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| 上市公司独立董事管理办法 中国证券监督管理委员会 中国证券监督管理委员会令 第220号 《上市公司独立董事管理办法》已经2023年7月28日中国证券监督管理委员会2023年第5次委务会议审议通过，现予公布，自2023年9月4日起施行。 中国证券监督管理委员会主席：易会满 2023年8月1日 | Measures for the Administration of Independent Directors of Listed Companies China Securities Regulatory Commission Order of the China Securities Regulatory Commission The Measures for the Administration of Independent Directors of Listed Companies No. 220 has been deliberated and adopted at the Fifth Meeting of the China Securities Regulatory Commission in 2023 on July 28, 2023, and is hereby promulgated and shall come into effect as of September 4, 2023. Chairman of the China Securities Regulatory Commission: Yi Huiman August 1, 2023 |
| 上市公司独立董事管理办法 （2023 年 7 月 28 日中国证券监督管理委员会第 5 次委务会议审议通过） | Measures for the Administration of Independent Directors of Listed Companies (Adopted at the 5th Committee Meeting of the China Securities Regulatory Commission on July 28, 2023) |
| 第一章 总 则 | Chapter 1 General Provisions |
| 第一条 为规范独立董事行为，充分发挥独立董事在上市公司治理中的作用，促进提高上市公司质量，依据《中华人民共和国公司法》《中华人民共和国证券法》《国务院办公厅关于上市公司独立董事制度改革的意见》等规定，制定本办法。 | Article 1 These Measures are formulated in accordance with the provisions of the Company Law of the People’s Republic of China, the Securities Law of the People’s Republic of China, and the Opinions of the General Office of the State Council on the Reform of the Independent Director System of Listed Companies in order to regulate the behavior of independent directors, give full play to the role of independent directors in the governance of listed companies, and promote the improvement of the quality of listed companies. |
| 第二条 独立董事是指不在上市公司担任除董事外的其他职务，并与其所受聘的上市公司及其主要股东、实际控制人不存在直接或者间接利害关系，或者其他可能影响其进行独立客观判断关系的董事。 独立董事应当独立履行职责，不受上市公司及其主要股东、实际控制人等单位或者个人的影响。 | Article 2 Independent directors refer to directors who do not hold positions other than directors of the listed company and do not have a direct or indirect interest in the listed company and its major shareholders and actual controllers, or other directors who may affect their independent and objective judgment relationship. Independent directors shall perform their duties independently and shall not be affected by units or individuals such as the listed company and its major shareholders or actual controllers. |
| 第三条 独立董事对上市公司及全体股东负有忠实与勤勉义务，应当按照法律、行政法规、中国证券监督管理委员会（以下简称中国证监会）规定、证券交易所业务规则和公司章程的规定，认真履行职责，在董事会中发挥参与决策、监督制衡、专业咨询作用，维护上市公司整体利益，保护中小股东合法权益。 | Article 3 Independent directors shall be loyal and diligent to the listed company and all shareholders. They shall conscientiously perform their duties in accordance with laws, administrative regulations, the provisions of the China Securities Regulatory Commission (hereinafter referred to as the CSRC), the business rules of the stock exchange and the company’s articles of association, play a role in participating in decision-making, supervision, checks and balances, professional consultation in the board of directors, safeguard the overall interests of the listed company, and protect the legitimate rights and interests of small and medium-sized shareholders. |
| 第四条 上市公司应当建立独立董事制度。独立董事制度应当符合法律、行政法规、中国证监会规定和证券交易所业务规则的规定，有利于上市公司的持续规范发展，不得损害上市公司利益。上市公司应当为独立董事依法履职提供必要保障。 | Article 4 A listed company shall establish an independent director system.The independent director system shall comply with the provisions of laws, administrative regulations, the regulations of the CSRC and the business rules of the stock exchange, be conducive to the continuous and standardized development of listed companies, and shall not harm the interests of listed companies.A listed company shall provide necessary guarantees for independent directors to perform their duties in accordance with the law. |
| 第五条 上市公司独立董事占董事会成员的比例不得低于三分之一，且至少包括一名会计专业人士。 上市公司应当在董事会中设置审计委员会。审计委员会成员应当为不在上市公司担任高级管理人员的董事，其中独立董事应当过半数，并由独立董事中会计专业人士担任召集人。 上市公司可以根据需要在董事会中设置提名、薪酬与考核、战略等专门委员会。提名委员会、薪酬与考核委员会中独立董事应当过半数并担任召集人。 | Article 5 The proportion of independent directors of a listed company to the board of directors shall not be less than one-third, and shall include at least one accounting professional. A listed company shall have an audit committee on its board of directors.The members of the Audit Committee shall be the directors who are not senior managers of the listed company, of which the majority of the independent directors shall be the independent directors, and the accounting professionals among the independent directors shall serve as the convener. Listed companies may set up special committees for nomination, remuneration and appraisal, strategy, etc. in the board of directors as needed.The Nomination Committee and the Remuneration and Appraisal Committee shall have a majority of independent directors and act as convener. |
| 第二章 任职资格与任免 | Chapter 2 Qualifications and Appointments and Removals |
| 第六条 独立董事必须保持独立性。下列人员不得担任独立董事： （一）在上市公司或者其附属企业任职的人员及其配偶、父母、子女、主要社会关系； （二）直接或者间接持有上市公司已发行股份百分之一以上或者是上市公司前十名股东中的自然人股东及其配偶、父母、子女； （三）在直接或者间接持有上市公司已发行股份百分之五以上的股东或者在上市公司前五名股东任职的人员及其配偶、父母、子女； （四）在上市公司控股股东、实际控制人的附属企业任职的人员及其配偶、父母、子女； （五）与上市公司及其控股股东、实际控制人或者其各自的附属企业有重大业务往来的人员，或者在有重大业务往来的单位及其控股股东、实际控制人任职的人员； （六）为上市公司及其控股股东、实际控制人或者其各自附属企业提供财务、法律、咨询、保荐等服务的人员，包括但不限于提供服务的中介机构的项目组全体人员、各级复核人员、在报告上签字的人员、合伙人、董事、高级管理人员及主要负责人； （七）最近十二个月内曾经具有第一项至第六项所列举情形的人员； （八）法律、行政法规、中国证监会规定、证券交易所业务规则和公司章程规定的不具备独立性的其他人员。 前款第四项至第六项中的上市公司控股股东、实际控制人的附属企业，不包括与上市公司受同一国有资产管理机构控制且按照相关规定未与上市公司构成关联关系的企业。 独立董事应当每年对独立性情况进行自查，并将自查情况提交董事会。董事会应当每年对在任独立董事独立性情况进行评估并出具专项意见，与年度报告同时披露。 | Article 6 Independent Directors must remain independent.The following persons shall not serve as independent directors: (1) Persons who work for a listed company or its affiliated companies and their spouses, parents, children, and major social relationships; (2) Natural person shareholders who directly or indirectly hold more than 1% of the issued shares of the listed company or are among the top ten shareholders of the listed company, and their spouses, parents, and children; (3) Persons who directly or indirectly hold more than 5% of the issued shares of the listed company or hold positions of the top five shareholders of the listed company and their spouses, parents, and children; (4) Personnel serving in the subsidiaries of the controlling shareholders and de facto controllers of the listed company and their spouses, parents, and children; (5) Persons who have significant business dealings with the listed company and its controlling shareholders, actual controllers or their respective subsidiaries, or persons who serve as controlling shareholders or actual controllers of units with significant business dealings; (6) Personnel providing financial, legal, consulting, sponsorship and other services to the listed company and its controlling shareholders, actual controllers or their respective affiliates, including but not limited to all personnel of the project team of the intermediary institution providing the services, reviewers at all levels, personnel signing on the report, partners, directors, senior management personnel and key persons; (7) Persons who have had the circumstances listed in items (1) to (6) in the past 12 months; (8) Other personnel who do not have independence as stipulated by laws, administrative regulations, the provisions of the CSRC, the business rules of the stock exchange and the articles of association of the company. The subsidiaries of the controlling shareholders and actual controllers of the listed company in items (4) to (6) of the preceding paragraph do not include enterprises that are controlled by the same state-owned asset management institution and do not form an affiliation with the listed company in accordance with relevant regulations. Independent directors shall conduct a self-examination of the independence every year and submit the self-examination to the board of directors.The board of directors shall annually evaluate the independence of serving independent directors and issue special opinions, which shall be disclosed at the same time as the annual report. |
| 第七条 担任独立董事应当符合下列条件： （一）根据法律、行政法规和其他有关规定，具备担任上市公司董事的资格； （二）符合本办法第六条规定的独立性要求； （三）具备上市公司运作的基本知识，熟悉相关法律法规和规则； （四）具有五年以上履行独立董事职责所必需的法律、会计或者经济等工作经验； （五）具有良好的个人品德，不存在重大失信等不良记录； （六）法律、行政法规、中国证监会规定、证券交易所业务规则和公司章程规定的其他条件。 | Article 7 As an independent director, the following conditions shall be met: (1) Be qualified to serve as a director of a listed company in accordance with laws, administrative regulations and other relevant provisions; (2) Comply with the independence requirements stipulated in Article 6 of these Measures; (3) Have a basic knowledge of the operation of listed companies and be familiar with relevant laws, regulations and rules; (4) Have at least five years of legal, accounting or economic work experience necessary to perform the duties of an independent director; (5) Have good personal character, and have no bad records such as major dishonesty; (6) Other conditions stipulated by laws, administrative regulations, regulations of the CSRC, business rules of stock exchanges and the articles of association of the Company. |
| 第八条 独立董事原则上最多在三家境内上市公司担任独立董事，并应当确保有足够的时间和精力有效地履行独立董事的职责。 | Article 8 In principle, independent directors shall serve as independent directors in up to three domestic listed companies, and shall ensure that they have sufficient time and energy to effectively perform their duties as independent directors. |
| 第九条 上市公司董事会、监事会、单独或者合计持有上市公司已发行股份百分之一以上的股东可以提出独立董事候选人，并经股东大会选举决定。 依法设立的投资者保护机构可以公开请求股东委托其代为行使提名独立董事的权利。 第一款规定的提名人不得提名与其存在利害关系的人员或者有其他可能影响独立履职情形的关系密切人员作为独立董事候选人。 | Article 9 The board of directors, the board of supervisors, and shareholders who individually or collectively hold more than 1% of the issued shares of a listed company may propose candidates for independent directors and shall be elected at a shareholders’ general meeting. Investor protection agencies established in accordance with the law may publicly request shareholders to entrust them to exercise the right to nominate independent directors on their behalf. A nominator under paragraph 1 may not nominate as an independent director a person with whom he or she has an interest or other close relationship that may affect the independent performance of his or her duties. |
| 第十条 独立董事的提名人在提名前应当征得被提名人的同意。提名人应当充分了解被提名人职业、学历、职称、详细的工作经历、全部兼职、有无重大失信等不良记录等情况，并对其符合独立性和担任独立董事的其他条件发表意见。被提名人应当就其符合独立性和担任独立董事的其他条件作出公开声明。 | Article 10 The nominator of an independent director shall obtain the consent of the nominee before nomination.The nominator shall fully understand the nominee’s occupation, education, job title, detailed work experience, all part-time positions, whether there is any major dishonesty or other bad records, and express its opinions on whether it meets the independence and other conditions for serving as an independent director.The nominee shall make a public declaration as to his/her compliance with the independence and other conditions of being an independent director. |
| 第十一条 上市公司在董事会中设置提名委员会的，提名委员会应当对被提名人任职资格进行审查，并形成明确的审查意见。上市公司应当在选举独立董事的股东大会召开前，按照本办法第十条以及前款的规定披露相关内容，并将所有独立董事候选人的有关材料报送证券交易所，相关报送材料应当真实、准确、完整。 证券交易所依照规定对独立董事候选人的有关材料进行审查，审慎判断独立董事候选人是否符合任职资格并有权提出异议。 证券交易所提出异议的，上市公司不得提交股东大会选举。 | Article 11 Where a listed company establishes a nomination committee in the board of directors, the nomination committee shall review the qualifications of the nominee and form a clear review opinion.The listed company shall disclose the relevant contents in accordance with the provisions of Article 10 of these Measures and the preceding paragraph before the convening of the shareholders’ general meeting for the election of independent directors, and submit the relevant materials of all candidates for independent directors to the stock exchange, and the relevant submission materials shall be true, accurate and complete. The stock exchange shall review the relevant materials of the independent director candidates in accordance with the regulations, and carefully judge whether the independent director candidates meet the qualifications and have the right to raise objections. If the stock exchange raises an objection, the listed company shall not submit it to the shareholders’ general meeting for election. |
| 第十二条 上市公司股东大会选举两名以上独立董事的，应当实行累积投票制。鼓励上市公司实行差额选举，具体实施细则由公司章程规定。 中小股东表决情况应当单独计票并披露。 | Article 12 Where two or more independent directors are elected at the shareholders’ meeting of a listed company, a cumulative voting system shall be implemented.Listed companies are encouraged to conduct margin elections, and the specific implementation rules are stipulated in the company’s articles of association. The votes of small and medium-sized shareholders shall be counted separately and disclosed. |
