Securities Registration Management

证券登记管理应先核对实际主体、Activities and this matter，Confirm registration separately again、Professional work and ongoing maintenance arrangements。First distinguish the continuity of the subject、Equity changes、Asset Transfer and Establishment of a New Entity。contract、Account、Whether the licenses and debts need to be updated separately，Should be confirmed in combination with actual transactions and applicable systems。

Nature of the matter and applicable boundaries

First distinguish the continuity of the subject、Equity changes、Asset Transfer and Establishment of a New Entity。contract、Account、Whether the licenses and debts need to be updated separately，Should be confirmed in combination with actual transactions and applicable systems。

Centered on the registration number，Establishment documents、All changes、Current articles of association and existing materials arranged correspondingly；When a name or personnel inconsistency is found，Indicate the time and basis for changes。

material、Responsibility and Result Verification

Cannot be presumed in this way。Internal approval、External registration、Separate assessment of contract consent and regulatory approval，Save each file and the effective nodes。

Clearly list the program study、Legal document review、Professional signature、Who is responsible for registration submission and handover respectively?；Verify the qualifications of the practitioner when carrying out regulated work，Do not equate coordination with statutory signing。

Check registration results、Current Articles of Association、Record book、Original、Accounts and banks and contract parties that need to be notified，You cannot use a single form sent by the service provider as proof of completion.。

Securities Registration Management：Processing conditions、List of Materials and Official References

证券登记管理由过户登记处/股份登记机构主管。Is it applicable、Handle according to which category of matters，Depends on the subject qualifications、Business activities and actual location/personnel arrangements；Newly established under the same name、change、continue、Cancellation handled separately，Cannot replace each other。

30 Second key point

• Competent authority：过户登记处/股份登记机构
• First, look at the conditions：建立并维护股东名册（Register of Members）。
• 登记服务：按次，1–5 working days
• Validity period：持续维护，年度与审计同步核对。

Supervisory/Approval Authority

过户登记处/股份登记机构

Main basis

属地公司法与证券登记规则（属地主管机关）

Handling method

Online declaration + window/on-site verification (depending on the matter)

Validity period

持续维护，年度与审计同步核对。

Scope of application：First determine which category it belongs to

Situations that usually require handling：

• 需要维护股东名册、处理股份转让与增发的境外公司
• 拟上市或已上市需要合规登记服务的企业

Easily mistaken as needed、But situations that should be verified separately：

• 股东人数极少、无转让安排的私人公司（可自行维护）

Core Conditions (Checked Item by Item)

1. 建立并维护股东名册（Register of Members）。
2. 处理股份发行、transfer、回购的登记与印花税。
3. 配合审计与监管核查，出具登记证明。
4. 上市公司需符合交易所的登记与披露要求。

List of materials and common return points

Organize according to acceptance criteria；portion、The requirements for original document verification shall be subject to the current list of the accepting authority.

Material	Key Points / Common Reasons for Returned Items
股东名册与股权变动记录
股份转让文件
Board resolution
登记机构委任文件

Review and On-site Inspection Focus Points

• 股份转让未登记，受让方无法对抗第三人。
• 未缴印花税影响转让效力。
• 名册与实际持股不一致，审计时会被质疑。

time limit、Validity Period and Subsequent Obligations

project	illustrate
登记服务	按次，1–5 working days
Validity and Renewal	持续维护，年度与审计同步核对。

Cost structure (listed separately)，Avoid vague punches

按登记次数或年度服务计费；上市公司登记服务另计。

Risk and Responsibility Boundaries

• 名册管理不善会导致股权纠纷。
• 跨境转让涉及外汇与税务申报。

Official Basis and Verification Entry

Basis / Entrance	Issuing Authority	Verification method
属地公司法与证券登记规则	属地主管机关	施行 现行有效；The current valid text shall prevail
Hong Kong Companies Registry	—	Visit

Date of consultation of the above materials：2026November 12。The provisions of the regulations shall be based on the officially published current text.；Service guidelines have regional differences and version updates，The actual acceptance requirements shall be subject to the standards of the accepting authority at the current period.。

tidy：52Agency Website Cross-Border Services Team | Content Review：2026November 12Content Standards and Correction Policy

illustrate：This page is a guide for handling conditions and organizing materials，Does not constitute legal advice、Regulatory approval or approval commitment。Submit application、On-site verification、The issuance of certificates and the decision to open accounts are both independently made by the competent authority or the bank.；Specific scope of services、The costs and deliverables shall be subject to written authorization.。

The following are directions for the initial communication and information verification，The official list is according to the current acceptance requirements、Confirmation of the subject and actual matters。

• Entity Registration、Existing qualifications and authorization materials
• Practical activity、contract、Transactions or assets and the corresponding supporting documents
• Equity、personnel、A truthful description of the location and this change
• Original notice、All previous handling records and the matters pending confirmation this time

This page is for the scope of matters and preparation instructions，Does not replace individual laws、tax、Audit or other professional opinions。Processing conditions、Government fees、Processing time and results are determined according to the applicable regulations and review.，No unified guarantee。

List the consultant's work separately before commissioning、government fees、Capital or balance requirements、Professional signing and other third-party fees；Check the final records and items that still need to be handled during the handover。