| Provisions on Prohibition from Access to the Securities Market | | 证券市场禁入规定 |
| (Deliberated and adopted at the 173rd Chairman's executive meeting of the China Securities Regulatory Commission on March 7, 2006; and amended in accordance with the Decision of the China Securities Regulatory Commission on Amending the Provisions on Prohibition from Access to the Securities Market on May 18,2015) | | （2006年3月7日中国证券监督管理委员会第173次主席办公会议审议通过，根据2015年5月18日中国证券监督管理委员会《关于修改〈证券市场禁入规定〉的决定》修订） |
| Article 1 The present Provisions are formulated according to such laws and administrative regulations as the Securities Law of the People's Republic of China for maintaining the order of the securities market, protecting the legitimate rights and interests of investors as well as the public interest, and promoting the sound and stable development of the securities market. | | 第一条 为了维护证券市场秩序，保护投资者合法权益和社会公众利益，促进证券市场健康稳定发展，根据《中华人民共和国证券法》等法律、行政法规，制定本规定。 |
| Article 2 China Securities Regulatory Commission (CSRC) shall adopt relevant measures for banning the entry into the securities market against the relevant liable persons who have violated the relevant laws, administrative regulations or the relevant provisions of the CSRC on the factual basis as well as according to the principles of openness, impartiality and fairness. | | 第二条 中国证券监督管理委员会（以下简称中国证监会）对违反法律、行政法规或者中国证监会有关规定的有关责任人员采取证券市场禁入措施，以事实为依据，遵循公开、公平、公正的原则。 |
| Article 3 Where any of the following personnel violates the relevant provisions of the relevant laws, administrative regulations or the provisions of the CSRC with serious circumstances, the CSRC may, according to the actual circumstances, adopt the measures for banning the entry into the securities market: | | 第三条 |
| (1) The directors, supervisors or senior executives of an issuer, a listed company or a non-listed public company, any other party with information disclosure obligations, or directors, supervisors or senior executives of any other party with information disclosure obligations; | | （一）发行人、上市公司、非上市公众公司的董事、监事、高级管理人员，其他信息披露义务人或者其他信息披露义务人的董事、监事、高级管理人员； |
| (2) The controlling shareholders or actual controllers of an issuer, a listed company or a non-listed public company, or the directors, supervisors or senior executives of the controlling shareholders or actual controllers of an issuer, a listed company or a non-listed public company; | | （二）发行人、上市公司、非上市公众公司的控股股东、实际控制人，或者发行人、上市公司、非上市公众公司控股股东、实际控制人的董事、监事、高级管理人员； |
| (3) The directors, supervisors or senior managers of a securities company as well as the principals of its internal business departments, principals of the branches or sub-branches as well as other securities practitioners; | | （三）证券公司的董事、监事、高级管理人员及其内设业务部门负责人、分支机构负责人或者其他证券从业人员； |
| (4) The controlling shareholders or actual controllers of a securities company or the directors, supervisors or senior managers of the controlling shareholders or actual controllers of a securities company; | | （四）证券公司的控股股东、实际控制人或者证券公司控股股东、实际控制人的董事、监事、高级管理人员； |
| (5) Such securities service practitioners as the directors, supervisors and senior managers of a securities trading service institution, actual controllers of a securities trading service institution or directors, supervisors and senior managers of the actual controllers of a securities trading service institution; | | （五）证券服务机构的董事、监事、高级管理人员等从事证券服务业务的人员和证券服务机构的实际控制人或者证券服务机构实际控制人的董事、监事、高级管理人员； |
| (6) The managers of securities investment funds, directors, supervisors and senior managers of a custodian of securities investment funds as well as the principals of its internal business departments, principals of the branches and sub-branches or other securities investment funds practitioners; and | | （六）证券投资基金管理人、证券投资基金托管人的董事、监事、高级管理人员及其内设业务部门、分支机构负责人或者其他证券投资基金从业人员； |
| (7) Any other liable person who is deemed by the CSRC as having violated the relevant laws, administrative regulations or provisions of the CSRC. | | （七）中国证监会认定的其他违反法律、行政法规或者中国证监会有关规定的有关责任人员。 |
Article 4 Any person subject to the measure of prohibition from access to the securities market taken by the CSRC shall not, in the course of prohibition, continue his or her securities practice in the original institution where he or she worked, continue to serve as the director, supervisor or senior executive of the original listed company or non-listed public company where he or she worked, engage in the securities practice in any other institution, or serve as the director, supervisor or senior executive of any other listed company or non-listed public company.
．．．．．． | | 第四条 被中国证监会采取证券市场禁入措施的人员，在禁入期间内，除不得继续在原机构从事证券业务或者担任原上市公司、非上市公众公司董事、监事、高级管理人员职务外，也不得在其他任何机构中从事证券业务或者担任其他上市公司、非上市公众公司董事、监事、高级管理人员职务。
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