珠海市企业上市挂牌奖励实施细则

横琴新区管委会、各区政府（管委会）、市直各单位：

经市政府同意，现将《珠海市企业上市挂牌奖励实施细则》印发给你们，请认真做好执行工作。

特此通知。

附件：1.《珠海市企业上市挂牌奖励实施细则》

2.《企业上市挂牌奖励资金申领审批表》

                                        珠海市金融工作局

2019年5月23日

附件1：

珠海市企业上市挂牌奖励实施细则

第一条 为深入贯彻十九大提出“把发展的着力点放在实体经济上”的工作要求，有效降低实体经济企业成本，缓解实体经济企业困难，优化企业发展环境，助推企业转型升级，进一步加大扶持企业上市挂牌力度，鼓励、推动更多企业利用资本市场实现跨越发展，根据《广东省人民政府关于印发广东省降低制造业企业成本支持实体经济发展若干政策措施（修订版）的通知》（粤府〔2018〕79号）文件精神，并结合我市实际制定本细则。

第二条 企业上市挂牌奖励按照“公开、公平、公正”的原则，由企业自愿申请，政府相关部门审核，社会进行监督。

第三条 市金融工作局、市财政局等相关单位，按照本细则的规定，负责企业上市挂牌奖励的相关工作。

第四条 企业上市挂牌奖励从每年安排的金融发展专项资金中支出。

第五条 企业上市挂牌奖励范围和对象如下：

（一）境内上市挂牌。

拟申请奖励资金的境内上市挂牌公司或拟上市挂牌企业，其上市挂牌主体须在珠海市辖区内依法进行工商注册和税务登记。

（二）境外上市。

1.注册地在我市、直接赴境外上市的企业。

2.通过将我市注册的企业注入境外拟上市公司等间接方式实现境外IPO，境外上市公司的收入主要来源于我市注册企业、境外上市募集的资金50%以上投放在我市注册企业的，可以申领境外上市奖励资金。奖励资金支付给境外募集资金投放到我市注册的企业。

所称“企业上市”是指我市企业在境内外资本市场挂牌发行上市，包括国内主板、中小板、创业板、科创板、境外证券交易所以及市政府认可的其他股权类交易市场。所称“企业挂牌”，包括全国中小企业股份转让系统（“新三板”）以及市政府认可的其他股权类交易市场。

（三）区域股权交易市场再融。

拟申请奖励资金的企业为注册在我市的企业，且在广东省区域股权市场成功融资，或在“广东省高成长中小企业板”挂牌并融资。

第六条 奖励标准：

（一）企业在国内主板、中小板、创业板、科创板上市。

1.企业在券商、律师、会计师等上市挂牌中介机构的辅导下，完成股份制改造并取得股份公司营业执照的，给予奖励资金最高不超过10万元。

2.企业聘请中介机构进行上市辅导，同时向中国证监会或上交所申报上市挂牌发行材料的，给予奖励资金最高不超过40万元。

3.企业在主板、中小板、创业板、科创板成功挂牌的，给予奖励资金最高不超过100万元。

（二）企业在新三板挂牌。

1.企业在券商、律师、会计师等上市挂牌中介机构的辅导下，完成股份制改造并取得股份公司营业执照的，给予奖励资金最高不超过10万元。

2.通过主办券商内核并向全国中小企业股份转让系统公司上报发行材料的，给予奖励资金最高不超过20万元。

3.企业在全国中小企业股份转让系统成功挂牌的，给予奖励资金最高不超过20万元。

4.新三板企业进入创新层的，给予奖励资金最高不超过30万元。

5.新三板企业挂牌后已获得奖励资金，到境内外主板、中小板、创业板、科创板上市的，给予奖励资金最高不超过100万元。

（三）企业在境外上市，给予奖励资金最高不超过100万元。

（四）企业在异地收购上市公司并将上市公司注册地迁回我市的，给予奖励资金最高不超过100万元。

（五）上市公司在境内外资本市场通过配股、增发、发行公司债等方式再融资，且募集资金50%以上投放我市的，按再融资金的1‰进行奖励，奖励资金最高不超过80万元。

（六）对在我省区域股权市场发行可转换为股票的公司债券或增资扩股成功进行直接融资的民营企业，按直接融资额最高不超过1%给予补助，每家企业的补助金额不超过100万。

在“广东省高成长中小企业板”挂牌的企业，按融资金额最高不超过1.5%给予补助，每家企业不超过150万。

第七条 申领企业上市挂牌奖励，应当提交以下申请材料：

（一）《企业上市挂牌奖励资金申领审批表》。

（二）核准变更登记通知书、企业营业执照、国(地)税登记证、组织机构代码证。

（三）广东省证监局辅导备案登记确认书；中国证监会行政许可申请受理通知书；上海证券交易所申请受理通知书。

（四）中国证监会或上交所关于核准IPO发行或优先股，配股、公司债、可转债、优先股等上市挂牌和再融资的文件。

（五）境外上市相关证明文件、外汇进账单等。

（六）境外上市再融出具的批准文件及外汇进账单。

（七）券商出具的内核报告、全国中小企业股份转让系统公司的受理文件。

（八）全国中小企业股份转让系统公司出具的同意挂牌的函。

（九）区域股权市场出具发行可转换为股票的公司债券的函件或同意增资扩股的证明文件。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        

