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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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application letter signed by the board chairman (governor-general) or general manager of its stock exchange as well as other documents as required by the CSRC.<}0{> 第十三条 代表处变更名称，应当向中国证监会提出申请，并提交其交易所董事长（理事长）或总经理签署的申请书及中国证监会要求的其他文件。<0} {0> Article 14 Where a representative office changes its chief representative, it shall submit an application to the CSRC, and file an application letter signed by the board chairman (governor-general) or general manager of its stock exchange as well as the related materials provided in Items (8) up to (11) of Article 6 of these Measures.<}0{> 第十四条 代表处变更首席代表，应当向中国证监会提出申请，并提交其交易所董事长（理事长）或总经理签署的申请书及本办法第六条（八）至（十一）项规定的材料。<0} {0> Article 15 The CSRC will accept and examine the application materials for changing the name or chief representative submitted by the applicants. It shall reissue an approval document if the CSRC decides to approve an application.<}0{> 第十五条 中国证监会受理审核申请人提交的变更名称、变更首席代表的申请材料。决定批准的，换发批准书。<0} {0> Article 16 Where a representative office changes, adds or reduces a representative or deputy representative, it shall report the name, identity certificate and resume of the person to the CSRC for archival purpose within 5 working days as of the alteration.<}0{> 第十六条 代表处变更或增减代表、副代表，应当自变更之日起五个工作日内，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> Article 17 A representative office can change its office only inside the city where it is located. Within 5 working days as of the alteration, the representative office shall report the matters as follows to the CSRC in written form:<}0{> 第十七条 代表处只能在所在城市变更办公场所。自变更之日起五个工作日内，代表处应当向中国证监会书面报告下列事项：<0} {0> (1) a certificate for the lawful right to use the new office; and<}0{> （一） 新办公场所合法使用权证明；<0} {0> (2) the telephone number, fax number and post address of the new office.<}0{> （二） 新办公场所电话、传真、邮政通讯地址。<0} {0> The "change of office" as mentioned in this Article means the re[], enlargement or reduction of the former office.<}0{>本条所称变更办公场所指原有办公场所的搬迁、扩大或缩小。<0} {0> Article 18 The cancellation of a representative office shall, ahead of 20 working days, be reported to the CSRC, and handle the formalities for deregistration at the administrative organ for industry and commerce upon the pertinent confirmation document issued by the CSRC on approval of the cancellation. The pertinent deregistration certificate shall, within 5 working days, be submitted to the CSRC after a representative office is deregistered.<}0{> 第十八条 代表处撤销，应当提前二十个工作日向中国证监会报告，并凭中国证监会出具的同意撤销的有关确认文件向工商登记机关办理注销登记。代表处注销后，应当在五个工作日内向中国证监会提交有关注销证明文件。<0} {0> Article 19 The unsettled matters shall be responsible for by its stock exchange after a representative office is cancelled.<}0{> 第十九条 代表处撤销后，未了事宜由其交易所承担责任。<0} {0>Chapter IV Supervision and Administration<}0{>第四章 监督管理<0} {0> Article 20 A representative office shall have an independent and fixed office of its own, employ a reasonable amount of staff members, of which, the proportion of domestic residents shall not be lower than 50%. <}0{> 第二十条 代表处应当有独立、固定的办公场所，配备合理数量的工作人员，其中境内居民所占比例不低于50%。<0} {0>The foreign staff members of a representative office shall handle the formalities for residence under the pertinent laws upon entry.<}0{>代表处的外籍工作人员入境后应当按照有关法律规定办理居留手续。<0} {0> Article 21 Any chief representative may not concurrently hold a post in the head office or a regional head office, nor may he concurrently hold a post in any other commercial institution inside the territory of China. <}0{> 第二十一条 首席代表不得由其总部或地区总部人员兼任，也不得在中国境内任何经营性机构中任职。<0} {0>A chief representative shall stay in the representative office to take charge of the daily routine. <}0{>首席代表应当常驻代表处主持日常工作。<0} {0>Where a chief representative goes abroad for 30 consecutive days, he shall file a report with the CSRC and designate a special person to carry out the duties on his behalf. <}0{>离境时间连续超过三十日的，应当向中国证监会报告，并指定专人代行其职。<0} {0>Where a chief representative concurrently holds a post in any other institution or goes abroad for more than 30 consecutive days without reporting, the CSRC may require the stock exchange to replace the chief representative.<}0{>首席代表在其他机构兼职，或未报告擅自离境超过三十日的，中国证监会可以要求其交易所更换首席代表。<0} {0> Article 22 Any representative office and any of its staff members may not conduct any commercial activities or do so in a disguised form, it or he may not conclude an agreement or contract with any legal person or natural person that may bring about incomes to the representative office or the stock exchange.<}0{> 第二十二条 代表处及其工作人员，不得从事或变相从事任何经营性活动，不得与任何法人或自然人签订可能给代表处或其交易所带来收入的协议或合同。<0} {0> Article 23 Any representative office and any of its staff members may not conduct publicity in any form, it or he may not hold any market promotion activity oriented to individuals in any form.