上海市鼓励引进技术的吸收与创新规定(2002年修正)
上海市人在常委会
上海市鼓励引进技术的吸收与创新规定
上海市人民代表大会常务委员会公告(第六十六号)
（2000年1月25日上海市第十一届人民代表大会常务委员会第十六次会议通过根据2002年2月1日上海市第十一届人民代表大会常务委员会第三十六次会议《关于修改〈上海市鼓励引进技术的吸收与创新规定〉的决定》修正）
第一条为了鼓励引进技术的吸收与创新，提高本市引进技术的吸收与创新能力，加快产业升级和技术进步，促进经济和社会发展，根据有关法律、法规，结合本市实际情况，制定本规定。
第二条本规定所称引进技术的吸收与创新（以下简称吸收与创新），是指依法通过贸易、经济技术合作等方式，从国外取得先进技术并通过掌握其设计理论、工艺流程等技术要素，成功地运用于生产经营，以及在此基础上开发新技术、新产品并实现商业化的活动。
第三条本规定适用于本市范围内的吸收与创新活动。
第四条吸收与创新应当遵守保护知识产权的法律、法规以及我国加入或者签订的国际条约、协议。
技术进出口合同对技术保密有约定的，从其约定。
吸收与创新所形成的知识产权受法律保护。
第五条市人民政府负责吸收与创新工作的组织、协调，做好宏观调控，限制低水平的重复引进。
上海市经济委员会（以下简称市经委）负责组织编制和实施全市的吸收与创新规划；编制、公布本市吸收与创新重点项目指导目录（以下简称指导目录）和年度计划；指导年度计划项目的实施并组织鉴定和验收。
本市各有关部门以及区、县人民政府根据各自职责，共同做好吸收与创新工作。
第六条企业是吸收与创新的主体，有权根据生产经营的需要和市场需求，自主引进先进适用技术，自主确定吸收与创新的内容和方式。
大型企业或者企业集团可以按照国家有关规定，设立吸收与创新基地，承担国家和本市重大技术装备或者吸收与创新的项目。
职工应当遵守企业依法建立的技术保密制度。
第七条本市鼓励企业与科研单位、高等院校开展吸收与创新的联合研究、联合开发，或者联合建立技术开发机构。
参与吸收与创新项目的各方，应当签订合同，约定有关技术权益的归属以及各方的权利与义务。
第八条企业可以按照指导目录以及规定的条件和程序，申请将本企业的吸收与创新项目列入市吸收与创新年度计划。
市经委接到申请后，应当组织专家，按照公平、公正、合理的原则进行评审，在每年第一季度确定市吸收与创新年度计划的项目，并书面通知申请单位。
第九条本市设立吸收与创新的专项资金，列入市级预算并逐步增加。
吸收与创新的专项资金按照本规定用于吸收与创新项目的低息贷款、贷款贴息和技术开发经费补贴等方面的资助。
吸收与创新的专项资金，由市经委委托的企业技术创新服务中心（以下简称创新服务中心）负责结算管理。
区、县人民政府可以根据本地区经济发展情况和吸收与创新的需要，设立相应的专项资金，用于扶持本地区的吸收与创新项目。
第十条市各有关部门用于技术进步的其他专项资金，应当确定高于百分之十的比例用于鼓励吸收与创新，重点支持引进高新技术的研究开发、成果转化和认证。
第十一条列入市吸收与创新年度计划项目的单位，可以申请低息贷款；获得金融机构贷款的，可以申请贷款贴息。
第十二条下列项目或者技术可以获得技术开发经费的补贴：
（一）属于国家技术创新项目或者本市重点支持的吸收与创新项目；
（二）在吸收基础上创新的、具有市场竞争力或者获得自主知识产权的技术；
（三）未列入市吸收与创新年度计划，但符合指导目录要求，经过市经委组织鉴定，确认其技术上有重大突破并形成一定规模的项目。
第十三条企业用于吸收与创新的技术开发经费，可以按照实际发生额计入成本。
用于吸收与创新的关键设备、测试仪器，单价在规定数额以下的，可以一次或者分次计入成本。
列入市吸收与创新年度计划的项目，经市财政、税务部门审核，可以对设备进行快速折旧，并参照市新产品试产计划或者中试产品计划的规定享受相应优惠。
第十四条吸收与创新项目属于高新技术成果转化的，或者在吸收高新技术基础上创新的成果转让取得收益的，按照国家和本市高新技术成果转化的规定，享受优惠。
第十五条列入市吸收与创新年度计划的项目，可以向市经委申请优先列入市技术改造项目计划，获得贷款贴息的资助。
第十六条吸收与创新的技术或者产品申请国内外专利的，可以分别向市科技行政管理部门、市专利行政管理部门、市经委申请专利申请费、专利维持费、专利代理费的部分资助。
企业引进国外专利技术用于技术开发，属于国内首次运用的，可以凭专利转让或者专利许可合同等有效证明，向市经委申请经费补贴。
第十七条企业在本市建立吸收与创新的下列机构，可以向市经委申请启动经费的补贴：
（一）国家级或者市级的企业技术开发中心；
（二）国家级或者市级的吸收与创新基地；
