本细则所称技术成果是指通过科学研究与技术开发所产生的具有实用价值的成果；技术服务是指一方以技术知识为另一方解决特定技术问题的行为。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第三条</strong></span> 本细则所称的技术交易场所是指在上海市行政区域内依法设立，组织开展技术交易的交易场所，是依据《中华人民共和国公司法》设立的实行自律管理、从事技术交易及相关业务的公司制市场组织。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第四条</strong></span> 在技术交易场所从事技术交易，应当遵循公开公平公正的原则，不得侵犯他人的合法权益和损害社会公共利益。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第五条</strong></span> 上海市科学技术委员会（以下简称“市科委”）作为本市技术交易场所的行业主管部门，负责做好本市技术交易场所的设立审核及变更审批（备案）、日常经营行为及资金安全监管、政策支持指导、统计监测、发展规划编制、违规处理、风险防控和处置、重大事项协调等工作。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">上海市金融稳定发展联席会议办公室（以下简称“市联席会议办公室”）按照上海市清理整顿各类交易场所工作机制，负责指导、协调交易场所规范管理工作。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p></section><section><section><section><section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; text-align: center; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第</strong><strong style="font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">二</strong><strong style="font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">章 设立、变更和终止</strong></span></p></section></section></section></section></section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第六条</strong></span> 本市技术交易场所除符合《上海市交易场所管理暂行办法》规定外，拟申请的交易品种，原则上不得与本市已获批的技术交易场所正常交易的交易品种相互重复。<br/></span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第七条</strong></span> 在本市新设立技术交易场所，申请人应当按照《上海市交易场所管理暂行办法》规定，在完成筹建工作后向市科委提出申请，筹建期间不得从事交易场所经营活动。市科委受理后，认为符合条件的，提出评估意见并就拟批准设立事项向社会公示后，报市政府批准。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">申请方须持批复文件，到市场监督管理部门办理注册登记。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第八条</strong></span> 技术交易场所变更下列事项之一的，应当向市科委提出申请，由市科委受理并提出评估意见后，报市政府批准：</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（一）变更名称；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（二）变更经营范围；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（三）变更注册资本；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（四）交易场所分立或合并；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（五）对其设立条件构成重大影响的其他事项。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">技术交易场所变更交易品种、交易模式、交易规则、主要股东，报市科委同意。市科委同意的，出具同意意见并抄送市联席会议办公室。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第九条</strong></span> 技术交易场所有下列变更事项之一的，应当在事项发生后10个工作日内报市科委备案，并抄送市联席会议办公室：</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（一）变更法定代表人、董事、监事、高级管理人员；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（二）变更住所或分支机构营业场所；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（三）变更企业类型；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（四）修改章程、风险控制制度等管理制度；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（五）对外开展合作经营；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（六）市科委规定的其他变更事项。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第十条</strong></span> 技术交易场所拟终止提供交易平台服务的，应当至少提前3个月向市科委报告，并及时通知投资者及其他相关主体，确定退出方案，在媒体上公示退出公告及处置方案，妥善处理投资者保证金和其他资产，确保投资者资金安全及其他相关主体的合法权益。制定的退出方案报送市科委进行审查，并由市科委向社会公示后，报市政府批准。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">技术交易场所解散，应当按照法定程序进行清算。清算结束，应当向市场监督管理部门申请办理注销登记并在媒体发布公告。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">技术交易场所因破产而终止，应当按照《中华人民共和国企业破产法》及相关规定进行破产清算。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p></section><section><section><section><section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; text-align: center; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第</strong><strong style="font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">三</strong><strong style="font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">章 业务职能</strong></span></p></section></section></section></section></section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第十一条</strong></span> 技术交易场所应当严格遵守法律法规和监管部门的规定，自觉接受监管，严格防范风险，适应行业发展需要，以服务科技成果转化和繁荣技术市场为宗旨，科学设计自身业务模式。<br/></span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第十二条</strong></span> 技术交易场所应当严格按照市场监督管理部门和行业主管部门核准的业务范围、经营品种、交易制度依法合规经营，制定符合相关政策法规的交易规则；建立与所从事交易的业务性质、规模和复杂程度相适应的风险控制制度和体系，依法制定风险控制制度、信息披露制度、公平交易制度、技术服务机构管理制度和纠纷解决制度等，为市场参与主体创造公平、公正的市场环境，保证本市技术交易市场的正常运行。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">技术交易场所应当按照相关规定履行下列职责：</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（一）制定和修改与技术交易有关的业务规则和操作细则；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（二）对技术交易主体资格、交易条件、交易程序进行形式审查，符合完成技术交易条件的，由技术交易场所为交易参与方出具交易鉴证凭证；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（三）发布市场交易信息；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（四）为技术交易提供资金结算服务，以及其他市场服务；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（五）制定技术服务机构管理制度，对技术服务机构在本所业务范围内开展的活动进行监督管理；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（六）协调技术交易中的有关问题，调解技术交易纠纷，处理技术交易中违反交易规则的行为；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（七）对交易参与方进行适当性管理，并对交易规则、文本规范、交易操作、在线平台运用等方面给予必要的指导；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（八）明确有关交易、结算等环节的审核、评估、批准及交易信息系统的操作权限、程序和行为规范，有效防范工作人员违规操作风险；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（九）协助落实本市扶持科技成果转化的政策实施，并向有关职能部门提供政策参考；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（十）执行行业主管等部门委托办理的事项；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（十一）其他应当依法履行的职责。