| 第十三条 独立董事每届任期与上市公司其他董事任期相同，任期届满，可以连选连任，但是连续任职不得超过六年。 | Article 13 The term of office of an independent director is the same as that of other directors of a listed company. When the term of office expires, the independent director may be re-elected for a second term, but the continuous term of office shall not exceed six years. |
| 第十四条 独立董事任期届满前，上市公司可以依照法定程序解除其职务。提前解除独立董事职务的，上市公司应当及时披露具体理由和依据。独立董事有异议的，上市公司应当及时予以披露。 独立董事不符合本办法第七条第一项或者第二项规定的，应当立即停止履职并辞去职务。未提出辞职的，董事会知悉或者应当知悉该事实发生后应当立即按规定解除其职务。 独立董事因触及前款规定情形提出辞职或者被解除职务导致董事会或者其专门委员会中独立董事所占的比例不符合本办法或者公司章程的规定，或者独立董事中欠缺会计专业人士的，上市公司应当自前述事实发生之日起六十日内完成补选。 | Article 14 Before the expiration of the term of office of an independent director, a listed company may dismiss him/her from his/her position in accordance with legal procedures.Where an independent director is dismissed in advance, the listed company shall promptly disclose the specific reasons and grounds.If the independent director disagrees, the listed company shall disclose it in a timely manner. If the independent director does not comply with the provisions of Item 1 or 2 of Article 7 of these Measures, he shall immediately stop performing his duties and resign.If he does not resign, the board of directors shall immediately dismiss him as required after knowing or should have known of the fact. If the proportion of independent directors in the board of directors or its special committees does not comply with the provisions of these Measures or the company’s articles of association due to the resignation or dismissal of independent directors due to the circumstances specified in the preceding paragraph, or if there is a lack of accounting professionals among independent directors, the listed company shall complete the by-election within 60 days from the date of the aforementioned facts. |
| 第十五条 独立董事在任期届满前可以提出辞职。独立董事辞职应当向董事会提交书面辞职报告，对任何与其辞职有关或者其认为有必要引起上市公司股东和债权人注意的情况进行说明。 上市公司应当对独立董事辞职的原因及关注事项予以披露。 独立董事辞职将导致董事会或者其专门委员会中独立董事所占的比例不符合本办法或者公司章程的规定，或者独立董事中欠缺会计专业人士的，拟辞职的独立董事应当继续履行职责至新任独立董事产生之日。上市公司应当自独立董事提出辞职之日起六十日内完成补选。 | Article 15 Independent directors may resign before the expiration of their term of office.The resignation of an independent director shall submit a written resignation report to the board of directors, explaining any circumstances related to his resignation or that he deems necessary to attract the attention of shareholders and creditors of the listed company. Listed companies should disclose the reasons and concerns for the resignation of independent directors. The resignation of an independent director will result in the proportion of independent directors in the board of directors or its special committees not complying with the provisions of these Measures or the Articles of Association, or if there is a lack of accounting professionals among independent directors, the independent director who intends to resign shall continue to perform his/her duties until the date when the new independent director comes into being.The listed company shall complete the by-election within 60 days from the date of the resignation of the independent director. |
| 第十六条 中国上市公司协会负责上市公司独立董事信息库建设和管理工作。上市公司可以从独立董事信息库选聘独立董事。 | Article 16 The China Association of Listed Companies is responsible for the construction and management of the information base of independent directors of listed companies.Listed companies may select independent directors from the Independent Directors Information Bank. |
| 第三章 职责与履职方式 | Chapter 3 Responsibilities and Duties |
| 第十七条 独立董事履行下列职责： （一）参与董事会决策并对所议事项发表明确意见； （二）对本办法第二十三条、第二十六条、第二十七条和第二十八条所列上市公司与其控股股东、实际控制人、董事、高级管理人员之间的潜在重大利益冲突事项进行监督，促使董事会决策符合上市公司整体利益，保护中小股东合法权益； （三）对上市公司经营发展提供专业、客观的建议，促进提升董事会决策水平； （四）法律、行政法规、中国证监会规定和公司章程规定的其他职责。 | Article 17 Independent directors perform the following duties: (1) Participate in the decision-making of the board of directors and express clear opinions on the matters under discussion; (2) Supervise the potential major conflicts of interest between the listed company listed in Articles 23, 26, 27 and 28 of these Measures and its controlling shareholders, actual controllers, directors and senior managers, so as to promote the decision-making of the board of directors in line with the overall interests of the listed company and protect the legitimate rights and interests of small and medium-sized shareholders; (3) Provide professional and objective advice on the business development of listed companies, and promote the improvement of the decision-making level of the board of directors; (4) Other duties stipulated by laws, administrative regulations, regulations of the CSRC and the Articles of Association of the Company. |
| 第十八条 独立董事行使下列特别职权： （一）独立聘请中介机构，对上市公司具体事项进行审计、咨询或者核查； （二）向董事会提议召开临时股东大会； （三）提议召开董事会会议； （四）依法公开向股东征集股东权利； （五）对可能损害上市公司或者中小股东权益的事项发表独立意见； （六）法律、行政法规、中国证监会规定和公司章程规定的其他职权。 独立董事行使前款第一项至第三项所列职权的，应当经全体独立董事过半数同意。 独立董事行使第一款所列职权的，上市公司应当及时披露。 上述职权不能正常行使的，上市公司应当披露具体情况和理由。 | Article 18 Independent directors shall exercise the following special powers: (1) independently engage an intermediary agency to audit, consult or verify the specific matters of the listed company; (2) proposing to the board of directors the convening of an extraordinary general meeting; (3) proposing to convene a meeting of the Board of Directors; (4) Publicly soliciting shareholders’ rights from shareholders in accordance with the law; (5) Issue independent opinions on matters that may harm the interests of listed companies or small and medium-sized shareholders; (6) Other functions and powers stipulated by laws, administrative regulations, the provisions of the China Securities Regulatory Commission and the articles of association of the Company. Where independent directors exercise the powers listed in subparagraphs (1) to (3) of the preceding paragraph, the consent of a majority of all independent directors shall be obtained. Where an independent director exercises the powers listed in the first paragraph, the listed company shall disclose them in a timely manner. If the above functions and powers cannot be exercised normally, the listed company shall disclose the specific circumstances and reasons. |
