I. On Oversight and Management of Inquiries into Information. 在上海证券交易所设立科创板试点注册制过程中，证监会、上海证券交易所在履行发行上市、再融资、并购重组审核与作出注册决定等职责时，可以依托以下信息平台，或商请有关单位协助安排，获取发行人、上市公司及其控股股东、实际控制人、董事、监事、高级管理人员，以及相关中介机构与人员的监管信息，特别是违法失信信息：
II. On Transfer of Information on Untrustworthiness. The following information on unlawful untrustworthines that is produced during the Star market registration pilot is to be sent to the national credit information sharing platform and enterprise credit information announcement system by the Securities Regulatory Commission, included in the Basic Financial Credit Information Databases, and shared with relevant departments:
(1) administrative punishments, market entry prohibitions, and regulatory measures taken by the Securities Regulatory Commission and its remote bodies against issuers, listed companies, intermediary bodies, and related responsible personnel;
(2) Transfer of criminal matters by the Securities Regulatory Commission and its remote bodies against issuers, listed companies, intermediary bodies, and related responsible personnel;
(3) Disciplinary sanctions taken stock exchange by the Securities Regulatory Commission and its remote bodies against issuers, listed companies, intermediary bodies, and related responsible personnel;
III. On the Use of Credit Records. 证监会、上海证券交易所在发行上市、再融资、并购重组审核与作出注册决定等过程中，发现发行人、上市公司及其控股股东、实际控制人、董事、监事、高级管理人员在其他领域、其他部门存在法定期限内的违法失信记录的，将其作为履行发行上市、再融资、并购重组审核与作出注册决定等职责的重要参考。
IV. On Joint Disciplinary Action Against Untrustworthiness. In accordance with the overall deployments for the establishment of the social credit system, each department is to follow relevant provisions to carry out joint disciplinary action against the personnel responsible for illegal untrustworthiness listed below, and periodically report to the Securities Regulatory Commission and Development and Reform Commission on the implementation status joint disciplinary action measures and the outcomes of punishment.
(1) Responsible persons such as the legal representatives and actual controllers of issuers given administrative punishments or market entry prohibitions by the Securities Regulatory Commission for reporting or disclosing relevant information containing misrepresentations, misleading statements, or material omissions in the process of applying for IPOs or refinancing, as well as after listing on the Star market; or constituting the crime of fraudulent stock issuance, illegal disclosure, criminal non-disclosure of important information; and the legal representatives of listed companies as well as listed companies' directors, supervisors, high-level managers, and other responsible persons that are signatories to the documents sent or disclosed;
(2) Practitioners such as legal representatives. managing partners, and principle responsible persons, as well as practitioners who are signatories to relevant documents, for establishments that provided sponsorship or securities services for applications for IPOs, refinancing, or ongoing information disclosures; were responsible for issuers' or listed companies fraudulent stock issuance, misrepresentations, misleading statements or material omissions; and were given administrative punishments or market entry prohibitions by the Securities Regulatory Commission; or who committed the crimes of providing fake supporting documents or the crime of issuing materially untrustworthy supporting documents.
Relevant departments are to carry out the following punishment measures aimed at the targets of joint disciplinary action described above:
(1) Those given criminal punishment for committing the crimes described above must not serve as the directors, supervisors, or high-level managers of companies for 5 years from the completion of enforcing their sentence. (State Administration for Market Regulation)
(2) Restrict service as the legal representative, director, or supervisor of state-owned enterprises, and where they already serving in related positions, lawfully issue a comment that they no longer serve in the relevant position. (State-owned Assets Supervision and Administration Commission).
(3) Lawfully restrict serice as the director, supervisor, or high-level manager of banking financial institutions, insurance companies, insurance asset management companies and so forth, as well as high-level managers of corporate insurance agencies, the principle responsible persons for related branch organzations, or the chairman, managing director, or high-level management of insurance adjustment bodies; and where they are already serving in such positions, lawfully submit an opinion that they should no longer serve in related positions. (Banking and Insurance Regulatory Commission).
(4) Make information on untrustworthiness as a consideration in approval or recording of directors, supervisors, or senior management, or the responsible persons at branch organizations of securities companies, insurance companies, fund management companies, or futures companies. (Securities Regulatory Commission)
(5) For relevant entities that have records of untrustworthiness strictly review applications for eligibility to engage in securities, funds, or futures operations, and where they are already an entity of persons engaged in securities, funds, or futures operations, they are to be given heightened scrutiny. (Securities Regulatory Commission)
(6) When implementing government-funded project arrangements and other preferential policies in the investment field, employ restrictive measures such as strict review, reducing support, or not giving support. (Development and Reform Commission and other relevant departments)
(7) Restrict passage for a certain period on higher-class train seats, including soft sleepers, all seats on G-series trains, and first-class or higher seats on other trains for personnel responsible for fraudulent issuance during the application for IPO or refinancing stage, as well as responsible personnel of listed companies compelled to withdraw from the market for having been found to have committed major violations. (China Railway Corporation)
(8) For entities responsible for listed companies on the Star market not paying fines they are given in the time provided, or not performing on public pledges in the time provided; restrict passage on civil aircraft and higher-class train seats for a certain period of time in accordance with the "Opinions on Appropriately Limiting Specified Seriously Untrustworthy Persons from Taking Civil Aircraft for a Certain Period of Time, and Promoting The Establishment of the Social Credit System" and "Opinions on Appropriately Restricting Certain Seriously Untrustworthy Persons from Riding Trains for a Certain Period of Time, and Promoting the Establishment of the a Social Credit System". (Civil Aviation Administration and China Railway Corporation)
(9) Restrictions when conducting reviews for administrative permits for the personnel described above and the enterprises for which they serve as legal representatives or partners. (Development and Reform Commission, State Administration for Market Regulation, Banking and Insurance Regulatory Commission).
(10) Don't allow receipt of honorific titles or awards by the personnel described above and the enterprises for which they serve as legal representatives or partners, and revoke those they have already received. (State-owned Assets Supervision and Administration Commission, State Administration for Market Regulation, Banking and Insurance Regulatory Commission)
(11) Make untrustworthy enterprises and units that have entitites responsible for untrustworthiness as their legally-designated representatives, actual controllers, directors, supervisors and high-level managers, key targets for supervision, increase the force of routine supervision and management, raise the proportion and frequency of random inspections, and administrative supervision and management measures may be adopted against them on the basis of relevant laws and regulations. (Each market administration and industry regulatory department)
V. Other Matters. 为了便利社会公众查询了解相关主体失信记录，引导市场化惩戒发挥作用，证监会对于科创板试点注册制中的前述违法失信行为，按照《证券期货市场诚信监督管理办法》规定，在证券期货市场违法失信信息公开查询平台实施为期一年的公示。
Specific operational issues in the implementation of these Provisions are to be settled by the discreet departments through consultations.
China Securities Regulatory Commission, The National Development and Reform Commission
People's Bank of China, State-owned Assets Supervision and Administration Commission, State Administration for Market Regulation
Banking and Insurance Regulatory Commission, Civil Aviation Administration, China Railway Corporation