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中英对照法律资源--境外证券交易所驻华代表机构管理办法 |
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作者：无忧教育 文章来源：51education.net 点击数： 更新时间：2008-5-18 |
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{0> Order No. 44 of China Securities Regulatory Commission No. 44<}0{>中国证券监督管理委员会令第44号<0} {0> The Measures for the Administration of Foreign Stock Exchanges' Representative Offices in China have been deliberated and adopted at the 203rd chairmen's executive meeting of China Securities Regulatory Commission on April 3, 2007. They are hereby promulgated and shall enter into force as of July 1, 2007.<}0{>《境外证券交易所驻华代表机构管理办法》已经2007年4月3日中国证券监督管理委员会第203次主席办公会议审议通过，现予公布，自2007年7月1日起施行。<0} {0>Chairman of China Securities Regulatory Commission, Shang Fulin May 20, 2007<}0{>中国证券监督管理委员会主席 尚福林 二○○七年五月二十日<0} {0>Measures for the Administration of Foreign Stock Exchanges' Representative Offices in China<}0{>境外证券交易所驻华代表机构管理办法<0} {0>Chapter I General Rules<}0{>第一章 总则<0} {0> Article 1 For the purpose of regulating the establishment of foreign stock exchanges' representative offices in China and their business operations these Measures are constituted under the Securities Law of the People's Republic of China and the related regulations.<}0{> 第一条 为了规范境外证券交易所驻华代表机构的设立及其业务活动，根据《中华人民共和国证券法》及有关法规，制定本办法。<0} {0> Article 2 The "foreign stock exchanges" as mentioned in these Measures means the stock exchanges, securities automated quotation or electronic trading systems or markets established abroad. <}0{> 第二条 本办法所称境外证券交易所，是指在境外设立的股票交易所、证券自动报价或电子交易系统或市场。<0} {0>The "foreign stock exchanges' representative offices in China" (hereinafter referred to as representative offices) as mentioned in these Measures means the permanent representative offices established by foreign stock exchanges inside the territory of China under the approval of engaging in liaison, market promotions, investigations and other similar non-business activities. The person in-charge of a representative office is the chief representative.<}0{> 本办法所称境外证券交易所驻华代表机构（以下简称代表处），是指境外证券交易所在中国境内获准设立并专门从事联络、推介和调研等非经营性活动的常驻代表机构。代表处主要负责人称首席代表。<0} {0> Article 3 A representative office shall conform to the laws, regulations of China and the related provisions of China Securities Regulatory Commission (hereinafter referred to as CSRC). The legitimate rights and interests of representative offices shall be protected by Chinese law.<}0{> 第三条 代表处应当遵守中国法律、法规和中国证券监督管理委员会（以下简称中国证监会）的有关规定。代表处的合法权益受中国法律保护。<0} {0> Article 4 The CSRC shall examine, approve and supervise the representative offices subject to the principle of prudent supervision.<}0{> 第四条 中国证监会根据审慎监管的原则，依法对代表处进行审批和监管。<0} {0>Chapter II Application and Establishment<}0{>第二章 申请与设立<0} {0> Article 5 A foreign stock exchange applying for establishment of a representative office (hereinafter referred to as the applicant) shall be subject to the requirements as follows:<}0{> 第五条 申请设立代表处的境外证券交易所（以下简称申请人），应当具备下列条件：<0} {0> (1) The country or region where the applicant is located has perfect laws and regulations on financial supervision;<}0{> （一） 申请人所在国家或地区具有完善的金融监管法律、法规；<0} {0> (2) The financial supervision authority in the country or region where the applicant is located has concluded a memorandum of understanding on supervisory cooperation with CSRC, and keeps a good cooperation with CSRC;<}0{> （二） 申请人所在国家或地区的金融监管当局与中国证监会签订了监管合作谅解备忘录，并保持着良好的合作关系；<0} {0> (3) The applicant is a financial institution established under the approval or ratification of the financial supervision authority of the country or region where it is located;<}0{> （三） 申请人由其所在国家或地区金融监管当局批准设立或认可；<0} {0> (4) The applicant has been established for more than 20 years, it has a stable operation and, standardization and its financial situation is well; and<}0{> （四） 申请人设立二十年以上，运作稳健规范，财务状况良好；<0} {0> (5) Other prudential conditions put forward by the CSRC.<}0{> （五） 中国证监会提出的其他审慎性条件。<0} {0> Article 6 An applicant can only apply for establishing one representative office, and at the time of application, shall submit the materials as follows to the CSRC:<}0{> 第六条 申请人只能申请设立一个代表处，申请时应当向中国证监会提交下列材料：<0} {0> (1) an application letter as signed by the board chairman (director-general) or the general manager to the CSRC;<}0{> （一） 由董事长（理事长）或总经理签署的致中国证监会的申请书；<0} {0> (2) a written opinion or any other related document issued by the financial supervision authority of the country or region where the applicant is located on approval of establishing such a representative office by the applicant;<}0{> （二） 所在国家或地区金融监管当局出具的同意申请人设立代表处的意见书或其他有关文件；<0} {0> (3) a copy of the business license or of the attestation on lawfully opening business as issued upon verification by the related competent authority of the country or region where the applicant is located, notarized and certified by a competent notary public or certification institution