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Provisions on the Regulation of Branches of Securities Companies (for Trial Implementation) [Expired]
证券公司分公司监管规定(试行) [失效]
【法宝引证码】

 

Announcement of China Securities Regulatory Commission 

中国证券监督管理委员会公告


(No.20 [2008])
 
([2008]20号)


The Provisions on the Regulation of the Branches of Securities Companies (for Trial Implementation) are hereby promulgated, and shall come into force as of the date of promulgation. 
 
现公布《证券公司分公司监管规定(试行)》,自公告之日起施行。


China Securities Regulatory Commission

 
证监会


May 13, 2008

 
二○○八年五月十三日

Provisions on the Regulation of Branches of Securities Companies (for Trial Implementation)
 
证券公司分公司监管规定(试行)

 
Article 1 To meet the needs of securities companies for managing their business on their own and perfecting their organizational structure and regulate the establishment and operation of the branches of securities companies, these Provisions are formulated in accordance with the Company Law, the Securities Law and the Regulation on the Supervision and Administration of Securities Companies.   第一条 为了适应证券公司自主经营和完善组织体系的需要,规范证券公司分公司的设立和运营,根据《公司法》、《证券法》和《证券公司监督管理条例》,制定本规定。

 
Article 2 For the purpose of these Provisions, the term “branch” refers to an establishment, other than a securities business office, engaging in securities operations that is established by a securities company in accordance with the Company Law, the Securities Law and the Regulation on the Supervision and Administration of Securities Companies.   第二条 本规定所称分公司是指证券公司依照《公司法》、《证券法》和《证券公司监督管理条例》设立的除证券营业部以外从事经营活动的机构。

 
Article 3 Securities companies shall establish branches upon the approval of the CSRC. Branches do not have the corporate capacity, and their legal responsibility shall be assumed by the securities companies.   第三条 证券公司设立分公司,应当经中国证监会批准。分公司不具有企业法人资格,其法律责任由证券公司承担。

 
Article 4 A branch shall do business within the scope authorized by the securities company only, and may not overstep the authorized scope of business.   第四条 分公司应当在证券公司的授权范围内开展业务,不得超越授权范围经营。

A securities company may authorize its branch to operate the following business:
 
证券公司可以授权其分公司经营下列业务:

 
1. managing the securities business offices of the securities company in a certain region; (一)管理证券公司一定区域内的证券营业部;

 
2. operating the securities underwriting and sponsoring business of the securities company in a certain region; (二)经营证券公司一定区域内的证券承销与保荐业务;

 
3. operating the self-support securities business as the exclusive self-support securities business operator of the securities company; (三)作为证券公司专门的证券自营业务机构经营证券自营业务;

 
4. operating the securities assets management business as the exclusive securities assets management business operator of the securities company; and (四)作为证券公司专门的证券资产管理业务机构经营证券资产管理业务;

 
5. other business of the securities company approved by the CSRC. (五)中国证监会批准的证券公司其他业务。

 
Article 5 A securities company branch may not directly operate the business of the securities business offices. Where a branch is authorized to operate the self-support securities business or the securities assets management business, it shall operate the said business only.   第五条 分公司不得直接经营证券营业部的业务。分公司经授权经营证券自营业务或者证券资产管理业务的,不得经营其他业务。

A securities company may not authorize a same branch to operate different businesses which have conflict of interest with each other. Where a securities company has authorized a branch to operate the self-support securities business or the securities assets management business, the head office of the company may not operate the said business any more or authorize any other branch to do so.
......
 
证券公司不得授权同一家分公司经营具有利益冲突的不同业务。证券公司授权分公司经营证券自营业务或者证券资产管理业务的,公司总部不得再经营或者再授权其他分公司经营该业务。
......

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