<}0{> 第二十三条 代表处及其工作人员，不得以任何形式进行广告宣传，不得以任何形式面向个人开展推介活动。<0} {0> Article 24 Where a representative office and its staff members organize and hold a large-scale market promotion activity oriented to enterprises, they shall report a related scheme to the CSRC in advance, and if the CSRC does not present any objection within 10 working days, it can hold such promotion activity.<}0{> 第二十四条 代表处及其工作人员组织举办面向企业的大型推介活动时，应当事先将活动方案报送中国证监会。中国证监会十个工作日内未提出异议的，方可进行。<0} {0> Article 25 Any representative office and any of its staff members may not hold any false market promotion activity in any form, and it or he may not conduct unfair competition in any form or seek for interests for any other institution in any form.<}0{> 第二十五条 代表处及其工作人员，不得以任何形式进行虚假推介，不得以任何形式进行不正当竞争，不得以任何形式为其他机构谋取利益。<0} {0> Article 26 A representative office shall submit a work report of the previous year to the CSRC within two months upon conclusion of each year.<}0{> 第二十六条 代表处应当于每一年度结束之日起二个月内，向中国证监会报送上年度工作报告。<0} {0> Article 27 A representative office shall file the information about Chinese companies whose stocks are listed and traded in its stock exchange in the previous year as well as the information about Chinese-funded members within two months upon conclusion of each year.<}0{> 第二十七条 代表处应当于每一年度结束之日起二个月内，向中国证监会报送上年度在其交易所上市交易的中国公司的情况及其中资会员的情况。<0} {0> Article 28 A representative office shall file the annual report on its stock exchange for the previous year within four months upon conclusion of each accounting year of its stock exchange.<}0{> 第二十八条 代表处应当在其交易所会计年度结束之日起四个月内，向中国证监会报送其交易所上一年度的年报。<0} {0> Article 29 Where a foreign stock exchange gives any major punishment to any Chinese company whose stocks are listed and traded in it or any Chinese-funded member thereof, the representative office shall timely render a notice to the CSRC, and submit a written report to the CSRC within 10 working days as of the date of punishment.<}0{> 第二十九条 境外证券交易所对在其上市交易的中国公司及其中资会员进行重大处罚时，代表处应当及时通报中国证监会，并自处罚之日起十个工作日内，向中国证监会提交书面报告。<0} {0> Article 30 If a foreign stock exchange is under any of the following circumstances, the representative office shall, within 10 days after the event occurs, file a written report with the CSRC:<}0{> 第三十条 境外证券交易所有下列情形之一的，代表处应当自事件发生之日起十个工作日内，向中国证监会提交书面报告：<0} {0> (1) Its articles of association, registered capital or registered address alters;<}0{> （一） 章程、注册资本或注册地址变更；<0} {0> (2) The stock exchange is split up, consolidated or implements any other major merger;<}0{> （二） 分立、合并或其他重大并购活动；<0} {0> (3) Its board chairman (governor-general) or general manger changes;<}0{> （三） 董事长（理事长）或总经理变动；<0} {0> (4) It is operating at a heavy loss or with serious financial difficulties;<}0{> （四） 经营严重亏损或财务严重困难；<0} {0> (5) The competent supervisory authority of the country or region where the stoke exchange is located takes major supervisory measures against the stock exchange; or<}0{> （五） 所在国家或地区的监管当局对其采取重大监管措施；<0} {0> (6) Other events that severely affect the foreign stock exchange's business.<}0{> （六） 对经营有重大影响的其他事项。<0} {0> Article 31 The CSRC will implement regular or irregular on-site or off-site inspections of a representative office from, but not limited to, the aspects as follows:<}0{> 第三十一条 中国证监会依法对代表处进行定期或不定期的现场或非现场检查，内容包括但不限于：<0} {0> (1) Whether the representative office conducts commercial activities or does so in a disguised form;<}0{> （一） 代表处是否从事或变相从事经营性活动；<0} {0> (2) Whether the representative office engages in publicity or holds any market promotion activity oriented to individuals;<}0{> （二） 代表处是否进行广告宣传，是否面向个人开展推介活动；<0} {0> (3) Whether the representative office organizes and holds any large-scale market promotion activity oriented to enterprises without reporting in advance;<}0{> （三） 代表处是否未经事先报告擅自组织举办面向企业的大型推介活动；<0} {0> (4) Whether the application materials filed by the representative office are truthful or accurate;<}0{> （四） 代表处申报材料的内容是否真实、准确；<0} {0> (5) Whether the representative office goes through complete formalities for any alteration thereof;<}0{> （五） 代表处变更事项的手续是否完备；<0} {0> (6) Whether the representative office goes through complete formalities for employment or alteration of any of its staff member; or<}0{> （六） 代表处工作人员的聘用或变更手续是否完备；<0} {0> (7) Other matters to be inspected by the CSRC.<}0{> （七） 中国证监会认为需要检查的其他事项。<0} {0> Article 32 The CSRC may take such regulatory measure as ordering its chief representative or any other person in-charge to make correction, arranging a supervisory interview and issuing a letter of warning where a representative office violates these Measures. <}0{> 第三十二条 代表处违反本办法的，中国证监会可以对代表处的首席代表和其他直接责任人员采取责令整改、监管谈话、出具警示函等监管措施；<0} {0> In case of serious circumstances, the CSRC may take the measure of prohibiting its chief representative or any ot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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