in the country or region where the applicant is located, and certified by the Chinese embassy or consulate accredited to that country;<}0{> （三） 所在国家或地区有关主管当局核发的、经所在国家或地区有权进行公证、认证的机构公证、认证并经中国驻该国使（领）馆认证的营业执照或合法开业证明的复印件；<0} {0> (4) articles of association and main business rules of the applicant;<}0{> （四） 交易所章程和主要业务规则；<0} {0> (5) a name list of board of directors (board of governors) and the management personnel;<}0{> （五） 董事会（理事会）成员名单、管理层人员名单；<0} {0> (6) the annual reports for the latest 3 years;<}0{> （六） 最近三年的年报；<0} {0> (7) a scheme on establishing the representative office, including, but not limited to, the purposes, necessity of the establishment, working plan, set-up of internal organs and personnel arrangement, management systems and office site, etc.;<}0{> （七） 代表处设立方案，包括但不限于设立的目的、必要性、工作规划、内部机构设置与人员配备、管理制度及办公场所选址等内容；<0} {0> (8) a power of attorney as signed by the board chairman (governor-general) or general manager on appointing the chief representative;<}0{> （八） 由董事长（理事长）或总经理签署的首席代表授权书；<0} {0> (9) a declaration that the applicant published, which the chief representative to-be has no record of penalty due to any serious violation of law or regulation, and which shall be notarized by a notary public institution in the country or region where the applicant is located;<}0{> （九） 申请人就拟任首席代表没有因重大违法违规行为受到处罚的声明，且该声明经过申请人所在国家或地区公证机构的公证；<0} {0> (10) the identity certificate, academic credentials and resume of the chief representative to-be; and<}0{> （十） 拟任首席代表的身份证明、学历证明和简历；<0} {0> (11) other documents required to be filed by the CSRC.<}0{> （十一） 中国证监会要求提交的其他文件。<0} {0> Article 7 The CSRC will accept and examine the application materials for establishment as filed by applicants. Where the CSRC decides to approve an application, it shall produce an approval document.<}0{> 第七条 中国证监会受理审核申请人提交的设立申请材料。决定批准的，颁发批准书。<0} {0> Article 8 Within 90 days upon approval of the CSRC, a representative office shall handle the procedures for industrial and commercial registration as well as taxation registration upon the approval document, move into a fixed office, and report the matters as follows to the CSRC in written form:<}0{> 第八条 代表处应当自中国证监会批准之日起九十日内，凭批准书依法办理工商登记手续、税务登记手续，迁入固定的办公场所，并向中国证监会书面报告下列事项：<0} {0> (1) certificates on industrial and commercial registration and taxation registration;<}0{> （一） 工商登记证明、税务登记证明；<0} {0> (2) a certificate for the lawful right to use the office;<}0{> （二） 办公场所的合法使用权证明；<0} {0> (3) the telephone number, fax number and post address of the office; and<}0{> （三） 办公场所电话、传真、邮政通讯地址；<0} {0> (4) the mobile phone number and email address of the chief representative.<}0{> （四） 首席代表移动电话、电子邮箱。<0} {0> In case the representative office, within the time limit provided above, fails to file a written report with the CSRC, the original approval document shall be automatically abated.<}0{>代表处未在上述规定时间内向中国证监会提交书面报告的，原批准书自动失效。<0} {0> Article 9 The name of a representative office shall be composed of the following contents in an order as: "the name of the country or region where the foreign stock exchange is located", "the name of the foreign stock exchange", "the name of the local city" and " the representative office".<}0{> 第九条 代表处的名称应当按下列顺序组成：“境外证券交易所所在国家或地区名称”、“境外证券交易所名称”、“代表处所在城市名称”和“代表处”。<0} {0> Article 10 Other main staff members of a representative office shall be referred to as "representatives" or "deputy representatives" except for the chief representative.<}0{> 第十条 代表处除首席代表外，其他主要工作人员应当称“代表”、“副代表”。<0} {0> Article 11 The qualification for the chief representative of a representative office to hold the post shall acquire the approval of the CSRC. A chief representative shall satisfy the requirements as follows:<}0{> 第十一条 代表处首席代表的任职资格由中国证监会审批。首席代表应当具备下列条件：<0} {0> (1) Being known well with the finance laws and regulations of China;<}0{> （一） 熟悉中国金融法律、法规；<0} {0> (2) Having a bachelor's degree or above, 10 years or more of experiences in finance or economy, and 3 years or more of experiences in undertaking Chinese-related business in the latest 5 years; and<}0{> （二） 具有大学本科以上学历，从事金融或经济工作十年以上，在最近五年内至少有三年以上从事中国业务的经历；<0} {0> (3) Having a good character and no record of criminal or administrative penalty.<}0{> （三） 品行良好，没有受过刑事、行政处罚等不良记录。<0} {0> Article 12 To appoint a representative or deputy representative, within 5 working days as of the date of appointment, a representative office shall report the name list, identity certificates and resumes of that person to the CSRC for archival purpose.<}0{> 第十二条 代表处聘用代表、副代表，自聘用之日起五个工作日内，应当将上述人员的名单、身份证明和简历报中国证监会备案。<0} {0>Chapter III Alteration and Cancellation<}0{>第三章 变更与撤销<0} {0> Article 13 Where a representative office changes its name, it shall submit an application to the CSRC, and file an实践证明经常访问无忧英语教育网 www.51education.net ,能迅速提高你的英语学习能力!积沙成塔,不断提高! 本站所提供的所有信息仅供学校课堂教学及英语学习者学习研究之用，其著作权归原作者及媒体所有。 |
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