Chapter I General Principles
Article 1 In order to implement the spirit of the Implementation Opinions of Shanghai Municipal People's Government on Promoting Intellectual Property Pledge Financing in this Municipality, standardize intellectual property transactions, protect intellectual property transactions, and fully and effectively allocate intellectual property resources, these Rules are formulated in accordance with relevant national laws and regulations.
Article 2 These Rules shall apply to the intellectual property trading activities of this Municipality conducted in Shanghai United Assets and Equity Exchange (hereinafter referred to as the Exchange).
Article 3 Intellectual property transactions shall follow the following principles:
(1) Abide by the provisions of laws, regulations and relevant policies;
(2) Optimizing resource allocation;
(3) voluntariness, equality and compensation;
(4) Openness, fairness and justice.
Chapter II Subject and Scope of Transactions
Article 4 The trading entity mentioned in these Rules refers to the transferor and transferee who entrust the stock exchange to conduct intellectual property transactions.
(1) Transferor:
1. Pledgee with outstanding debts due for intellectual property pledge loan. (Legal person, natural person or other organization)
2. Legal persons, natural persons or other organizations that have independent intellectual property rights according to law and enjoy the rights and interests related to intellectual property rights according to law.
(2) the transferee
A legal person, natural person or other organization that has the right to apply for purchase, has the capacity for civil rights and civil conduct, can bear civil liabilities independently, meets the conditions for the transfer of specific intellectual property pledge projects, and has gone through necessary procedures such as transaction procedures.
Article 5 The transaction object mentioned in these Rules refers to the registered trademark right, transfer right and copyright (copyright) entrusted by the stock exchange.
Chapter III Trading Methods
Article 6 According to the nature of the subject matter and the number of bidders, transactions can be conducted in the following six ways:
(1) Transfer by agreement;
(2) electronic bidding;
(3) One-time quotation;
(4) Comprehensive evaluation bidding method;
(5) Bidding or auction;
(six) other ways as prescribed by laws and regulations.
Chapter IV Transaction Process
Article 7 Intellectual property transactions shall be conducted in accordance with procedures such as application for registration, re-evaluation of ownership, examination and listing, information release, public bidding, signing of contracts, transaction verification, settlement and delivery, and change of registration.
Step 1: Apply for registration and re-evaluate rights.
Article 8 Application for registration
(1) The transferor who entrusts the stock exchange to conduct intellectual property transactions shall fill in the Transferor Registration Form.
(2) The transferee who entrusts the stock exchange to conduct intellectual property transactions shall fill in the transferee registration form.
(3) The trading entity shall fill in the relevant forms truthfully and completely.
1. The trading entity shall ensure that the information and materials provided are true, reliable and legal, and bear all legal responsibilities arising therefrom.
2. The trading entity shall provide corresponding written materials and electronic materials at the same time.
3. The certification materials issued by the transaction subject, including the business license of the enterprise, the copy of the legal representative's ID card or personal ID card, the valid certification documents of the transferred intellectual property certificate and other materials that need to be provided.
Article 9 Confirmation and revaluation
The confirmation and revaluation of listed items shall be accepted by the stock exchange.
Step 2: View the list and publish the information.
Article 10 review and listing
Review content:
1. completeness and standardization of all items in the registration form.
2. The variety, quantity and format of the certification materials shall meet the specified requirements.
3. The intellectual property certificate is true and valid. Including:
1) The intellectual property rights owned by legal persons, natural persons or other organizations are recognized and protected by the laws and regulations on intellectual property protection promulgated by the relevant intellectual property management agencies in People's Republic of China (PRC), the Copyright Law of People's Republic of China (PRC) and the Trademark Law of People's Republic of China (PRC).
2) The effective remaining period of intellectual property rights enjoyed by legal persons, natural persons or other organizations shall not be shorter than the loan period plus 24 months from the date of the expiration of the loan period.
3) The intellectual property owner has paid the annual intellectual property fee in full and on time.