（三）与科研单位、高等院校联合建立的市级技术开发机构。
第十八条吸收与创新的高新技术产品出口，可以按照国家有关规定享受增值税零税率优惠。
吸收与创新的产品进行技术质量认证，企业可以向市经委申请有关的经费补贴。
第十九条本市吸收与创新年度计划的项目承担单位需要引进外省市专业技术人才的，可以按照规定直接申请办理外省市专业技术人才调入本市的手续；需要引进国外技术管理专家、海外高层次留学人员的，可以按照规定申请有关专项资金的扶持。
对列入市吸收与创新年度计划的项目进行关键技术攻关，需要聘用国外专家的，可依据聘用合同向市有关部门申请经费补贴。
第二十条本市各级机关在采购活动中，在同等条件下，应当优先采购属于扶持发展产业的吸收与创新产品。
第二十一条对吸收与创新作出重大贡献的企业经营者、项目负责人和科技人员，有关部门应当给予奖励。
对吸收与创新作出重大贡献的企业经营者、项目负责人和科技人员，企业应当在吸收与创新产品取得的收益中提取一定比例给予奖励，或者按照国家和本市有关规定将奖励额折算为股份或者出资比例，由受奖励人分享收益。
第二十二条吸收与创新的成果或者产品，可以申请各级科技成果奖项。
第二十三条创新服务中心应当根据市经委批准的吸收与创新项目和款额，与项目单位订立合同，并通过有关金融机构将款额及时足额地拨付给项目单位；项目单位应当按照合同约定的内容履行义务。
第二十四条本市有关部门和创新服务中心的工作人员，在吸收与创新活动中违反本规定，疏于职守、弄虚作假、徇私舞弊，侵犯吸收与创新项目单位合法权益的，由其所在单位或者上级主管部门责令改正，给予行政处分；挪用、克扣、截留吸收与创新专项资金的，由其所在单位或者上级主管部门责令限期归还，给予行政处分；构成犯罪的，依法追究刑事责任。
第二十五条违反本规定第四条，侵犯他人知识产权的，依照相关法律、法规处理。
违反本规定第六条第三款，给企业造成损失的，企业有权要求赔偿，并依照相关法律的规定，追究其违法责任。
第二十六条企业在吸收与创新活动中弄虚作假，骗取低息贷款、贷款贴息或者技术开发经费补贴等资助的，由市经委会同有关部门追回其所得的款额，并由市经委处以所骗款额一至三倍的罚款；骗取其他优惠待遇的，依照有关法律、法规的规定处理。
采取欺骗手段获得奖励的，由市经委及有关部门撤销其奖励，并责令其退回奖励所得。
第二十七条本规定自2000年3月1日起施行。1987年6月20日上海市第八届人民代表大会常务委员会第二十九次会议批准的《上海市鼓励引进技术消化吸收暂行规定》同时废止。
SECURITIES (CLEARING HOUSES) ORDINANCE ——附加英文版
Hong Kong
SECURITIES (CLEARING HOUSES) ORDINANCE
(CHAPTER 420)
CONTENTS
ion
I PRELIMINARY
hort title
nterpretation
II DECLARATION OF CLEARING HOUSES FOR PURPOSES OF THIS
NANCE AND RULES OF CLEARING HOUSES
ecognized clearing houses
ules of recognized clearing houses, etc.
III MODIFICATIONS OF THE LAW OF INSOLVENCY TO SAFEGUARD
ATIONS AND PROCEDURES OF RECOGNIZED CLEARING HOUSES, ETC.
roceedings of recognized clearing house take precedence over law
of
lvency
upplementary provisions as to default proceedings
uty to report on completion of default proceedings
et sum payable on completion of default proceedings
isclaimer of property, rescission of contracts, etc.
Adjustment of prior transactions
Right of relevant office-holder to recover certain amounts
arising
certain transactions
Application of market collateral not affected by certain other
rests, etc.
