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Rules for the Implementation of Intellectual Property Transactions (Shanghai United Property Rights Exchange)

Chapter I General Provisions

Article 1 In order to implement the spirit of the Shanghai Municipal People's Government's "Opinions on the Implementation of the Work of Promoting Pledge Financing of Intellectual Property Rights in the Municipality", to standardize intellectual property transactions, to protect intellectual property transactions, and to fully and effectively allocate intellectual property rights, these rules are hereby formulated in accordance with the relevant laws and regulations of the State. These Rules.

Article 2 These Rules shall apply to the intellectual property rights trading activities in Shanghai Stock Exchange (hereinafter referred to as the "Stock Exchange").

Article 3 Intellectual property rights transactions should be guided by the following principles:

(a) compliance with laws, regulations and relevant policies;

(b) optimize the allocation of resources;

(c) voluntary, equal and remunerative;

(d) open, fair and just.

Chapter II: Subjects and Scope of Transactions

Article 4: Subjects of transactions referred to in these Rules refer to the transferor and transferee of intellectual property rights entrusted to the Stock Exchange for transactions.

(1) The transferor:

1. The pledgee whose debt has not been satisfied by the expiration of the debt fulfillment period of the loan pledged with intellectual property rights. (Legal persons, natural persons or other organizations)

2. Legal persons, natural persons or other organizations that own independent intellectual property rights in accordance with the law, and enjoy rights and interests such as the right to operate in relation to intellectual property rights in accordance with the law.

(2) Transferee

A legal person, natural person or other organization that has been confirmed by the Stock Exchange to have the right to apply for purchase in intellectual property rights trading activities, has the civil rights and civil capacity to independently assume civil liability, and meets the conditions for transfereeing specific items of intellectual property rights pledges and has gone through the necessary formalities, such as the trading procedures.

Article 5 The subject matter of the transaction referred to in these Rules refers to the registered trademark rights, transfer rights and copyrights (copyrights) entrusted to the Stock Exchange.

Chapter III Transaction Methods

Article 6 Depending on the nature of the subject matter of the transaction and the number of bidders, the transaction may be carried out in the following six ways:

(1) Transfer by Agreement;

(2) Electronic Bidding;

(3) One-off Bidding;

(4) Comprehensive Evaluation of Bidding Method;

(5) Bidding or auction;

(vi) Other methods stipulated by laws and regulations.

Chapter IV Transaction Process

Article VII of the intellectual property rights trading projects in accordance with the application for registration, confirmation of the right to reassessment, review of the listing, information dissemination, bidding and trading, contract signing, transaction authentication, settlement and delivery, and change the registration process.

The first step: apply for registration, confirm the reassessment of rights

Article VIII Application for Registration

(a) Where the Stock Exchange entrusted to the transfer of intellectual property rights transactions, shall fill out the "transferor registration form".

(2) Any transferee who entrusts the Exchange with the transaction of intellectual property rights shall fill in the Registration Form for Transferees.

(iii) The subject of the transaction shall fill in the relevant forms truthfully and completely.

1. The subject of the transaction shall guarantee that the information filled in and the materials provided are true, reliable and legal, and shall bear all legal responsibilities arising therefrom.

2. The subject of the transaction shall provide the corresponding written and electronic materials at the same time.

3. The subject of the transaction shall produce supporting materials, including: business license, a copy of the ID card of the legal representative or a copy of the personal ID card, the valid documents proving the intellectual property right certificate of the transfer, and other materials that need to be provided.

Article IX Right Establishment and Reassessment

The Stock Exchange shall uniformly accept right establishment and reassessment of listed projects.

Step 2: Review of listing, information dissemination

Article 10 Review of listing

Review of contents:

1. Completeness and standardization of filling in all paragraphs of the registration form.

2. The variety, quantity and format of supporting materials shall meet the specified requirements.

3, intellectual property rights vouchers true and effective. Including:

1) The intellectual property rights owned by legal persons, natural persons or other organizations are recognized and protected by the Patent Law of the People's Republic of China, the Copyright Law of the People's Republic of China, the Trademark Law of the People's Republic of China, and other relevant intellectual property rights protection laws and relevant regulations promulgated by the relevant state intellectual property rights administration agencies.

2) The valid remaining term of the intellectual property rights enjoyed by a legal person, natural person or other organization shall be not shorter than the term of the loan plus 24 months from the date of expiration of the term of the loan.

3) The owner of the intellectual property rights has paid the annual intellectual property fee in full and on time.

