Introduction to the qualification examination for secretary of the board of directors

The Measures for the Administration of the Qualifications of the Secretary of the Board of Directors of Listed Companies promulgated by SSE and the Measures for the Administration of the Qualifications of the Secretary of the Board of Directors and Securities Affairs Representatives of Listed Companies promulgated by Shenzhen Stock Exchange require that all the board secretaries or securities affairs representatives employed by listed companies should pass the qualification examination and obtain the Certificate of the Secretary of the Board issued by the Exchange.

Let me give you an example about the requirements and contents of the Secretary-General's Examination of Shenzhen Stock Exchange:

1. Registration conditions for "Training Course for the Secretary of the Board of Directors of Key Companies to be Listed in Shenzhen Stock Exchange":

1. The information filled in by the students in the "Registration System for the Training Intention of the Secretary of the Board of Directors of Listed Companies" must be true, accurate and complete (if the registration information is false, the Exchange will be listed on the Shenzhen Stock Exchange.

2) Students are current or proposed secretaries of the board of directors of key companies to be listed, and each company is limited to one person. (The company to be listed mainly refers to the company whose financial indicators have met the requirements for issuance and listing)

3) The company to which the trainees belong must complete the shareholding system reform one month before the specific training is held.

2. The effective number of people registered in the "Registration System for Training Intention of the Secretary of the Board of Directors of Listed Companies" exceeds the limit of the number of personnel in specific training places, and the firm will give priority to the selection according to the following principles (hereinafter referred to as the "screening principle"):

1) its own training intention. In the Remarks column of "Application Form for Training Intention of the Secretary of the Board of Directors of Listed Enterprises", students can choose the training place according to our annual plan. On the basis of close reporting time, the Institute gives priority to students who are willing to participate in the training in the region.

2) the registered place of the enterprise. The annual training of the Institute is basically distributed in the areas where the enterprises to be listed are relatively concentrated. In order to facilitate the enterprises to participate in the training and reduce the cost of participating in the training, the Institute gives priority to the enterprises near the training holding area to participate in the training.

3) the time for the enterprise to complete the reporting for the first time. On the basis of other principles, according to the time sequence of the first complete report of training intention, the Institute gives priority to the students who have completed the first report for training.

Note: If the trainees are not selected for the current training, the data filled in the "Application Form for Training Intention of the Secretary of the Board of Directors of Listed Companies" is still valid. All the information of the students will be automatically postponed to the next issue, and the institute will re-screen according to the above principles.

ii. Participation in the training program

After determining the specific training date and training place, the conference group will select the corresponding candidates from the intention registration form according to the reception capacity of the training place according to the established principles.

1. notification method. At least two weeks before the start of the class, the conference group will send a specific training notice by sending an email to the candidate (the email address of the trainees), and remind them by SMS.

2. According to the requirements of the notice, the students fill in the receipt, affix the official seal of the company or the recommendation letter of the board of directors, and fax it to the meeting group at the specified time.

3. The conference group will announce the confirmed training list at least one week before the class starts (the list of trainees in each period shall prevail). After confirmation, if you can't attend under special circumstances, you must inform the conference group 3 working days in advance.

III. Training Time and Content

The training time is about three days, and experts from Shenzhen Stock Exchange, sponsor institutions, accounting affairs and law firms will be invited to give lectures. The contents of the training are: the main laws and regulations of the capital market, the Listing Rules of Shenzhen Stock Exchange, corporate governance and standardized operation, equity incentives, mergers and acquisitions, corporate restructuring and listing practices and other related business knowledge.

iv. Training expenses

Training expenses include meals, lectures by invited experts, accommodation, conference venue rental and conference materials during the training period. The specific expenses will be calculated according to the hotel's charging standard, and the basic principles will fully reflect the public welfare principle and service consciousness.

V. Examination Contents

According to the requirements of the Listing Rules of Shenzhen Stock Exchange, the qualification of secretary of the board of directors will be obtained by examination.

The contents of the examination include but are not limited to the contents of training. The main scope of the examination includes:

1. Company Law, Securities Law and Criminal Law Amendment (VI);

2. Measures for the Administration of Initial Public Offering and Listing, Guidelines for the Governance of Listed Companies, Measures for the Administration of Information Disclosure of Listed Companies, Rules for the General Meeting of Shareholders of Listed Companies, Guidelines for the Articles of Association of Listed Companies, Guiding Opinions on Establishing Independent Director System in Listed Companies, Measures for the Administration of Acquisition of Listed Companies, Measures for the Administration of Equity Incentives of Listed Companies and Measures for the Administration of Securities Issuance of Listed Companies. Relevant laws and regulations promulgated by China Securities Regulatory Commission, such as Notice on Issues Related to Guarantees Provided by Listed Companies to Others, Several Provisions on Regulating Capital Exchanges between Listed Companies and Related Parties and External Guarantees of Listed Companies, and Notice on Regulating External Guarantees of Listed Companies;

3. Listing Rules and Stock Trading Rules of this Exchange;

4. Relevant rules, guidelines and detailed rules promulgated by SME Board;

5. Relevant regulations on securities registration and settlement business;

6. Other laws and regulations related to securities finance.

note: open to question. Consult the electronic version of the above-mentioned relevant documents, and visit the service area to be listed on the Shenzhen Stock Exchange.

VI. Examination form

The examination form is a closed book, and the examination questions are multiple-choice questions, multiple-choice questions and true-false questions. You can't communicate with each other, consult materials and use computers and wireless communication equipment at the examination site, otherwise you will be disqualified. The training course adopts the way of final examination, and only those who pass the examination will be awarded the "Qualification Certificate of Secretary of the Board of Directors of Shenzhen Stock Exchange"; Students who fail to pass the exam in the training can take the exam again, but they must contact the conference group in advance and fill in the receipt.