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深圳证券交易所资产支持证券转让服务协议(2018年)

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style="color:#000000;font-size:18.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;font-weight:bold;">深圳证券交易所资产支持证券转让服务协议</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;font-weight:bold;">甲方:深圳证券交易所</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">法定代表人:</span><span style="color:#000000;font-size:12.0pt;font-family:Simsun;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">&nbsp;&nbsp;&nbsp;</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">住所地:</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;font-weight:bold;">乙方:</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">法定代表人:</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">住所地:</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Simsun;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;"> </span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">甲方是为证券集中交易提供场所和设施,组织和监督证券挂牌转让,实行自律管理的法人,是市场的组织者、运营者和自律管理者。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">乙方自愿向甲方申请其管理的资产支持证券挂牌,并已获甲方同意。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">甲乙双方在自愿平等、协商一致的基础上,订立本协议。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">第一条 乙方在甲方挂牌的资产支持证券的基本情况为:</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">资产支持专项计划全称:</span><span style="color:#000000;font-size:12.0pt;font-family:Simsun;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;text-decoration: underline;">        </span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">资产支持证券简称:</span><span style="color:#000000;font-size:12.0pt;font-family:Simsun;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;text-decoration: underline;">        </span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">资产支持证券代码:</span><span style="color:#000000;font-size:12.0pt;font-family:Simsun;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;text-decoration: underline;">        </span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">挂牌日期:</span><span style="color:#000000;font-size:12.0pt;font-family:Simsun;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;text-decoration: underline;">        </span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">挂牌资产支持证券基本情况发生变更或者新增挂牌资产支持证券的,乙方应当按照甲方要求提交相关申请书等文件,除双方一致认为需要另行签订变更协议或补充协议外,上述文件经甲方认可后,作为本协议的一部分。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">乙方同意,未经甲方认可,上述资产支持证券不在其他场所挂牌转让,也不以其为基础证券发行衍生品种并在其他场所挂牌转让。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">第二条 甲方根据乙方申请,以及甲方发布的规则、细则、办法、指引、通知等业务规则和备忘录、业务指南、流程等其他相关规定,为乙方管理的资产支持证券的发行、挂牌转让、停复牌办理、收益分配、信息披露业务提供设施、咨询以及培训等服务便利。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">第三条 甲乙双方共同遵守有关法律、行政法规、部门规章、规范性文件(以下统称法律法规)、甲方业务规则及其他相关规定。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">第四条 乙方在挂牌时及挂牌后作出的各项承诺,作为本协议的一部分,应当遵守。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">乙方应当督促原始权益人、资产服务机构、托管人、信用增级机构等(以下统称相关方)遵守甲方业务规则及其他相关规定,按照甲方要求签署并遵守承诺及声明,接受甲方的自律监管。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">第五条 乙方同意接受并积极配合甲方依据法律法规、业务规则及其他相关规定和本协议,或基于维护公共利益、市场秩序及投资者合法权益等监管需要,对乙方实施的自律监管。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">第六条 乙方应当诚实守信、规范运作,建立完善的合规、风控制度以及风险处置应对措施,履行收益分配、存续期信用风险管理、信息披露及其他相关义务,并保证信息披露内容的真实、准确、完整、及时、公平,没有虚假记载、误导性陈述或重大遗漏。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">第七条 甲方根据业务规则及其他相关规定,对乙方管理的资产支持证券实施停复牌,作出终止其挂牌的决定。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">第八条 甲方根据业务规则及其他相关规定和监管需要,对乙方进行现场和非现场检查,乙方同意积极配合并督促相关方积极配合。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">前款所述现场检查,是指甲方在乙方的经营、管理等场所,采取查阅、复制、记录、提取文件和资料,采集数据信息,查看实物,谈话及询问等方式,对乙方进行监督检查的行为。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">第九条 乙方违反本协议或出现违规行为的,甲方按照业务规则及其他相关规定,对乙方及相关方采取口头或书面警示、通报批评、公开谴责、收取惩罚性违约金、向相关主管部门出具监管建议函等自律监管措施或纪律处分。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">甲方收取惩罚性违约金遵循收取金额与行为性质、情节轻重、危害程度以及市场影响相适应的原则,惩罚性违约金的适用情形、具体标准、收取程序等由甲方另行规定。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">第十条 乙方应当按照甲方相关通知要求及时足额缴纳挂牌费用,逾期未缴纳的,甲方有权每日按应缴纳金额的0.03%收取滞纳金。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">甲方对挂牌费用收费标准、收费方式等进行调整的,按调整后的执行。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">乙方资产支持证券终止挂牌的,其已经缴纳的挂牌费用不予返还。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">第十一条 因不可抗力、意外事件、技术故障等突发性事件导致资产支持证券交易、信息披露及行情发布等出现异常情况,以及甲方采取相关应对措施造成的损失,甲方不承担民事责任,但存在重大过错的除外。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">第十二条 本协议自双方签字盖章之日起生效,至乙方在甲方挂牌的所有资产支持证券摘牌之日终止。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">第十三条 除本协议第一条的约定外,经双方协商一致,还可以书面方式对本协议作出修改或补充。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">本协议生效后,如因适用法律法规、甲方业务规则及其他相关规定发生变化,导致本协议相关条款与上述规定内容相抵触的,以修订或新颁布的法律法规、甲方业务规则及其他相关规定内容为准。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">第十四条 本协议的执行与解释适用中华人民共和国法律。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">第十五条 甲方建立自律监管内部救济制度,保障乙方根据甲方业务规则的规定,就甲方有关重大自律监管决定行使听证、复核等权利。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">与本协议有关或因执行本协议引起的一切争议及纠纷,双方同意采用以下方式(</span><span style="color:#000000;font-size:12.0pt;font-family:Simsun;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;text-decoration: underline;">    </span><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">)(A或B,二选一)予以解决:</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">A.向有管辖权的人民法院提起诉讼;</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">B.提交深圳国际仲裁院在深圳仲裁。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">第十六条 本协议未尽事宜,按照有关法律法规、甲方业务规则及其他相关规定执行。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">第十七条 本协议一式四份,双方各执二份,具有同等法律效力。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Simsun;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;"> </span><span style="color:#000000;font-size:12.0pt;font-family:Simsun;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">&nbsp;&nbsp;</span><a id="_GoBack" /></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">【本页为《深圳证券交易所资产支持证券转让服务协议》签署页】</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Simsun;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;"> </span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;font-weight:bold;">甲方:深圳证券交易所</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">(单位盖章)</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">法定代表人或授权代表:</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Simsun;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;"> </span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">日期:    年    月    日</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Simsun;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;"> </span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;font-weight:bold;">乙方:</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">(公司盖章)</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">法定代表人或授权代表:</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Simsun;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;"> </span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">日期:    年    月    日</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Simsun;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;"> </span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;font-weight:bold;">特别声明:</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;font-weight:bold;">乙方确认已经认真阅读了本协议,就协议中有关乙方义务以及限制或免除甲方责任的条款,甲方已作出明确解释说明。乙方充分知悉、理解并认可上述条款内容。</span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Simsun;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;"> </span></p> <p class="Normal--Web-"><span style="color:#000000;font-size:12.0pt;font-family:Calibri;mso-fareast-font-family:Calibri;mso-bidi-font-family:Simsun;">乙方法定代表人或授权代表:(签字)</span></p> </div></body></html>

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