4) The intellectual property owner has promised in writing that he will not give up his intellectual property until the principal and interest of the loan are fully paid off.
4. The paper materials of the project are consistent with the electronic materials.
5. For the projects provided by the bank to support the pledge of intellectual property rights, if the lender fails to repay the loan after the loan expires, the stock exchange needs to reconfirm and evaluate the pledged intellectual property rights before listing.
6, according to the relevant national laws and regulations to review whether the contents of the submitted project materials have legal effect, whether it involves damage to national economic interests or security interests, etc.
7. A stock exchange shall communicate with the trading subject of the entrusted transaction to ensure that the materials submitted by it meet the requirements of the public listing of the stock exchange. Those who fail to pass the examination shall be put on record, and the disposal records shall be kept, and relevant explanations shall be issued.
8. Archive the written materials and electronic materials of the listed projects, number the listed projects according to the project category, and start the listing procedure.
9. A stock exchange shall, within five working days, examine all the materials submitted by the trading entities and issue a notice of approval or disapproval of listing.
Article 11 Listing and information release
SEHK will input the complete information required for listing into SEHK's internal trading system and publish it publicly in the following ways:
1, website promotion;
2. Organize various trade promotion meetings;
3, news media promotion;
4. Directed release of the internal network of the stock exchange;
6. Other ways.
Step 3: Organize the transaction and sign the contract.
Article 12 Bidding transactions
(1) The trading entity may conduct investigation, investigation, consultation, demonstration and intentional negotiation according to the project information of listed transactions.
(2) SEHK shall determine the transaction mode and organize its implementation according to the characteristics of intellectual property rights listing and trading.
Article 13 Transaction authentication
(1) signing of the contract
After the parties to the transaction reach an agreement on the substantive conditions of the transaction, they shall sign an intellectual property transaction contract in accordance with the relevant provisions of the Contract Law of People's Republic of China (PRC). After the transaction subject signs and seals the transaction contract, the stock exchange will issue a transaction confirmation notice to record the transaction.
(2) Transaction contract
The transaction contract shall include the following contents:
1, transaction object;
2. The name, domicile and legal representative of the transaction subject;
3. Transaction price, payment method and time limit;
4. Liability for breach of contract;
5. Settlement of contract disputes;
6. Date of signing;
7. Other matters that need to be agreed.
The Intellectual Property Transaction Contract is made in triplicate, one for each party to the transaction and one for the record of the stock exchange.
(3) Transaction verification
1, the name and legal representative of the trading entity;
2. The subject matter of the transaction;
3. The price, payment method and term of the transaction;
4. Date of signing;
5. The record number of the trading contract of the stock exchange.
Step 4: Settlement and delivery, change registration.
Article 14 Settlement, delivery and change registration
The stock exchange is responsible for the unified settlement of the trading price and related expenses on the floor, and supervises and assists the trading entities to handle the settlement and delivery, change registration and other related procedures in accordance with the contract and relevant laws and regulations.
Article 15 charging standards
The charging standard refers to the charging standard of property right transaction of Shanghai United Assets and Equity Exchange.
Chapter V Dispute Resolution and Legal Liability
Article 16 Dispute settlement
In case of disputes arising from trading activities, both parties to the transaction may apply to the stock exchange for mediation; You can also hold a hearing, apply for arbitration or bring a lawsuit to the people's court according to the contract.
Article 17 Illegal handling
If the parties to a stock exchange transaction and the intermediary agencies that provide relevant vouchers and materials for the transaction violate these rules and cause losses, they shall bear corresponding liability for compensation. If they violate laws and regulations, they shall be investigated for legal responsibility according to law.
Chapter VI Supplementary Provisions
Eighteenth intellectual property transactions, involving the provisions of these rules, shall be handled in accordance with the relevant laws and regulations of the state and Shanghai.
Article 19 SEHK shall be responsible for the interpretation of these Rules. During the implementation of these rules, SEHK may issue relevant supplementary rules, which have the same effect as these trading rules.