4) The owner of the intellectual property rights has made a written commitment not to relinquish his intellectual property rights before the full repayment of the principal and interest on the loan.

4, the project paper materials and electronic version of the same material.

5, for the bank to provide support for property rights pledge loan project, if the loan period expires after the borrower can not repay the loan to the Stock Exchange, the need to be unified by the Stock Exchange on the pledge of intellectual property rights to re-confirmation and evaluation before listing.

6. According to the relevant national laws and regulations, the content of the submitted project materials will be examined to see if they are of legal utility, involve jeopardizing the national economic interests or security interests, and so on.

7. The Stock Exchange shall communicate with the subject of the transaction entrusted to ensure that the materials submitted by it comply with the Stock Exchange's requirements for public listing, and shall give a record of non-compliance with the requirements that are not passed by the review, leave a record of disposal, and issue relevant explanations.

8. The written and electronic materials of the projects approved for listing are filed and organized, and according to the project category, the project number is assigned to the listed project, and the listing process is initiated.

9. The Exchange will review all the materials submitted by the trading entity within five working days and issue a notice of approval or disapproval for listing.

Article XI Listing and Information Release

The Stock Exchange enters complete information on listing requirements into the Stock Exchange's internal trading system and releases it publicly in the following forms:

1. Website promotion;

2. Organization of various trading promotion conferences;

3. News media publicity and promotion;

4. Stock Exchange intranet Directed release;

6. Other methods.

Step 3: Organization of trading and signing of contract

Article 12: Bidding and trading

(1) The main body of the transaction may carry out inspections, investigations, consultations, arguments, and intentional negotiations based on the information of the projects listed for trading.

(ii) The Exchange shall determine the trading methods and organize the implementation according to the characteristics of the projects listed for trading of intellectual property rights.

Article XIII Transaction Authentication

(1) Contract Signing

After reaching an agreement on the substantive conditions of the transaction, the subject of the transaction shall sign an Intellectual Property Transaction Contract in accordance with the relevant provisions of the Contract Law of the People's Republic of China. After the transaction contract is signed and sealed by the subject of the transaction, the Exchange issues a transaction confirmation notice and gives the transaction for the record.

(2) Transaction Contract

The transaction contract shall contain the following contents:

1, the subject of the transaction;

2, the name, residence and legal representative of the subject of the transaction;

3, the transaction price, and the method and period of payment;

4, the liability for breach of contract;

5, the method of contract dispute resolution;

6, the date of signing;

7, other matters to be agreed upon.

The Intellectual Property Transaction Contract shall be in triplicate, with one copy held by each of the two parties of the subject of the transaction and one copy filed with the Stock Exchange.

(3) Transaction Authentication

1, the name and legal representative of the subject of the transaction;

2, the subject of the transaction;

3, the price of the transaction, the method of payment and the period;

4, the date of signing;

5, the Exchange's transaction contract filing number.

Step 4: Settlement and Delivery, Change of Registration

Article 14 Settlement and Delivery and Change of Registration

The Stock Exchange shall be responsible for the settlement of the unified transaction price and related fees on the floor and shall supervise and assist the trading entities in handling the settlement, delivery and change of registration in accordance with the contractual agreements and relevant laws and regulations.

Article 15 Fees and Charges

The fees and charges shall be based on the fees and charges for property rights transactions of the Shanghai Stock Exchange.

Chapter V Dispute Settlement and Legal Liability

Article 16 Dispute Settlement

The parties to the transaction may apply for mediation with the Stock Exchange if disputes arise in the course of the transaction; they may also apply for arbitration by holding a hearing or file a lawsuit with the People's Court according to the agreement of the contract.

Article XVII: Handling of Violations

The parties to the transactions conducted by the Stock Exchange, as well as the intermediaries that provide the relevant documents and materials for the transactions, in the event of any violation of these Rules resulting in losses, the violator shall be held responsible for the corresponding compensation, and in the event of any violation of the laws and regulations, the relevant persons shall be investigated for their legal responsibilities in accordance with the laws and regulations.

Chapter VI Supplementary Provisions

Article XVIII of the intellectual property rights transactions involving the matters specified in these rules, in accordance with the state, the Shanghai Municipal relevant laws and regulations.

Article XIX of these rules by the Stock Exchange is responsible for the interpretation of these rules in the implementation of the process can be issued by the Stock Exchange of the relevant supplementary rules, and these trading rules have the same effect.