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Order of China Securities Regulatory Commission | | 中国证券监督管理委员会令 |
(No.69) | | (第69号) |
The Decision on Amending the Measures for the Administration of Securities Offering and Underwriting, which was deliberated and adopted at the 273rd chairman's executive meeting of China Securities Regulatory Commission on June 24, 2010, is hereby promulgated, and shall come into force on November 1, 2010. | | 《关于修改〈证券发行与承销管理办法〉的决定》已经2010年6月24日中国证券监督管理委员会第273次主席办公会议审议通过,现予公布,自2010年11月1日起施行。 |
Shang Fulin, Chairman of China Securities Regulatory Commission | | 中国证券监督管理委员会主席:尚福林 |
October 11, 2010 | | 二○一○年十月十一日 |
Decision on Amending the Measures for the Administration of Securities Offering and Underwriting | | 关于修改《证券发行与承销管理办法》的决定 |
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I. Paragraph 2 of Article 5 shall be amended as: “Inquiry objects refer to the securities investment fund management companies, securities companies, trust and investment companies, financial companies, insurance institutional companies, and qualified foreign institutional investors that satisfy the conditions prescribed in these Measures; institutional investors which are recommended by the managing underwriter at its discretion and which have a relatively strong pricing ability and a long-term investment intention; and other institutional investors authorized and approved by the CSRC.” | | 一、第五条第二款修改为:“询价对象是指符合本办法规定条件的证券投资基金管理公司、证券公司、信托投资公司、财务公司、保险机构投资者、合格境外机构投资者、主承销商自主推荐的具有较高定价能力和长期投资取向的机构投资者,以及经中国证监会认可的其他机构投资者。” |
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II. One Paragraph shall be added as Paragraph 3: “To recommend institutional investors at its discretion, a managing underwriter shall make a clear recommendation criterions, set up a transparent recommendation decision-making mechanism, and submit them to the Securities Association of China for registration and archival purposes.” | | 二、第五条增加一款,作为第三款:“主承销商自主推荐机构投资者的,应当制订明确的推荐标准,建立透明的推荐决策机制,并报中国证券业协会登记备案。” |
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III. Article 9 shall be amended as: “A managing underwriter shall provide an investment value study report to the inquiry objects when making inquiries. No issuer, managing underwriter or inquiry object may publicize or disclose the content of an investment value study report in any form, unless it is otherwise provided by the CSRC.” ...... | | 三、第九条修改为:“主承销商应当在询价时向询价对象提供投资价值研究报告。发行人、主承销商和询价对象不得以任何形式公开披露投资价值研究报告的内容,但中国证监会另有规定的除外。” ...... |
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