| 第十九条 董事会会议召开前，独立董事可以与董事会秘书进行沟通，就拟审议事项进行询问、要求补充材料、提出意见建议等。董事会及相关人员应当对独立董事提出的问题、要求和意见认真研究，及时向独立董事反馈议案修改等落实情况。 | Article 19 Prior to the meeting of the board of directors, the independent directors may communicate with the secretary of the board of directors to inquire about the matters to be discussed, request supplementary materials, and make opinions and suggestions.The board of directors and relevant personnel shall carefully study the questions, requirements and opinions raised by the independent directors, and timely feedback to the independent directors on the implementation of the amendment of the proposal. |
| 第二十条 独立董事应当亲自出席董事会会议。因故不能亲自出席会议的，独立董事应当事先审阅会议材料，形成明确的意见，并书面委托其他独立董事代为出席。 独立董事连续两次未能亲自出席董事会会议，也不委托其他独立董事代为出席的，董事会应当在该事实发生之日起三十日内提议召开股东大会解除该独立董事职务。 | Article 20 Independent directors shall attend the meeting of the board of directors in person.If the independent director is unable to attend the meeting in person for any reason, the independent director shall review the meeting materials in advance, form a clear opinion, and entrust other independent directors in writing to attend on his behalf. If the independent director fails to attend the board meeting in person for two consecutive times, and does not entrust other independent directors to attend on his behalf, the board of directors shall propose to convene a shareholders’ meeting to dismiss the independent director within 30 days from the date of occurrence of the fact. |
| 第二十一条 独立董事对董事会议案投反对票或者弃权票的，应当说明具体理由及依据、议案所涉事项的合法合规性、可能存在的风险以及对上市公司和中小股东权益的影响等。上市公司在披露董事会决议时，应当同时披露独立董事的异议意见，并在董事会决议和会议记录中载明。 | Article 21 If an independent director votes against or abstains from voting on the proposal of the board meeting, he shall state the specific reasons and basis, the legality and compliance of the matters involved in the proposal, the possible risks, and the impact on the interests of listed companies and small and medium-sized shareholders.When disclosing the resolution of the board of directors, the listed company shall disclose the dissenting opinions of the independent directors at the same time and record them in the resolutions of the board of directors and the minutes of the meetings. |
| 第二十二条 独立董事应当持续关注本办法第二十三条、第二十六条、第二十七条和第二十八条所列事项相关的董事会决议执行情况，发现存在违反法律、行政法规、中国证监会规定、证券交易所业务规则和公司章程规定，或者违反股东大会和董事会决议等情形的，应当及时向董事会报告，并可以要求上市公司作出书面说明。涉及披露事项的，上市公司应当及时披露。 上市公司未按前款规定作出说明或者及时披露的，独立董事可以向中国证监会和证券交易所报告。 | Article 22 Independent directors shall continue to pay attention to the implementation of the resolutions of the board of directors on the matters listed in Articles 23, 26, 27 and 28 of these Measures. If they find that there is a violation of laws, administrative regulations, the provisions of the CSRC, the business rules of the stock exchange and the company’s articles of association, or violates the resolutions of the shareholders’ general meeting and the board of directors, they shall report to the board of directors in a timely manner, and may request the listed company to provide a written explanation.Where disclosure matters are involved, the listed company shall disclose them in a timely manner. If a listed company fails to make an explanation or timely disclosure in accordance with the provisions of the preceding paragraph, the independent director may report to the CSRC and the stock exchange. |
| 第二十三条 下列事项应当经上市公司全体独立董事过半数同意后，提交董事会审议： （一）应当披露的关联交易； （二）上市公司及相关方变更或者豁免承诺的方案； （三）被收购上市公司董事会针对收购所作出的决策及采取的措施； （四）法律、行政法规、中国证监会规定和公司章程规定的其他事项。 | Article 23 The following matters shall be submitted to the board of directors for consideration after approval by a majority of all independent directors of the listed company: (1) Connected transactions that should be disclosed; (2) The plan for changing or exempting the commitment of the listed company and related parties; (3) Decisions made and measures taken by the board of directors of the acquired listed company in relation to the acquisition; (4) Other matters stipulated by laws, administrative regulations, the provisions of the CSRC and the Articles of Association of the Company. |
| 第二十四条 上市公司应当定期或者不定期召开全部由独立董事参加的会议（以下简称独立董事专门会议）。本办法第十八条第一款第一项至第三项、第二十三条所列事项，应当经独立董事专门会议审议。 独立董事专门会议可以根据需要研究讨论上市公司其他事项。 独立董事专门会议应当由过半数独立董事共同推举一名独立董事召集和主持；召集人不履职或者不能履职时，两名及以上独立董事可以自行召集并推举一名代表主持。 上市公司应当为独立董事专门会议的召开提供便利和支持。 | Article 24 A listed company shall hold a meeting attended by all independent directors (hereinafter referred to as a special meeting of independent directors) on a regular or irregular basis.The matters listed in Items 1 to 3 and Article 23 of Paragraph 1 of Article 18 of these Measures shall be reviewed by a special meeting of independent directors. The special meeting of independent directors may study and discuss other matters of the listed company as necessary. The special meeting of independent directors shall be convened and presided over by an independent director jointly elected by a majority of independent directors; when the convener fails to perform his or her duties or is unable to perform his or her duties, two or more independent directors may convene and recommend a representative to preside. A listed company shall facilitate and support the convening of a special meeting of independent directors. |
| 第二十五条 独立董事在上市公司董事会专门委员会中应当依照法律、行政法规、中国证监会规定、证券交易所业务规则和公司章程履行职责。独立董事应当亲自出席专门委员会会议，因故不能亲自出席会议的，应当事先审阅会议材料，形成明确的意见，并书面委托其他独立董事代为出席。独立董事履职中关注到专门委员会职责范围内的上市公司重大事项，可以依照程序及时提请专门委员会进行讨论和审议。 上市公司应当按照本办法规定在公司章程中对专门委员会的组成、职责等作出规定，并制定专门委员会工作规程，明确专门委员会的人员构成、任期、职责范围、议事规则、档案保存等相关事项。国务院有关主管部门对专门委员会的召集人另有规定的，从其规定。 | Article 25 Independent directors shall perform their duties in the special committee of the board of directors of the listed company in accordance with laws, administrative regulations, the provisions of the CSRC, the business rules of the stock exchange and the articles of association of the company.Independent directors shall attend the meeting of the special committee in person. If they are unable to attend the meeting in person for any reason, they shall review the materials of the meeting in advance, form a clear opinion, and entrust other independent directors in writing to attend on their behalf.In the performance of his duties, the independent director is concerned with the major matters of the listed company within the scope of the responsibilities of the special committee, and may promptly submit them to the special committee for discussion and deliberation in accordance with the procedures. The listed company shall, in accordance with the provisions of these Measures, stipulate the composition, duties, etc. of the special committee in its articles of association, and formulate the working procedures of the special committee, clarifying the personnel composition, term of office, scope of duties, rules of procedure, file preservation, and other related matters of the special committee.Where the relevant competent department under the State Council has other provisions on the convener of a special committee, such provisions shall prevail. |
