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一、向外商转让上市公司国有股和法人股,应遵循的原则:(一)遵守国家法律法规,维护国家经济安全和社会公共利益,防止国有资产流失,保持社会稳定;(二)符合国有经济布局战略性调整和国家产业政策的要求,促进国有资本优化配置和公平竞争;(三)维护股东特别是中小股东的合法权益;(四)吸引中长期投资,防止短期炒作,维护证券市场秩序。二、向外商转让上市公司国有股和法人股,应当符合《外商投资产业指导目录》的要求。凡禁止外商投资的,其国有股和法人股不得向外商转让;必须由中方控股或相对控股的,转让后应保持中方控股或相对控股地位。
I. Principles for the transfer of state-owned shares and legal person shares of listed companies to foreign investors: (1) To abide by the state laws and regulations, safeguard national economic security and public interests, prevent the loss of state-owned assets and maintain social stability; (2) Comply with the strategy of the state-owned economy (3) Maintaining the legitimate rights and interests of shareholders, especially small and medium-sized shareholders; (4) Attracting medium and long-term investments, preventing short-term speculation and safeguarding order in the securities market. Second, the transfer of state-owned shares and legal person shares of listed companies to foreign investors shall comply with the requirements of the Catalog for the Guidance of Foreign-funded Industries. Where a foreign investment is forbidden, its state-owned shares and legal person shares may not be transferred to foreign investors; if it is to be controlled by or controlled by the Chinese party, the state-controlled shares or the legal person shares shall be retained as controlled or relatively controlled by the Chinese party after the transfer.