Enforcement of judgments over property subject to market charge,
etc.
Law of insolvency in other jurisdictions
IV MISCELLANEOUS
Participant to be party to certain transactions as principal
Securities deposited with recognized clearing house
Immunity, etc.
Preservation of rights, etc.
Amendment of Schedules 1 and 2
(Omitted as spent)
Transitional
dule 1 Property which may be subject to a market charge or provided
as
et collateral
dule 2 Requirements for default rules of recognized clearing
houses
dule 3 (Omitted as spent)
Whole document:
rdinance to empower the Commission to declare clearing houses
to be
gnized clearing houses for the purposes of this Ordinance, to
provide
the approval by the Commission of the rules of recognized
clearing
es, to make provision for safeguarding the operations and
procedures
ecognized clearing houses, and to provide for matters
incidental
eto or connected therewith.
ctober 1992] L. N. 324 of 1992
PART I PRELIMINARY
hort title
This Ordinance may be cited as the Securities (Clearing
Houses)
nance.
(Omitted as spent)
nterpretation
In this Ordinance, unless the context otherwise requires--
rge" means any form of security, including a mortgage;
aring house" means a person--
whose activities or objects include the provision of services for
the
ring and settlement of transactions in securities effected
on, or
ect to the rules of, the Unified Exchange; or
who guarantees the settlement of any such transactions;
mission" means the Securities and Futures Commission
established by
ion 3 of the Securities and Futures Commission Ordinance (Cap.
24);
stitution", in relation to a clearing house, means the memorandum
and
cles of association of the clearing house;
ault proceedings" means any proceedings or other action taken
by a
gnized clearing house under its default rules;
ault rules", in relation to a recognized clearing house, means
such of
rules of the clearing house which it is required to have by virtue
of
ion 4 (2);
aulter" means a participant who is the subject of any
default
eedings; "functions" includes duties and powers;
ket charge" means a charge, whether fixed or floating,
granted in
ur of a recognized clearing house--
over any property specified in Schedule 1 which is held
by or
sited with the clearing house; and
for the purpose of securing liabilities arising directly in
connection
the clearing house's ensuring the settlement of one or more
market
racts; "market collateral" means any property specified in
Schedule 1
h is held by or deposited with a recognized clearing house for
the
ose of securing liabilities arising directly in connection
with the
ring house's ensuring the settlement of one or more market
contracts;
ket contract" means a contract subject to the rules of a
recognized
ring house entered into by the clearing house with a
participant
uant to a novation which is both in accordance with those rules
and
the purposes of the clearing and settlement of
transactions in
rities effected on, or subject to the rules of, the Unified
Exchange;
icer" means an officer within the meaning of section 2
of the
anies Ordinance (Cap. 32);
ticipant" means a person who, in accordance with the rules
of a
gnized clearing house, may participate in one or more of the
services
ided by the clearing house in its capacity as a clearing house;
formance", in relation to a function, includes discharge and
exercise;
ognized clearing house" means a clearing house declared under
section
) to be a recognized clearing house for the purposes
of this
nance;
evant office-holder" means--
the Official Receiver appointed under section 75 of the
Bankruptcy
nance (Cap. 6);
any person acting in relation to a company as its
liquidator,
isional liquidator, receiver or manager;
any person acting in relation to an individual as his
trustee in
ruptcy or interim receiver of his property; or
any person appointed pursuant to an order for the
administration in
ruptcy of an insolvent estate of a deceased person;
es", in relation to a clearing house--
means the constitution, rules, regulations or directions, by
whatever
called, governing the membership, management,
operations and
edures of the clearing house; and
without restricting the generality of paragraph (a), includes
rules,
lations or directions relating to--
the provision of clearing and settlement services, and the
suspension
ithdrawal of such services;
the provision of services other than the services referred
to in
aragraph (i);
) the persons who may participate in one or more of the
services
rred to in subparagraphs (i) and (ii); and
setting and levying fees and charges;
urities" means securities within the meaning of section 2
of the
rities Ordinance (Cap. 333);
tlement", in relation to a market contract, includes
partial
lement; "Unified Exchange" means the Unified Exchange
established
r section 27 of the Stock Exchanges Unification Ordinance (Cap.
361).
Where--
a charge is granted partly for the purpose specified in the
definition
market charge" and partly for other purposes, the charge is in
this
nance a market charge in so far as it has effect for that
specified
ose;
collateral is provided partly for the purpose specified
in the
nition of "market collateral" and partly for other
purposes, the
ateral is in this Ordinance market collateral in so far as it has
been
ided for that specified purpose.