| 第二十六条 上市公司董事会审计委员会负责审核公司财务信息及其披露、监督及评估内外部审计工作和内部控制，下列事项应当经审计委员会全体成员过半数同意后，提交董事会审议： （一）披露财务会计报告及定期报告中的财务信息、内部控制评价报告； （二）聘用或者解聘承办上市公司审计业务的会计师事务所； （三）聘任或者解聘上市公司财务负责人； （四）因会计准则变更以外的原因作出会计政策、会计估计变更或者重大会计差错更正； （五）法律、行政法规、中国证监会规定和公司章程规定的其他事项。 审计委员会每季度至少召开一次会议，两名及以上成员提议，或者召集人认为有必要时，可以召开临时会议。审计委员会会议须有三分之二以上成员出席方可举行。 | Article 26 The Audit Committee of the Board of Directors of a listed company is responsible for the audit of the company’s financial information and its disclosure, supervision and evaluation of internal and external audit work and internal control. The following matters shall be submitted to the Board of Directors for consideration upon the consent of a majority of all members of the Audit Committee: (1) Disclose financial information and internal control evaluation reports in financial accounting reports and periodic reports; (2) hiring or dismissing an accounting firm that undertakes the auditing business of a listed company; (3) Appointing or dismissing the person in charge of finance of the listed company; (4) Changes in accounting policies, accounting estimates or corrections of significant accounting errors for reasons other than changes in accounting standards; (5) Other matters stipulated by laws, administrative regulations, regulations of the China Securities Regulatory Commission and the articles of association of the Company. The Audit Committee meets at least quarterly and two or more members may propose, or convene ad hoc meetings if the Convenor deems it necessary.Meetings of the Audit Committee must be attended by at least two-thirds of the members. |
| 第二十七条 上市公司董事会提名委员会负责拟定董事、高级管理人员的选择标准和程序，对董事、高级管理人员人选及其任职资格进行遴选、审核，并就下列事项向董事会提出建议： （一）提名或者任免董事； （二）聘任或者解聘高级管理人员； （三）法律、行政法规、中国证监会规定和公司章程规定的其他事项。 董事会对提名委员会的建议未采纳或者未完全采纳的，应当在董事会决议中记载提名委员会的意见及未采纳的具体理由，并进行披露。 | Article 27 The nomination committee of the board of directors of a listed company is responsible for formulating the selection criteria and procedures for directors and senior managers, selecting and reviewing candidates for directors and senior managers and their qualifications, and making recommendations to the board of directors on the following matters: (1) Nominate or appoint or remove directors; (2) Appointment or dismissal of senior management personnel; (3) Other matters stipulated by laws, administrative regulations, the provisions of the CSRC and the Articles of Association of the Company. If the board of directors does not adopt the recommendation of the nomination committee or does not fully adopt it, it shall record the opinions of the nomination committee and the specific reasons for the failure in the resolution of the board of directors, and disclose them. |
| 第二十八条 上市公司董事会薪酬与考核委员会负责制定董事、高级管理人员的考核标准并进行考核，制定、审查董事、高级管理人员的薪酬政策与方案，并就下列事项向董事会提出建议： （一）董事、高级管理人员的薪酬； （二）制定或者变更股权激励计划、员工持股计划，激励对象获授权益、行使权益条件成就； （三）董事、高级管理人员在拟分拆所属子公司安排持股计划； （四）法律、行政法规、中国证监会规定和公司章程规定的其他事项。 董事会对薪酬与考核委员会的建议未采纳或者未完全采纳的，应当在董事会决议中记载薪酬与考核委员会的意见及未采纳的具体理由，并进行披露。 | Article 28 The Remuneration and Appraisal Committee of the Board of Directors of a listed company is responsible for formulating and evaluating the appraisal standards of directors and senior managers, formulating and reviewing the remuneration policies and plans of directors and senior managers, and making recommendations to the Board on the following matters: (1) Remuneration of directors and senior management; (2) Formulate or change the equity incentive plan and employee shareholding plan, and incentivize the target to achieve the authorized benefits and the conditions for exercising the rights and interests; (3) Arrangement of shareholding plans by directors and senior management in the proposed spin-off of subsidiaries; (4) Other matters stipulated by laws, administrative regulations, the provisions of the CSRC and the Articles of Association of the Company. If the recommendation of the Remuneration and Appraisal Committee is not adopted or not fully adopted by the board of directors, the opinions of the Remuneration and Appraisal Committee and the specific reasons for the failure shall be recorded in the resolution of the board of directors and disclosed. |
| 第二十九条 上市公司未在董事会中设置提名委员会、薪酬与考核委员会的，由独立董事专门会议按照本办法第十一条对被提名人任职资格进行审查，就本办法第二十七条第一款、第二十八条第一款所列事项向董事会提出建议。 | Article 29 If a listed company does not set up a nomination committee or a remuneration and assessment committee in the board of directors, the special meeting of independent directors shall review the qualifications of the nominee in accordance with Article 11 of these Measures, and make recommendations to the board of directors on the matters listed in Article 27, Paragraph 1 and Article 28, Paragraph 1 of these Measures. |
| 第三十条 独立董事每年在上市公司的现场工作时间应当不少于十五日。 除按规定出席股东大会、董事会及其专门委员会、独立董事专门会议外，独立董事可以通过定期获取上市公司运营情况等资料、听取管理层汇报、与内部审计机构负责人和承办上市公司审计业务的会计师事务所等中介机构沟通、实地考察、与中小股东沟通等多种方式履行职责。 | Article 30 The independent directors shall work on-site at the listed company for not less than 15 days each year. In addition to attending the shareholders’ general meetings, the board of directors and its special committees, and the special meetings of independent directors as required, independent directors can perform their duties by regularly obtaining information such as the operation of listed companies, listening to management reports, communicating with the heads of internal audit institutions and accounting firms that undertake the audit business of listed companies, conducting field visits, and communicating with small and medium shareholders. |
