Chapter I Gen

Chapter I General Provisions

Article 1 This exchange is formulated in accordance with the general principles of civil law of the people's Republic of China, property law of the people's Republic of China, electronic signature law of the people's Republic of China, contract law of the people's Republic of China and other laws and regulations for the purpose of online trading of standardized intellectual property products of the Hong Kong Intellectual Property Exchange (HKIPX), safeguard the trading order of HKIPX and protect the legitimate rights and interests of investors and members Easy rules.

Article 2 All registered members participating in HKIPX must abide by these rules.

Article 3 These Rules shall apply to all intellectual property standardization transactions conducted by HKIPX.

Article 4 The HKIPX trading platform shall follow the principles of openness, fairness and impartiality.

Article 5 Members participating in HKIPX intellectual property standardization transaction shall abide by relevant national laws and regulations and HKIPX business rules in the spirit of voluntariness, compensation and good faith.

Chapter II Aembers

Section 1 Aembership investor

Article 6 Natural person investor members trading on the HKIPX trading platform must provide all kinds of supporting materials in accordance with relevant provisions and meet the following conditions:

1) Natural persons over 18 years old and under 60 years old with full capacity for civil rights and full capacity for civil conduct;

2) Have a certain understanding of the intellectual property standardization trading market and have certain market trading experience;

3) Have a deep understanding of the trading mode and investment risk of HKIPX, and have strong risk identification ability and risk tolerance ability;

4) Have certain Internet and computer operation ability, abide by relevant national laws and regulations, and engage in trading activities according to law;

5) Other conditions specified by HKIPX.

Article 7 investors and members of legal persons, institutions and other organizations that conduct standardized transactions of intellectual property rights on the HKIPX trading platform must provide various supporting materials in accordance with relevant provisions:

1) Application for membership

2) Copy of the company's business license (to pass the latest annual industrial and commercial inspection)

3) Certificate of legal representative and certificate of authorization of legal person

4) Copy of ID card of legal representative

5) Copy of ID card of authorized client

6) Other materials required by the Institute

At the same time, it has the following conditions:

1) Enterprise legal persons or other economic organizations registered by the administrative department for Industry and commerce;

2) There are no situations in which investment is prohibited or restricted by laws and regulations, HKIPX member management regulations and corresponding transaction rules in all kinds of normal operation enterprises, institutions, social organizations or other organizations at home and abroad;

3) Have a deep understanding of the trading mode and investment risk of HKIPX, and have strong risk identification ability and risk tolerance ability;

4) Understand the investment risks of intellectual property standardized products, and have completed the internal decision-making procedures stipulated in the legal procedures and the articles of association;

5) The enterprise has good reputation without bad credit record, administrative punishment and negative news;

6) Other conditions specified by HKIPX.

Article 8 Employees of institutions who use the HKIPX trading system must register one by one according to the requirements of natural persons.

Article 9 Investor members must abide by the relevant provisions and business rules of HKIPX, accept the supervision and management of relevant administrative departments and relevant departments of HKIPX; abide by social and public morality, mutual respect, strict self-discipline, consciously maintain normal trading and settlement order, fully exercise their legal rights and consciously safeguard the commercial reputation of HKIPX.

Article 10 Investor members shall declare and pay all taxes they shall bear in accordance with the law, so as to avoid negative impact on HKIPX caused by tax evasion and tax evasion.

Section 2 Classification of members

Article 11 HKIPX members are divided into investor members and brokerage members.

Article 12: The member who has passed the HKIPX examination is a natural participant of the HKIPX trading platform.

Article 13 Brokerage members are institutional members approved by the HKIPX professional committee, and are allowed to engage in one or more of the following businesses:

1) For market promotion and development, develop investor members;

2) Assist HKIPX to handle the transaction procedures of investor members;

3) To provide trading training, trading consultation and trading guidance for investor members;

4) Assist HKIPX to control the risk of trading behavior of investor members;

5) Apply for listing and trading of standardized products of knowledge products;

6) Apply for registration of standardized products of knowledge products;

7) Apply for recustody transaction of standardized products of knowledge products;

8) Join the Professional Committee;

9) Other business specified by HKIPX.

Article 14 The broker member does not represent HKIPX under any circumstances. The relationship between investor members and brokerage members is a voluntary contractual relationship, which has nothing to do with HKIPX.

Article 15 Investors have the right to complain to HKIPX for the illegal and illegal behaviors of brokerage members.

