股票代持協(xié)議的監(jiān)管要求解讀分析

股票代持協(xié)議的監(jiān)管要求解讀分析合同編號(hào)：__________stocknomineeagreementstocknomineeagreementismadeandenteredintoasoftheeffectivedate,andbetween(nominee'sname),hereinafterreferredtoas"nominee",and(shareholder'sname),hereinafterreferredtoas"shareholder".backgroundWHEREAS,theshareholderownscertainsharesof(issuer'sname),hereinafterreferredtoas"issuer",whicharerepresentedcertificate(s)ofissuedthenominee;WHEREAS,thenomineeiswillingtoactasthenomineeforthesharesownedtheshareholder,andtheshareholderdesirestohavethenomineeholdandregisterthesharesinthenominee'snameonthebooksoftheissuer;NOW,THEREFORE,inconsiderationofthemutualpromisescontainedhereinandforothergoodandvaluableconsideration,thereceiptandsufficiencyofwhicharehereacknowledged,thepartiesheretoagreeasfollows:1.appointmentofnominee1.1theshareholderhereirrevocablyappointsthenomineeasthenomineeforthesharesandagreesthatthenomineeshallhaveallrightsandpowersincidenttotheownershipoftheshares,includingtherighttovotethesharesandtoreceivedividendsandotherdistributionspaidormadeontheshares.1.2thenomineeagreestoholdandregisterthesharesinthenominee'snameonthebooksoftheissuerandtoholdthesharesfortheaccountoftheshareholderandtovotethesharesinaccordancewiththeinstructionsoftheshareholder.2.representationandwarrantyofshareholdertheshareholderrepresentsandwarrantstothenomineethat:2.1theshareholderistherecordownerofthesharesandhasgoodandmarketabletotheshares,freeandclearofanyliens,encumbrances,orclaimsofanynature;2.2theshareholderhasthefullright,power,andauthoritytoenterintothisagreementandtoperformtheobligationscontemplatedhere;2.3thesharesarenotsubjecttoanyvotingtrust,votingagreement,orothersimilaragreementorarrangementthatwouldrestrictthenominee'sabilitytovotethesharesinaccordancewiththeinstructionsoftheshareholder;2.5theshareholderisnotactinginconcertwithanyotherpersonorentitywiththepurposeoreffectofevadinganyoftheforegoingrepresentationsandwarranties.3.representationandwarrantyofnomineethenomineerepresentsandwarrantstotheshareholderthat:3.1thenomineeisacorporationdulyorganized,validlyexisting,andingoodstandingunderthelawsofitsjurisdictionoforganization;3.2thenomineehasthefullright,power,andauthoritytoenterintothisagreementandtoperformtheobligationscontemplatedhere;3.4thenomineeisnotactinginconcertwithanyotherpersonorentitywiththepurposeoreffectofevadinganyoftheforegoingrepresentationsandwarranties.4.deliveryofsharestheshareholderagreestodeliverthesharestothenominee,dulyendorsedorinsuchotherformasthenomineemayreasonablyrequire,atthenominee'sofficeorsuchotherplaceasthenomineemaydesignate,onorbeforetheeffectivedate.5.votinganddividendinstructions5.1theshareholderagreestoprovidethenomineewithinstructionsastothemannerinwhichthenomineeshallvotethesharesandastothereceiptanddispositionofanydividendsorotherdistributionspaidormadeontheshares.5.2thenomineeagreestovotethesharesandtoreceiveanddisposeofdividendsandotherdistributionsinaccordancewiththeinstructionsoftheshareholder.6.terminationthisagreementmaybeterminatedeitherpartyuponwrittennoticetotheotherpartyatanytime.uponterminationofthisagreement,thenomineeshalldeliverthesharestotheshareholder,dulyendorsedorinsuchotherformastheshareholdermayreasonablyrequire,attheshareholder'sofficeorsuchotherplaceastheshareholdermaydesignate.7.indemnificationtheshareholderagreestoindemnifyandholdharmlessthenomineefromandagainstanyandalllosses,damages,claims,liabilities,andexpenses(includingreasonableattorneys'feesandexpenses)incurredthenomineeinconnectionwiththenominee'sobligationsunderthisagreement,excepttotheextentthatsuchlosses,damages,claims,liabilities,andexpensesaredirectlycausedthenominee'sgrossnegligenceorwillfulmisconduct.8.一、附件列表：1.股票代持協(xié)議2.股東身份證明文件3.代持人身份證明文件4.股票證書(shū)5.股東與代持人之間的股權(quán)轉(zhuǎn)讓協(xié)議6.投票授權(quán)書(shū)7.股票持有證明8.法律意見(jiàn)書(shū)二、違約行為及認(rèn)定：1.股東未按約定時(shí)間交付股票2.代持人未按約定投票或處理股息3.股東提供的信息不真實(shí)或存在誤導(dǎo)4.代持人未履行保密義務(wù)5.代持人未按約定時(shí)間交付股票或股息6.任何一方未經(jīng)對(duì)方同意轉(zhuǎn)讓股權(quán)7.任何一方違反法律導(dǎo)致合同無(wú)效三、法律名詞及解釋：1.股票代持協(xié)議：指股東與代持人之間簽訂的，由代持人持有股東股票并按照股東指示進(jìn)行投票和處理股息的協(xié)議。2.股東：指持有股票并有權(quán)進(jìn)行投票和享受股息權(quán)益的人。3.代持人：指根據(jù)股東的委托持有股票并按照股東指示進(jìn)行投票和處理股息的人。4.股票：指代表公司所有權(quán)份額的證券。5.投票：指股東行使表決權(quán)，對(duì)公司的重大事項(xiàng)進(jìn)行決策的行為。6.股息：指公司分配給股東的利潤(rùn)。四、執(zhí)行中遇到的問(wèn)題及解決辦法：1.股東未按約定時(shí)間交付股票：提前溝通提醒，協(xié)商延期交付或按違約處理。2.代持人未按約定投票或處理股息：及時(shí)溝通，要求代持人按照約定行事或協(xié)商解決方案。3.股東提供的信息不真實(shí)或存在誤導(dǎo)：要求股東改正并提供真實(shí)信息，必要時(shí)解除合同。4.代持人未履行保密義務(wù)：要求代持人承擔(dān)違約責(zé)任，必要時(shí)解除合同。5.代持人未按約定時(shí)間交付股票或股息：及時(shí)溝通，要求代持人按照約定行事或協(xié)商解決方案。6.任何一方未經(jīng)對(duì)方同意轉(zhuǎn)讓股