| 第三十一条 上市公司董事会及其专门委员会、独立董事专门会议应当按规定制作会议记录，独立董事的意见应当在会议记录中载明。独立董事应当对会议记录签字确认。 独立董事应当制作工作记录，详细记录履行职责的情况。独立董事履行职责过程中获取的资料、相关会议记录、与上市公司及中介机构工作人员的通讯记录等，构成工作记录的组成部分。 对于工作记录中的重要内容，独立董事可以要求董事会秘书等相关人员签字确认，上市公司及相关人员应当予以配合。 独立董事工作记录及上市公司向独立董事提供的资料，应当至少保存十年。 | Article 31 The board of directors of a listed company and its special committees and special meetings of independent directors shall prepare minutes of the meetings in accordance with regulations, and the opinions of independent directors shall be stated in the minutes of the meetings.Independent directors shall sign and confirm the minutes of the meeting. Independent directors shall prepare work records detailing the performance of their duties.Information obtained by independent directors in the course of performing their duties, relevant meeting minutes, communication records with staff of listed companies and intermediaries, etc., form part of the work records. For the important contents of the work records, the independent directors may require the secretary of the board of directors and other relevant personnel to sign and confirm, and the listed company and relevant personnel shall cooperate. The records of the work of the independent directors and the information provided by the listed company to the independent directors shall be retained for at least 10 years. |
| 第三十二条 上市公司应当健全独立董事与中小股东的沟通机制，独立董事可以就投资者提出的问题及时向上市公司核实。 | Article 32 A listed company shall improve the communication mechanism between independent directors and small and medium shareholders, and independent directors may promptly verify the questions raised by investors with the listed company. |
| 第三十三条 独立董事应当向上市公司年度股东大会提交年度述职报告，对其履行职责的情况进行说明。年度述职报告应当包括下列内容： （一）出席董事会次数、方式及投票情况，出席股东大会次数； （二）参与董事会专门委员会、独立董事专门会议工作情况； （三）对本办法第二十三条、第二十六条、第二十七条、第二十八条所列事项进行审议和行使本办法第十八条第一款所列独立董事特别职权的情况； （四）与内部审计机构及承办上市公司审计业务的会计师事务所就公司财务、业务状况进行沟通的重大事项、方式及结果等情况； （五）与中小股东的沟通交流情况； （六）在上市公司现场工作的时间、内容等情况； （七）履行职责的其他情况。 独立董事年度述职报告最迟应当在上市公司发出年度股东大会通知时披露。 | Article 33 Independent directors shall submit an annual debriefing report to the annual general meeting of shareholders of the listed company, explaining the performance of their duties.The Annual Orientation Report should include the following: (1) The number of times it attended the board meeting, the method and voting conditions, and the number of times it attended the shareholders’ general meeting; (2) Participation in the work of the special committee of the board of directors and the special meeting of independent directors; (3) Reviewing the matters listed in Articles 23, 26, 27 and 28 of these Measures and exercising the special powers of independent directors listed in Paragraph 1 of Article 18 of these Measures; (4) Significant matters, methods and results of communication with the internal audit institution and the accounting firm that undertakes the audit business of the listed company on the financial and business status of the company; (5) Communication with minority shareholders; (6) The time, content, etc. of working on-site at the listed company; (7) Other information on the performance of duties. The annual debriefing report of the independent director shall be disclosed at the latest when the listed company issues the notice of the annual general meeting. |
| 第三十四条 独立董事应当持续加强证券法律法规及规则的学习，不断提高履职能力。中国证监会、证券交易所、中国上市公司协会可以提供相关培训服务。 | Article 34 Independent directors shall continue to strengthen the study of securities laws, regulations and rules, and continuously improve their ability to perform their functions.The China Securities Regulatory Commission, stock exchanges, and China Association of Listed Companies can provide relevant training services. |
| 第四章 履职保障 | Chapter 4 Performance Guarantee |
| 第三十五条 上市公司应当为独立董事履行职责提供必要的工作条件和人员支持，指定董事会办公室、董事会秘书等专门部门和专门人员协助独立董事履行职责。 董事会秘书应当确保独立董事与其他董事、高级管理人员及其他相关人员之间的信息畅通，确保独立董事履行职责时能够获得足够的资源和必要的专业意见。 | Article 35 A listed company shall provide the necessary working conditions and personnel support for independent directors to perform their duties, and designate special departments such as the office of the board of directors and the secretary of the board of directors and special personnel to assist independent directors in performing their duties. The Secretary of the Board shall ensure unimpeded access to information between the Independent Directors and other Directors, senior management and other relevant persons to ensure that the Independent Directors are provided with adequate resources and the necessary professional advice in the performance of their duties. |
| 第三十六条 上市公司应当保障独立董事享有与其他董事同等的知情权。为保证独立董事有效行使职权，上市公司应当向独立董事定期通报公司运营情况，提供资料，组织或者配合独立董事开展实地考察等工作。 上市公司可以在董事会审议重大复杂事项前，组织独立董事参与研究论证等环节，充分听取独立董事意见，并及时向独立董事反馈意见采纳情况。 | Article 36 A listed company shall ensure that independent directors enjoy the same right to know as other directors.In order to ensure the effective exercise of the functions and powers of independent directors, listed companies should regularly inform independent directors of the company’s operations, provide information, organize or cooperate with independent directors in field visits and other work. Listed companies can organize independent directors to participate in research and demonstration before the board of directors deliberates on major and complex matters, fully listen to the opinions of independent directors, and timely feedback to independent directors on the adoption of opinions. |
| 第三十七条 上市公司应当及时向独立董事发出董事会会议通知，不迟于法律、行政法规、中国证监会规定或者公司章程规定的董事会会议通知期限提供相关会议资料，并为独立董事提供有效沟通渠道；董事会专门委员会召开会议的，上市公司原则上应当不迟于专门委员会会议召开前三日提供相关资料和信息。上市公司应当保存上述会议资料至少十年。 两名及以上独立董事认为会议材料不完整、论证不充分或者提供不及时的，可以书面向董事会提出延期召开会议或者延期审议该事项，董事会应当予以采纳。 董事会及专门委员会会议以现场召开为原则。在保证全体参会董事能够充分沟通并表达意见的前提下，必要时可以依照程序采用视频、电话或者其他方式召开。 | Article 37 A listed company shall promptly notify the independent directors of the board meeting, and provide relevant meeting materials and effective communication channels for the independent directors no later than the time limit for the notice of the board meeting stipulated by laws, administrative regulations, the CSRC or the company’s articles of association; if a meeting of the special committee of the board of directors is held, the listed company shall, in principle, provide relevant materials and information no later than three days before the meeting of the special committee.The listed company shall keep the above-mentioned meeting materials for at least ten years. If two or more independent directors believe that the meeting materials are incomplete, insufficiently substantiated or not provided in a timely manner, they may propose in writing to the board of directors to postpone the meeting or postpone the consideration of the matter, and the board of directors shall adopt it. Meetings of the board of directors and special committees shall be held on-site in principle.In the premise of ensuring that all participating directors can fully communicate and express their opinions, if necessary, they can be convened by video, telephone or other means in accordance with the procedures. |