References in this Ordinance to the law of insolvency
include
rences to every provision made by or under--
the Bankruptcy Ordinance (Cap. 6);
the Companies Ordinance (Cap. 32); and
any other enactment which is concerned with or in any way related
to
insolvency of a person.
References in this Ordinance to settlement in relation to a
market
ract are to the discharge of the rights and liabilities of the
parties
he contract, whether by performance, compromise or otherwise.
PART II DECLARATION OF CLEARING HOUSES FOR PURPOSES OF THIS ORDI-
NANCE AND RULES OF CLEARING HOUSES
ecognized clearing houses
Where the Commission is satisfied that it is appropriate to do
so in
interest of the investing public or in the public interest, or
for the
er regulation of services for the clearing and
settlement of
sactions in securities, it may, with the consent in writing
of the
ncial Secretary, by notice in the Gazette, declare a clearing
house to
recognized clearing house for the purposes of this Ordinance.
Where the Commission makes a declaration under subsection
(1) in
ect of a clearing house--
it shall give notice thereof in writing to the clearing house;
and
the rules of the clearing house in operation immediately
before the
aration shall continue to have effect unless otherwise
specified, or
l such time as is specified, in the notice referred to in paragraph
ules of recognized clearing houses, etc.
Subject to section 3 (2) (b) and subsection (4), no rules
of a
gnized clearing house (including any default rules of the
clearing
e) or any amendment thereto shall have effect unless
approved in
ing by the Commission.
A recognized clearing house shall have rules which provide
for the
ng of proceedings or other action in the event of a
participant
aring to be unable, or likely to become unable, to
meet his
gations in respect of all unsettled market contracts to which he
is a
y, and such rules shall comply with the requirements of Schedule
2.
Where a recognized clearing house takes any default proceedings,
all
equent proceedings or other action taken under its rules
for the
oses of the settlement of market contracts of which the
defaulter
erned is a party shall be treated as done under the default rules
of
clearing house notwithstanding that, but for this subsection,
such
equent proceedings or other action would not be treated as done
under
default rules of the clearing house.
The Commission may, by notice in the Gazette, declare any
class of
s of a recognized clearing house (except any default rules
of the
ring house) to be a class of rules which are not required
to be
oved under subsection (1) and, accordingly, any rules of that
clearing
e which belong to that class (including any amendment thereto)
shall
effect notwithstanding that they have not been so approved.
Without prejudice to the operation of subsection (4), a
recognized
ring house shall submit or cause to be submitted to the
Commission,
the information of the Commission, any of its rules
(including any
dment thereto )--
which belong to a class of rules the subject of a declaration
under
ection (4); and
as soon as practicable after those rules (or amendment thereto,
as the
may be) are made.
A recognized clearing house shall submit or cause to be
submitted to
Commission for its approval the rules of the clearing house and
every
dment thereto except any rules (including any amendment thereto)
which
ng to a class of rules the subject of a declaration under
subsection
Subject to subsections (8) and (9), the Commission shall,
within 6
s after the receipt of any submission under subsection (6)
from a
gnized clearing house, give notice in writing to the clearing
house
its approval of; or
its refusal to approve,
rules or amendment of the rules, as the case may be, or any
part
eof, the subject of the submission.
The Commission may, in a particular case, with the agreement of
the
gnized clearing house concerned, extend the time
prescribed in
ection (7).
The Financial Secretary may, on the advice of the
Commission and
er generally or in a particular case, extend the time
prescribed in
ection (7).
The Commission may request in writing a recognized clearing
house--
to make rules--
specified in the request; and
within the period specified in the request; or
to amend rules--
referred to in the request;
in the manner specified in the request; and
) within the period specified in the request.
Where the Commission is satisfied that a recognized clearing
house
not complied with a request referred to in subsection (10) within
the
od specified in the request, the Commission may direct in writing
the
ring house to comply with the request within such further period
as is
ified in the direction and, accordingly, the clearing house
shall
ly with that request within that further period.
For the purposes of subsection (10), "rules", in relation
to a
gnized clearing house, do not include the constitution of the
clearing
e.