Section 3 Member registration

Article 16 If an investor member participates in the trading of HKIPX's standardized knowledge products, it shall apply for membership of HKIPX in advance in accordance with relevant regulations.

Article 17 HKIPX members shall adopt the real name system.

Article 18 Investor members shall provide membership application materials as required, and shall be legally responsible for the authenticity, accuracy, completeness and legality of the information submitted.

Article 19 If the information submitted by an investor member meets the requirements after verification and signs the investor member account opening agreement, transaction risk reminder and account opening application form with HKIPX in writing or online, the investor member will be officially qualified as an investor member of HKIPX.

However, If the member does not comply with the rules of HKIPX, such as the member registration, the investor's acceptance of HKIPX's product registration, and the investor's acceptance of HKIPX's product registration, the investor's acceptance of HKIPX's product registration and custody, etc.

Article 21 When an investor member signs a transaction risk reminder, it shall be deemed that he has carefully read the risk reminder and voluntarily undertakes the risks arising from the transaction.

Section 4 Trading account

Article 22 A member must open a capital account in a bank designated by HKIPX and open a bank merchant transfer business.

Article 23 one member of HKIPX corresponds to one trading account.

Article 24 members agree that HKIPX shall settle each transaction according to the member's transaction application and electronic contract, including allocating funds, paying transaction fees and adjusting the holdings of trading objects.

Article 25 HKIPX shall provide electronic version of transaction account settlement statement.

Article 26 The funds of a member may be transferred freely between the trading account and the bank fund account, and the expenses shall be borne by themselves. HKIPX has the responsibility and right to supervise the fund transfer. For the fund transfer delay caused by the fund supervision, the member shall bear the relevant consequences.

Section 5 Membership management

Article 27 HKIPX will check the basic information of its members from time to time, such as providing false information, not updating major change information in time, and Within six months, the company violates laws and administrative regulations and is subject to administrative punishment and the circumstances are serious; suspected crimes are filed for investigation by the judicial organ or suspected of violation of laws and regulations are filed for investigation by relevant departments without clear conclusion; other situations seriously damage the legitimate rights and interests of investors and social and public interests; engaging in activities that seriously damage the interests and reputation of the exchange; and seriously violating the relevant management of the exchange Those who fail to make corrections within the time limit stipulated by the exchange or cause heavy losses to the exchange, disclose the relevant information or information of the exchange or its professional service institutions to other third-party institutions or individuals without the consent of the exchange, take measures such as coercion, fraud, bribery and malicious collusion, hinder the normal operation of services, and other situations that do not conform to the relevant provisions of HKIPX, may be frozen Its member account and deal with it according to the situation.

Article 28 For the members who violate the management regulations and business rules of HKIPX, hkipx has the right to give warning, notice of criticism, fine, rectification within a time limit, suspension of trading, restriction of trading authority, termination of membership and other penalties according to the nature of their behavior and the seriousness of the circumstances; those suspected of violating the law or committing a crime shall be prosecuted or transferred to the public security and judicial departments for handling.

Article 29 If a member disagrees with the decision of HKIPX, it shall have the right to apply to HKIPX for reconsideration in writing within 3 days after receiving the decision. HKIPX accepts and makes a decision on the member's application for reconsideration. The period of reconsideration shall not affect the execution of the decision.

Chapter 3 Standardized products of knowledge products

Section 1 Standardized product catalogue of knowledge products

Article 30 the standardized products of knowledge products traded in HKIPX are limited to the following five categories:

1) Brand name;

2) Patent technology;

3) Copyright assets;

4) Digital assets;

5) Other intangible assets;

Article 31 There are several trading varieties among the five major products traded in HKIPX, and all trading varieties are recorded in the standardized product catalog of HKIPX knowledge products. HKIPX implements the standardized product access system for listed knowledge products. All trading C products must be registered according to the number specified in the HKIPX catalogue before trading.

Article 32 Each product item shall include the name, code, trading unit and range of price increase, etc.

Article 33 HKIPX is the only organization that publishes and maintains the catalogue of trading products.

Section 2 Listing application

Article 34 Investor members may entrust HKIPX brokerage members to submit listing application to HKIPX. Investor members and brokerage members shall submit to HKIPX the listing agency agreement, listing application, analysis and Research Report on standardized products of intellectual products, and letter of commitment of holders, etc.