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第十三条</strong></span> 拟在技术交易场所挂牌交易的，应当按照国家有关规定提供交易标的的权属证明文件；因特殊情况无法提供权属证明文件的，应当提供其他足以证明权属关系的证明材料。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第十四条</strong></span> 提供服务的技术服务机构应当对委托方提供的相关材料进行核实；技术交易场所应当对技术交易主体资格和交易条件进行形式审查；交易参与方应当对其提供的技术交易材料的完整性、真实性负责。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">技术交易场所应当对交易参与方提供的技术交易信息进行审核，对符合发布要求的技术交易信息通过技术交易场所平台公告等形式对外公布。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第十五条</strong></span> 技术交易可以采取协议转让、拍卖、招标、竞价和符合国家政策法规的其他方式。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">技术交易信息挂牌发布期满后，只有一个意向受让人的，可以采取协议转让的方式；有两个以上意向受让人的，出让方可按挂牌前根据交易标的情况与交易场所协商确定的交易方式采取拍卖、招标或者竞价方式确定受让人和受让价格。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第十六条</strong></span> 技术交易场所应当切实维护客户资金安全，按照国家及本市相关要求鼓励采用第三方清算模式，通过设立独立的结算账户，为交易双方提供交易资金结算服务，并保证结算账户中交易资金的安全，不得挪作他用。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第十七条</strong></span> 技术交易场所出具的技术交易凭证中应明确体现技术交易有关信息，技术交易场所出具的技术交易鉴证凭证可以作为享受本市技术合同登记等相关政策的依据。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第十八条</strong></span> 技术交易场所应当按照本细则规定，建立、健全各项制度，加强对业务活动的管理、风险控制以及对挂牌项目所涉及的公司、技术服务机构、交易参与方和有关工作人员等的监督管理、妥善保管有关业务档案。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第十九条</strong></span> 技术交易场所的董事、监事、高级管理人员及其他工作人员不得以任何方式泄露或者利用尚未披露信息，不得以任何方式从技术交易场所的挂牌项目所涉及的公司、技术服务机构和交易双方处获取不当利益。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">技术交易场所的董事、监事、高级管理人员及其他工作人员在履行职责时，遇到与本人或者其近亲属等有利害关系情形的，应当回避。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第二十条</strong></span> 技术交易场所应当定期向市科委报送月度报告、季度报告和年度报告。根据监管工作需要，市科委可以要求技术交易场所提供有关的市场信息、业务文件和其他有关数据、资料。技术交易场所提交的信息和资料，应当真实、准确、完整。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第二十一条</strong></span> 技术交易场所在开展业务活动过程中发现下列情形之一的，应当及时向市科委报告：</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（一）技术交易场所挂牌项目所涉及的公司、技术服务机构、交易双方和技术交易场所工作人员存在或者可能存在严重违反国家有关法律、法规、规章及相关政策规定的行为；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（二）技术交易场所中存在可能导致严重违反国家有关法律、法规、规章及相关政策规定的潜在风险；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（三）技术交易场所中出现国家有关法律、法规、规章、政策未作明确规定，但会对市场产生重大影响的事项；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（四）技术交易场所认为需要报告的其他事项；</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">（五）行业主管部门认定的其他事项。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第二十二条</strong></span> 技术交易场所应当及时准确填报本市交易场所统计监测和风险预警平台相关信息，并按照规定于每月10日前报送上月交易信息，于每季度首月10日前报送上季度财务信息，于每年1月20日和7月20日前报送上一年度及本年度上半年财务报表。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p></section><section><section><section><section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; text-align: center; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第</strong><strong style="font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">四</strong><strong style="font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">章 监督管理</strong></span></p></section></section></section></section></section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第二十三条</strong></span> 市科委依法履行对本市技术交易场所的监管责任，定期对技术交易场所进行监管评价，在市场准入、退出、非现场监管和现场检查等方面对技术交易场所实施分类监管。<br/></span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第二十四条</strong></span> 市科委可以根据实际情况，在调查或者进行检查时查看实物，查阅、复制有关文件和资料，对有关技术交易场所有关人员进行约见谈话、询问、要求提供与交易场所经营有关的资料和信息。必要时，可以采取风险提示、向其合作机构或者其他相关单位通报情况等措施。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">技术交易场所应当配合市科委依法实施监管，不得拒绝、阻碍和隐瞒。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第二十五条</strong></span> 市科委应当将违法违规技术交易场所及其法定代表人、董事、监事、高级管理人员相关信息纳入本市公共信用信息平台以及中国人民银行金融信用信息基础数据库。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">市科委应当将批准设立的交易场所和违法违规交易场所名单报送市联席会议办公室，由市联席会议办公室汇总后统一对社会公示。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第二十六条</strong></span> 市科委可以要求技术交易场所对其章程、交易规则及操作细则进行修改。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);">市科委可以派员监督检查技术交易场所及其子公司的业务、财务状况，或者调查其他有关事项。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第二十七条</strong></span> 市科委可以定期或不定期组织相关部门采取适当方式依法对交易场所进行检查，交易场所应当予以配合。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p></section><section><section><section><section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; text-align: center; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第</strong><strong style="font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">五</strong><strong style="font-size: 10.5pt; margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">章 附则</strong></span></p></section></section></section></section></section><section><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第二十八条</strong></span> 本细则由市科委负责解释。</span></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><br/></p><p style="margin-top: 0px; margin-bottom: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; overflow-wrap: break-word !important;"><span style="color: rgb(89, 89, 89);"><span style="color: rgb(63, 63, 63); margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">第二十九条</strong></span> 本细则自2020年5月1日起实施，有效期至2025年4月30日。</span></p></section><p><br/></p><p><br/></p>