Interim Provisions on the Examination and Approval of the Business Scope of Securities Companies | | 证券公司业务范围审批暂行规定 |
| (Issued via Announcement No. 42 [2008] of China Securities Regulatory Commission on October 30, 2008; and amended in accordance with the Decision to Amend and Repeal Thirteen Regulatory Documents including the Provisions on the Administration of Subordinated Debts of Securities Companies by China Securities Regulatory Commission on December 7, 2017) | | （2008年10月30日中国证券监督管理委员会公告[2008]42号公布，根据2017年12月7日《中国证监会关于修改、废止＜证券公司次级债管理规定＞等十三部规范性文件的决定》修改） |
| Article 1 For the purpose of clarifying the relevant matters on the examination and approval of the business scope of securities companies, these Provisions are formulated according to the Securities Law and the Regulation on the Supervision and Administration of Securities Companies. | | 第一条 为明确证券公司业务范围审批的有关事项，根据《证券法》和《证券公司监督管理条例》，制定本规定。 |
| Article 2 A securities company shall engage in the securities business and other businesses within the scope approved by the CSRC, and shall not operate beyond the scope. | | 第二条 证券公司应当在证监会依法批准的范围内经营证券业务和其他业务，不得超范围经营。 |
| Article 3 In case a securities company provides securities investment advisory service to its securities brokerage business client but has failed to conclude a separate contract with the such client or separately charge for such service, and the commission it charged for the securities brokerage business does not exceed the prescribed upper limit, it does not have to obtain the qualification for securities investment advisory business, but shall implement the rules for the securities investment advisory business by analogy. | | 第三条 证券公司对其证券经纪业务客户提供证券投资咨询服务，不就该项服务与客户单独签订合同、单独收取费用，且收取的证券经纪业务佣金不超过规定上限的，无须取得证券投资咨询业务资格，但应当比照执行证券投资咨询业务的规则。 |
| Article 4 In case a securities company conducts cash management, invests its own funds in purchasing the securities of low risk and highliquidity as approved by the CSRC, including treasury bonds publicly offered, investment-grade corporate bonds, monetary market funds and central bank bills, and in the portfolio asset management plans or special asset management plans established by the securities company upon the approval of the CSRC, and the investment scale of which do not exceed 80% of its net capital, or engages in the purchase and sale of securities due to the performance of its underwriting obligation, it does not have to obtain the securities proprietary business qualification, but shall implement the rules for the securities proprietary business by analogy. | | 第四条 证券公司进行现金管理，将自有资金投资于依法公开发行的国债、投资级公司债、货币市场基金、央行票据等证监会认可的风险较低、流动性较强的证券，以及证券公司经证监会批准设立的集合资产管理计划、专项资产管理计划，且投资规模不超过其净资本80％的，或者因依法履行承销义务而买卖证券的，无须取得证券自营业务资格，但应当比照执行证券自营业务的规则。 |
| Article 5 Upon the approval of the CSRC, a securities company may engage in the businesses not clearly prescribed in the Securities Law, the Regulation on the Supervision and Administration of Securities Companies, and other regulations and regulatory documents of the CSRC (hereinafter referred to as the “innovative businesses”). | | 第五条 经证监会批准，证券公司可以经营《证券法》、《证券公司监督管理条例》和证监会的规章、规范性文件未明确规定的业务(以下称创新业务)。 |
| The operation of innovative businesses by a securities company shall not violate the existing laws, administrative regulations and provisions of the CSRC, the risks of which can be calculated, controlled and endured, shall relate closely to the current securities businesses, and contribute to the full use of the present business outlets, customer resources, business expertise, or management experiences of the company, and to optimizing customer services and improving the profit model of the company. | | 证券公司经营的创新业务，应当不违反现行法律、行政法规和证监会的规定，风险可测、可控、可承受，且与现有证券业务相关性强，有利于充分利用公司现有营业网点、客户资源、业务专长或者管理经验，有利于优化对客户的服务和改善公司盈利模式。 |
| To operate the innovative businesses, a securities company shall establish an internal assessment and examination mechanism, conduct full assessment and study on the compliance, feasibility, and possible risks of the innovative businesses, formulate rules for business management, and clarify the operating procedures, risk control measures and measures for protecting the legitimate rights and interests of customers. | | 证券公司经营创新业务，应当建立内部评估和审查机制，对创新业务的合规性、可行性和可能产生的风险进行充分的评估论证，并制定业务管理制度，明确操作流程、风险控制措施和保护客户合法权益的措施。 |
| Article 6 The securities companies controlled by a same entity or individual or by each other may not operate the same business, unless the related companies have taken effective measures to make a clear distinction between the business areas or targeted customer group, with the exception of those in which they do not compete with each other. | | 第六条 受同一单位、个人控制或者相互之间存在控制关系的证券公司，不得经营相同的业务。但相关公司采取有效措施，在经营区域或者目标客户群体上作明显区分，相互之间不存在竞争关系的除外。 |
| Article 7 When a securities company is established, the CSRC shall approve its business scope according to the statutory conditions. The approved business scope of a newly established company shall not include more than 4 kinds, unless it is otherwise prescribed by the CSRC. | | 第七条 证券公司设立时，证监会依照法定条件核准其业务范围。对新设公司核准的业务不超过4种，证监会另有规定的除外。 |
| The modification of business scope by a securities company shall be subject to the approval of the CSRC. The business scope modification includes the addition of a business type and removal of a business type. A securities company shall not apply for adding more than 2 kinds of business each time. | | 证券公司变更业务范围应当经证监会批准。变更业务范围分为增加业务种类和减少业务种类。证券公司一次申请增加的业务不得超过2种。 |
| Article 8 To add a new business type, a securities company shall comply with the following requirements of prudence: | | 第八条 证券公司增加业务种类，应当符合下列审慎性要求： |
(1) After the addition of the new business type, the registered capital of the company shall comply with Article 127 of the Securities Law
．．．．．． | | (一)增加业务种类后，注册资本符合《证券法》第一百二十七条的规定；
．．．．．． |
|
Dear visitor, as a premium member of this database, you will get complete access to all content.Please go premium and get more.
1. To become a premium member, please call 400-810-8266 Ext. 171.
2. Binding to the account with access to this database.
3. Apply for a trial account.
4. To get instant access to a document, you can Pay Amount 【￥400.00】 for your single purchase. | |
您好：您现在要进入的是北大法宝英文库会员专区。
如您是我们英文用户可直接 登录，进入会员专区查询您所需要的信息；如您还不是我们 的英文用户；您可通过网上支付进行单篇购买，支付成功后即可立即查看本篇内容。
Tel: +86 (10) 82689699, +86 (10) 82668266 ext. 153
Mobile: +86 13311570713
Fax: +86 (10) 82668268
E-mail:info@chinalawinfo.com
|
| | | |
| | | |