PART III MODIFICATIONS OF THE LAW OF INSOLVENCY TO SAFEGUARD OPE-
RATIONS AND PROCEDURES OF RECOGNIZED CLEARING HOUSES, ETC.
roceedings of recognized clearing house take precedence over
law of
lvency
None of the following shall be regarded as to any extent
invalid at
on the ground of inconsistency with the law relating
to the
ribution of the assets of a person on insolvency,
bankruptcy or
ing-up, or on the appointment of a receiver over any of the assets
of
rson--
a market contract;
the rules of a recognized clearing house relating to the
settlement of
rket contract;
any proceedings or other action taken under the rules of a
recognized
ring house relating to the settlement of a market contract;
a market charge;
the default rules of a recognized clearing house; or
any default proceedings.
Subject to subsection (3), the powers of a relevant office-
holder in
capacity as such, and the powers of a court under the
law of
lvency, shall not be exercised in such a way as to
prevent or
rfere with--
the settlement in accordance with the rules of a recognized
clearing
e of a market contract; or
any default proceedings.
Subsection (2) shall not operate to prevent a relevant
office-holder
seeking to recover any amount under section 11 after the
completion
matter referred to in paragraph (a) or (b) of that subsection.
upplementary provisions as to default proceedings
A court may on an application by a relevant office-holder make
such
r as it thinks fit altering or releasing him from compliance with
such
he functions of his office as are affected by the fact that
default
eedings are pending or could be taken, or have been or could have
been
n and, accordingly, such functions of the relevant officeholder
shall
onstrued subject to such order.
Nothing in--
section 12, 14 or 20 of the Bankruptcy Ordinance (Cap. 6); or
section 166, 181, 183, 186 or 254 of the Companies Ordinance
(Cap.
shall prevent or interfere with any default proceedings.
uty to report on completion of default proceedings
A recognized clearing house shall, upon the completion by it of
any
ult proceedings, make a report on such proceedings stating in
respect
ach defaulter--
the net sum, if any, certified by the clearing house to be payable
by
o the defaulter; or
the fact that no sum is so payable,
he case may be, and the clearing house may include in that report
such
r particulars in respect of such proceedings as it thinks fit.
A recognized clearing house which has made a report
pursuant to
ection (1) shall supply the report to--
the Commission;
any relevant office-holder acting in relation to--
the defaulter to whom the report relates; or
that defaulter's estate;
if there is no relevant office-holder referred to in paragraph
(b),
defaulter to whom the report relates.
Where the Commission receives pursuant to subsection (2) a report
made
uant to subsection (1), it may publish notice of that fact in
such
er as it thinks appropriate to bring it to the attention of
creditors
he defaulter to whom the report relates.
Where a relevant office-holder or defaulter receives
pursuant to
ection (2) a report made pursuant to subsection (1), he shall,
at the
est of a creditor of the defaulter to whom the report relates--
make the report available for inspection by the creditor;
on payment of such reasonable fee as the relevant office-
holder or
ulter, as the case may be, determines, supply to the creditor all
or
part of that report.
In subsections (2), (3) and (4), "report" includes a copy of a
report.
et sum payable on completion of default proceedings
The provisions of this section shall apply with respect to any
net sum
ified under section 7 (1) (a) by a recognized clearing house, upon
the
letion by it of any default proceedings, to be payable by or
to a
ulter.
Where a receiving or winding-up order has been made, or a
resolution
voluntary winding-up has been passed, any net sum
shall,
ithstanding any of the provisions of section 34 or 35
of the
ruptcy Ordinance (Cap. 6) or section 264 of the Companies
Ordinance
. 32), be--
provable in the bankruptcy or winding-up or, as the case
may be,
ble to the relevant office-holder; and
taken into account, where appropriate, under section 35
of the
ruptcy Ordinance (Cap. 6) or that section as applied in the case
of a
ing-up order under the Companies Ordinance (Cap. 32).
isclaimer of property, rescission of contracts, etc.
Neither section 59 of the Bankruptcy Ordinance (Cap. 6) nor
section
of the Companies Ordinance (Cap. 32) shall apply in relation to--
a market contract;
a contract effected by a recognized clearing house for the purpose
of
izing property provided as market collateral;
a market charge; or
any default proceedings.
Neither section 42 of the Bankruptcy Ordinance (Cap. 6) nor
section
of the Companies Ordinance (Cap. 32) shall apply in relation to
any
matter or thing which has been done pursuant to--
a market contract;
a disposition of property pursuant to a market contract;
the provision of market collateral;
a contract effected by a recognized clearing house for the purpose
of
izing property provided as market collateral, or any
disposition of
erty pursuant to such a contract;
a disposition of property in accordance with the rules of a
recognized
ring house as to the application of property provided as
market
ateral;
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