Article 35 When an investor member submits an application for listing to HKIPX, it shall be deemed that the investor member accepts all trading terms of HKIPX and undertakes the rights and obligations of investor member.

Article 36 The "analysis and Research Report on standardized products of knowledge products" provided by brokerage members includes but is not limited to the research on the legality, market scale, market trend and investment value of standardized products of knowledge products, and the evaluation report on the value of standardized products of knowledge products issued by professionals. The report on the analysis and research of standardized products of knowledge products should comprehensively analyze the factors affecting the investment value of standardized products of knowledge products and the favorable factors of the market, and predict the reasonable investment value of standardized products of knowledge products by using the valuation methods recognized by the industry.

Article 37 The following requirements shall be observed in writing the analysis and Research Report on standardized products of knowledge products:

1) Independent, prudent and objective;

2) The data quoted shall be true, accurate and complete, and the source shall be indicated;

3) There are no false records, misleading statements or major omissions.

Article 38 The feasibility study report of market analysis is only for the reference of investors and members, and can not be used as the commitment or approval of hkipx on the investment prospect of standardized products of the knowledge products.

Article 39 After receiving the listing application, HKIPX shall conduct a preliminary audit within five working days. After passing the review, HKIPX shall organize the expert committee of HKIPX for review. After passing the review, HKIPX shall issue a reply letter to the listing applicant.

Article 40 For the standardized products of knowledge products listed in the public solicitation and listing list announced by HKIPX, after being examined and approved by the listing audit team, the products can directly enter the listing custody process, and can be listed for trading when they meet the requirements of trading rules.

Article 42 After the standardized products of knowledge products are examined and approved by the relevant departments of HKIPX, HKIPX will publish a listing announcement on its official website and enter the list of standardized products of listed knowledge products.

Section 3 Admission registration

Article 43 Investor members holding standardized products of listed knowledge products of HKIPX may apply to HKIPX for admission registration through written and e-mail channels recognized by HKIPX before the custody day after the release of custody announcement by HKIPX. The following documents shall be submitted for the written application: application for admission registration, letter of commitment of the holder, agreement on authorization for admission registration, application form for custody, and identity certificate of the holder. If the investor member entrusts others to handle the identification and warehousing matters on behalf of the investor, the power of attorney and the identity certificates of the consignor and the entrusted person shall be submitted; confirmation shall be made when submitting the application for admission registration Have read carefully and fully understand and accept all the terms and conditions in the letter of commitment of the holder. If the application is submitted by email, the relevant information of the above written application shall be submitted on the trusteeship day. Admission registration application must be approved by HKIPX before entering the custody process.

Article 44 Within two trading days after completing the custody and warehousing procedures, the investor member must pay the listing fee to the trading center through the trading client. If the investor member fails to pay the listing fee in time within the prescribed time, a late fee of 0.1% of the market value of the standardized products of listed knowledge products shall be charged for each day of delay. The appraisal fee shall be collected on site, and the standardized product appraisal of knowledge products shall be conducted with the payment certificate.

Article 45 The products applied for entering the market shall be put into the trusteeship storehouse after passing the appraisal by a professional institution; for the products that fail to meet the warehousing requirements after being appraised, the appraisal institution shall return the products to the applicant for listing.

Article 46 After the products applied for listing by investor members have been identified and put into storage by HKIPX, the hkipx custody center shall issue the authentication custody form and transfer the appraisal custody form to the trading account position of the investor member within the specified time. After the investor member has paid the listing fee at the trading client, HKIPX will unfreeze all or part of the investor member's position before listing.

Article 47 After the listing product code and the actual number of the investor member's trading account are generated, the various rights and interests claimed in the appraisal custody sheet holder union shall be transferred to the investor member's trading account, and the investor member shall not claim any rights and interests from the third party appraisal institution and HKIPX custody department by virtue of the appraisal custody.

Article 48 If the investor member is an institutional legal person, the physical custody shall be signed and sealed by the legal representative or its entrusted agent; if the investor member is a natural person, it shall be signed and confirmed by the holder himself or his entrusted agent.

Article 49 After the custody process is completed, HKIPX will timely release the product custody and warehousing announcement.

Section 4 Application for recustody

Article 50 The listed products can be re deposited only when the re custody conditions are met. HKIPX will issue a re custody announcement on its official website.

Article 51 When HKIPX publishes the relevant product re custody announcement, the applicant may entrust the HKIPXbrokerage member to submit the re custody applicat