（十）在“广东省高成长中小企业板”挂牌并获得融资的证明文件。

（十一）市金融工作局认为需要提供的其他材料。

以上材料按申请奖励的内容分阶段提供，其中申领股改奖励需提交第（一）（二）项材料；申领上市辅导奖励需提交第（一）至（三）项材料；申领上市奖励需提交第（一）至（四）项材料；申领新三板内核奖励需提交第（一）（二）（七）项材料；申领新三板挂牌奖励需提交第（一）（二）（七）（八）项材料；申请境外上市奖励需提交第（一）（五）项资料；申请上市公司再融的需分别提交（一）（四）或（一）（六）项资料；申请区域股权市场直接融资奖励的需提供（一）（九）项资料；申请广东省高成长中小企业板融资奖励的需提交（一）（十）项资料。申请复印件加盖企业公章、原件备查。

第八条 申报流程

（一）注册。申报单位登录珠海市财政专项资金申报和管理平台（http://ywgl.zhcz.gov.cn），并按如下次序进行注册:单位注册—获取单位管理员的登录账号和密码（账号默认为组织机构代码，可以在登录之后绑定手机或邮箱，即可用手机号或者邮箱号登录）—完善本单位基本信息——添加项目申报人。

（二）网上申报。项目网上申报截止时间为当年10月31日，逾期未申报的可顺延到下一年。项目申报人登录系统完善个人基本信息后，点击“填写申请书”—“新增项目申请”—“企业上市挂牌奖励资金”，并按第七条要求提交相关申报材料。

（三）网上审核。

1.各区（功能区）金融工作部门需在企业提交申报材料后15个工作日内，通过管理平台对申报材料进行预审，认为符合申领条件的，出具审核意见函并将申请材料在管理平台中提交市金融工作局审核；认为不符合条件或者有疑问的，应在管理平台中加注理由后将申请材料退回申报单位。申报单位须自行登录申报系统查询预审结果，预审不合格的项目，可在预审后的5个工作日内，修改补充申报资料后重新提交预审。

2.市金融工作局收到区级金融工作部门预审过的申请材料后15个工作日内在管理平台中完成审核，认为符合申领条件的，出具审核意见函并将申请材料在管理平台中送市财政局复审；认为不符合条件或者有疑问的，应在管理平台中加注理由后将申请材料退回区级金融工作部门。

（四）书面材料提交。网上审核合格后，企业从网上申报系统下载打印申请表及通知要求的所有资料，按顺序装订成册一式2份，加盖企业公章，报送市金融工作局。申报企业须在网上审核合格后三个工作日内提交书面申报材料，逾期未提交书面申报材料的企业取消当期补助资格。

（五）奖励资金拨付。市金融工作局根据企业提交完整的书面申报材料，于申报年度的12月30日前汇总所有项目情况，书面征求市财政局意见后报市政府审定，待市政府批复后，由市金融工作局办理资金拨付手续，将奖励资金拨付给有关企业。

第九条 成功申请上市挂牌奖励的企业，应在珠海连续经营不少于3年（从企业获得最后一笔上市挂牌奖励资金到账之日起计算），否则须全额退回财政奖励资金。

企业可分阶段申领上市挂牌奖励资金，但不得重复领取。

第十条 企业提供虚假材料、骗取企业上市挂牌奖励资金的，要按有关规定严肃查处，并追回奖励资金；情节严重的，追究相关法律责任。

第十一条 各区（功能区）对企业上市挂牌奖励标准和奖励工作由各区（功能区）自行确定和组织。各区政府（管委会）可参照市政府奖励标准执行。

第十二条 本细则由市金融工作局会同市财政局解释。

第十三条 本细则从2019年6月30日起实施，有效期至2022年6月30日。本细则实施前出台的相关规定与本细则不一致的，按照本细则执行。《关于印发<珠海市企业上市挂牌奖励实施办法>的通知》（珠金〔2017〕254号）同时废止。

附件2：《企业上市挂牌奖励资金申领审批表》.docx

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