| 第三十八条 独立董事行使职权的，上市公司董事、高级管理人员等相关人员应当予以配合，不得拒绝、阻碍或者隐瞒相关信息，不得干预其独立行使职权。 独立董事依法行使职权遭遇阻碍的，可以向董事会说明情况，要求董事、高级管理人员等相关人员予以配合，并将受到阻碍的具体情形和解决状况记入工作记录；仍不能消除阻碍的，可以向中国证监会和证券交易所报告。 独立董事履职事项涉及应披露信息的，上市公司应当及时办理披露事宜；上市公司不予披露的，独立董事可以直接申请披露，或者向中国证监会和证券交易所报告。 中国证监会和证券交易所应当畅通独立董事沟通渠道。 | Article 38 For independent directors to exercise their powers, the directors, senior managers and other relevant personnel of the listed company shall cooperate, shall not refuse, obstruct or conceal relevant information, and shall not interfere with the independent exercise of their powers. If an independent director encounters an obstacle to the exercise of his/her functions and powers in accordance with the law, he/she may explain the situation to the board of directors, request the cooperation of the director, senior management personnel and other relevant personnel, and record the specific circumstances and resolution of the obstacle in the work record; if the obstacle cannot be eliminated, he/she may report to the CSRC and the stock exchange. If the performance of duties by an independent director involves information that should be disclosed, the listed company shall handle the disclosure in a timely manner; if the listed company does not disclose, the independent director may directly apply for disclosure, or report to the China Securities Regulatory Commission and the stock exchange. China Securities Regulatory Commission and stock exchanges should have unimpeded communication channels with independent directors. |
| 第三十九条 上市公司应当承担独立董事聘请专业机构及行使其他职权时所需的费用。 | Article 39 A listed company shall bear the expenses required by independent directors when hiring professional institutions and exercising other powers. |
| 第四十条 上市公司可以建立独立董事责任保险制度，降低独立董事正常履行职责可能引致的风险。 | Article 40 A listed company may establish an independent director liability insurance system to reduce the risks that may arise from the normal performance of duties by independent directors. |
| 第四十一条 上市公司应当给予独立董事与其承担的职责相适应的津贴。津贴的标准应当由董事会制订方案，股东大会审议通过，并在上市公司年度报告中进行披露。 除上述津贴外，独立董事不得从上市公司及其主要股东、实际控制人或者有利害关系的单位和人员取得其他利益。 | Article 41 A listed company shall give independent directors allowances commensurate with their responsibilities.The standard of allowance shall be formulated by the board of directors, reviewed and approved by the general meeting of shareholders, and disclosed in the annual report of the listed company. In addition to the above allowances, independent directors shall not obtain other benefits from the listed company and its major shareholders, actual controllers or interested units and personnel. |
| 第五章 监督管理与法律责任 | Chapter 5 Supervision and Management and Legal Responsibility |
| 第四十二条 中国证监会依法对上市公司独立董事及相关主体在证券市场的活动进行监督管理。 证券交易所、中国上市公司协会依照法律、行政法规和本办法制定相关自律规则，对上市公司独立董事进行自律管理。 有关自律组织可以对上市公司独立董事履职情况进行评估，促进其不断提高履职效果。 | Article 42 The CSRC shall supervise and manage the activities of independent directors and related entities of listed companies in the securities market in accordance with the law. The stock exchange and the China Association of Listed Companies formulate relevant self-regulatory rules in accordance with laws, administrative regulations and these Measures, and conduct self-regulatory management of independent directors of listed companies. Relevant self-regulatory organizations can evaluate the performance of independent directors of listed companies to promote their continuous improvement. |
| 第四十三条 中国证监会、证券交易所可以要求上市公司、独立董事及其他相关主体对独立董事有关事项作出解释、说明或者提供相关资料。上市公司、独立董事及相关主体应当及时回复，并配合中国证监会的检查、调查。 | Article 43 The CSRC and stock exchanges may require listed companies, independent directors and other relevant entities to provide explanations, explanations or relevant materials on matters related to independent directors.Listed companies, independent directors and related entities shall respond in a timely manner and cooperate with the inspection and investigation of the CSRC. |
| 第四十四条 上市公司、独立董事及相关主体违反本办法规定的，中国证监会可以采取责令改正、监管谈话、出具警示函、责令公开说明、责令定期报告等监管措施。依法应当给予行政处罚的，中国证监会依照有关规定进行处罚。 | Article 44 Where a listed company, independent director or related entity violates the provisions of these Measures, the CSRC may take regulatory measures such as ordering correction, conducting regulatory talks, issuing warning letters, ordering public statements, and ordering periodic reports.If administrative penalties should be imposed according to law, the CSRC shall impose penalties in accordance with relevant provisions. |
| 第四十五条 对独立董事在上市公司中的履职尽责情况及其行政责任，可以结合独立董事履行职责与相关违法违规行为之间的关联程度，兼顾其董事地位和外部身份特点，综合下列方面进行认定： （一）在信息形成和相关决策过程中所起的作用； （二）相关事项信息来源和内容、了解信息的途径； （三）知情程度及知情后的态度； （四）对相关异常情况的注意程度，为核验信息采取的措施； （五）参加相关董事会及其专门委员会、独立董事专门会议的情况； （六）专业背景或者行业背景； （七）其他与相关违法违规行为关联的方面。 | Article 45 With regard to the performance of duties and responsibilities of independent directors in a listed company and their administrative responsibilities, the following aspects may be determined in combination with the degree of connection between the performance of duties by independent directors and relevant violations of laws and regulations, taking into account their director status and external identity characteristics: (1) The role played in the formation of information and related decision-making processes; (2) Sources and contents of information on relevant matters, and ways to understand the information; (3) The degree of knowledge and the attitude after the knowledge; (4) The degree of attention paid to relevant abnormal situations, and the measures taken to verify the information; (5) Participation in special meetings of the relevant board of directors and its special committees and independent directors; (6) Professional background or industry background; (7) Other aspects related to relevant violations of laws and regulations. |
| 第四十六条 独立董事能够证明其已履行基本职责，且存在下列情形之一的，可以认定其没有主观过错，依照《中华人民共和国行政处罚法》不予行政处罚： （一）在审议或者签署信息披露文件前，对不属于自身专业领域的相关具体问题，借助会计、法律等专门职业的帮助仍然未能发现问题的； （二）对违法违规事项提出具体异议，明确记载于董事会、董事会专门委员会或者独立董事专门会议的会议记录中，并在董事会会议中投反对票或者弃权票的； （三）上市公司或者相关方有意隐瞒，且没有迹象表明独立董事知悉或者能够发现违法违规线索的； （四）因上市公司拒绝、阻碍独立董事履行职责，导致其无法对相关信息披露文件是否真实、准确、完整作出判断，并及时向中国证监会和证券交易所书面报告的； （五）能够证明勤勉尽责的其他情形。 在违法违规行为揭露日或者更正日之前，独立董事发现违法违规行为后及时向上市公司提出异议并监督整改，且向中国证监会和证券交易所书面报告的，可以不予行政处罚。 独立董事提供证据证明其在履职期间能够按照法律、行政法规、部门规章、规范性文件以及公司章程的规定履行职责的，或者在违法违规行为被揭露后及时督促上市公司整改且效果较为明显的，中国证监会可以结合违法违规行为事实和性质、独立董事日常履职情况等综合判断其行政责任。 | Article 46 If an independent director can prove that he has performed his basic duties and there are any of the following circumstances, he may be found not to be subjectively at fault, and no administrative penalty shall be imposed in accordance with the Administrative Penalty Law of the People’s Republic of China: (1) Before reviewing or signing the information disclosure document, failing to find problems with the help of professional occupations such as accounting and law for specific problems that do not belong to their own professional fields; (2) Raising a specific objection to the violation of laws and regulations, clearly recording it in the minutes of the meeting of the board of directors, the special committee of the board of directors or the special meeting of independent directors, and voting against or abstaining from voting at the meeting of the board of directors; (3) The listed company or related party intentionally conceals, and there is no indication that the independent director is aware of or can find clues to the violation of laws and regulations; (4) The listed company refuses or obstructs independent directors from performing their duties, resulting in its inability to judge whether the relevant information disclosure documents are true, accurate and complete, and to report them in writing to the China Securities Regulatory Commission and the stock exchange in a timely manner; (5) Other circumstances that can prove diligence and due diligence. Prior to the disclosure date of the violation or the correction date, if the independent director promptly raises an objection to the listed company and supervises the rectification after discovering the violation, and reports it in writing to the CSRC and the stock exchange, no administrative penalty may be imposed. If the independent director provides evidence to prove that he can perform his duties in accordance with the provisions of laws, administrative regulations, departmental rules, regulatory documents and the company’s articles of association during the performance of his duties, or if the listed company is promptly urged to rectify after the violation is disclosed and the effect is more obvious, the CSRC can comprehensively judge his administrative responsibilities in combination with the facts and nature of the violation and the daily performance of his duties by the independent director. |
| 第六章 附 则 | Chapter 6 Supplementary Provisions |
| 第四十七条 本办法下列用语的含义： （一）主要股东，是指持有上市公司百分之五以上股份，或者持有股份不足百分之五但对上市公司有重大影响的股东； （二）中小股东，是指单独或者合计持有上市公司股份未达到百分之五，且不担任上市公司董事、监事和高级管理人员的股东； （三）附属企业，是指受相关主体直接或者间接控制的企业； （四）主要社会关系，是指兄弟姐妹、兄弟姐妹的配偶、配偶的父母、配偶的兄弟姐妹、子女的配偶、子女配偶的父母等； （五）违法违规行为揭露日，是指违法违规行为在具有全国性影响的报刊、电台、电视台或者监管部门网站、交易场所网站、主要门户网站、行业知名的自媒体等媒体上，首次被公开揭露并为证券市场知悉之日； （六）违法违规行为更正日，是指信息披露义务人在证券交易场所网站或者符合中国证监会规定条件的媒体上自行更正之日。 | Article 47 Meaning of the following terms in these Measures: (1) Major shareholders refer to shareholders who hold more than 5% of the shares of the listed company, or shareholders who hold less than 5% of the shares but have a significant impact on the listed company; (2) Small and medium shareholders refer to shareholders who hold less than 5% of the shares of the listed company, individually or in total, and do not serve as directors, supervisors and senior managers of the listed company; (3) Affiliated enterprises refer to enterprises directly or indirectly controlled by relevant entities; (4) Primary social relations refer to siblings, spouses of siblings, parents of spouses, siblings of spouses, spouses of children, parents of spouses of children, etc.; (5) The disclosure date of violations of laws and regulations refers to the day when violations of laws and regulations are publicly disclosed and known to the securities market for the first time on newspapers, radio stations, television stations or regulatory authority websites, trading venue websites, major portals, industry-renowned self-media and other media with national impact; (6) The date of correction of violations of laws and regulations refers to the date on which the information disclosure obligor corrects itself on the website of the stock exchange or the media that meets the conditions stipulated by the CSRC. |
| 第四十八条 本办法自 2023 年 9 月 4 日起施行。2022 年 1月 5 日发布的《上市公司独立董事规则》（证监会公告〔2022〕14 号）同时废止。 自本办法施行之日起的一年为过渡期。过渡期内，上市公司董事会及专门委员会的设置、独立董事专门会议机制、独立董事的独立性、任职条件、任职期限及兼职家数等事项与本办法不一致的，应当逐步调整至符合本办法规定。 《上市公司股权激励管理办法》《上市公司收购管理办法》《上市公司重大资产重组管理办法》等本办法施行前中国证监会发布的规章与本办法的规定不一致的，适用本办法。 | Article 48 These Measures shall come into force on September 4, 2023.The “Rules for Independent Directors of Listed Companies” (SFC Announcement [2022] No. 14) issued on January 5, 2022 shall be repealed simultaneously. One year from the date of implementation of these Measures is the transition period.During the transition period, if the establishment of the board of directors and special committees of a listed company, the mechanism of the special meeting of independent directors, the independence of independent directors, the conditions for holding office, the term of office and the number of part-time employees are inconsistent with these Measures, they shall be gradually adjusted to meet the provisions of these Measures. If the rules issued by the CSRC before the implementation of these Measures are inconsistent with the provisions of these Measures, such as the Administrative Measures for Equity Incentives of Listed Companies, the Administrative Measures for Acquisition of Listed Companies, and the Administrative Measures for Material Asset Restructuring of Listed Companies, these Measures shall apply. |