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Rules for the Securities Legal Practices of Law Firms (for Trial Implementation) [Effective]
律师事务所证券法律业务执业规则(试行) [现行有效]
【法宝引证码】

 
Announcement of China Securities Regulatory Commission and the Ministry of Justice 

中国证券监督管理委员会、司法部公告


(No. 33 [2010])
 
(〔2010〕33号)


The Rules for the Securities Legal Practice of Law Firms (for Trial Implementation) are hereby issued and shall come into force on January 1, 2011.
 
现公布《律师事务所证券法律业务执业规则(试行)》,自2011年1月1日起施行。

October 20, 2010
 
二○一○年十月二十日

Rules for the Securities Legal Practices of Law Firms (for Trial Implementation)
 
律师事务所证券法律业务执业规则(试行)

 
Chapter I General Provisions 

第一章 总则


 
Article 1 These Rules are formulated in accordance with the Measures for the Provision of Securities Legal Services by Law Firms (Order No. 41 of China Securities Regulatory Commission) for purposes of regulating the provision of securities legal services by law firms and the lawyers they assign, ensuring the quality of practice and protecting the legitimate rights and interests of investors.   第一条 为了规范律师事务所及其指派的律师从事证券法律业务,保障执业质量,维护投资者的合法权益,根据《律师事务所从事证券法律业务管理办法》(证监会令第41号),制定本规则。

 
Article 2 These Rules shall apply to the practice of laws firms and lawyers they assign such as providing securities legal services, carrying out examination and verification, and producing and issuing written legal advice.   第二条 律师事务所及其指派的律师从事证券法律业务开展核查和验证(以下简称查验)、制作和出具法律意见书等执业活动,适用本规则。

 
Article 3 A law firm and the lawyers it assigns shall, in accordance with the Measures for the Provision of Securities Legal Services by Law Firms (hereinafter referred to as the “Administrative Measures谁敢欺负我的人”) and these Rules, conduct due diligence investigation and prudent examination and verification, issue legal advice on the legality of the entrusted matters and keep the working papers.   第三条 律师事务所及其指派的律师,应当按照《律师事务所从事证券法律业务管理办法》(以下简称《管理办法》)和本规则的规定,进行尽职调查和审慎查验,对受托事项的合法性出具法律意见,并留存工作底稿。

 
Article 4 When providing securities legal services, a law firm and the lawyers it assigns shall independently make conclusions on examination and verification and issue legal opinions through the use of their professional knowledge and ability and on the basis of their examination and verification acts. For the matters such as collection of evidential materials, they shall handle them in person, and shall not consign the matters to clients; and in the case of using the materials provided by a client, they shall conduct necessary examination and verification, and make analysis and judgments on the contents, nature, effectiveness, etc. of the materials.   第四条 律师事务所及其指派的律师从事证券法律业务,应当运用自己的专业知识和能力,依据自己的查验行为,独立作出查验结论,出具法律意见。对于收集证据材料等事项,应当亲自办理,不得交由委托人代为办理;使用委托人提供材料的,应当对其内容、性质和效力等进行必要的查验、分析和判断。

 
Article 5 To determine and judge the relevant facts and legal issues, a law firm and the lawyers it assigns shall possess proper evidence and reasons.   第五条 律师事务所及其指派的律师对有关事实、法律问题作出认定和判断,应当有适当的证据和理由。

 
Article 6 When providing securities legal services, a lawyer shall make analysis and judgments on whether the business issue is related to law and whether he shall fulfill the duty of special care of a legal professional. If he needs to fulfill the duty of special care of a legal professional, he shall draft specific ways, means, and measures for fulfilling the duty of special attention and implement them.   第六条 律师从事证券法律业务,应当就业务事项是否与法律相关、是否应当履行法律专业人士特别注意义务作出分析、判断。需要履行法律专业人士特别注意义务的,应当拟订履行特别注意义务的具体方式、手段、措施,并予以落实。

 
Article 7 When providing securities legal services, a law firm shall establish and improve the internal control mechanism for business quality and practice risks, and ensure that the written legal opinions it issued are authentic, accurate and complete in content, sound in logic and fully analyzed.   第七条 律师事务所从事证券法律业务,应当建立、健全内部业务质量和执业风险控制机制,确保出具的法律意见书内容真实、准确、完整,逻辑严密、论证充分。

 
Chapter II Rules for Examination and Verification 

第二章 查 验 规 则


 
Article 8 When examining and verifying an entrusted matter, a law firm and the lawyers it assigns shall be independent, objective and impartial and follow the principle of prudence and importance.   第八条 律师事务所及其指派的律师对受托事项进行查验时,应当独立、客观、公正,遵循审慎性及重要性原则。

 
Article 9 A law firm and the lawyers it assigns shall prepare an examination and verification plan in accordance with the Administrative Measures. The examination and verification plan shall specify the specific matters that require examination and verification, the working procedures for examination and verification, examination and verification methods, etc.   第九条 律师事务所及其指派的律师应当按照《管理办法》编制查验计划。查验计划应当列明需要查验的具体事项、查验工作程序、查验方法等。

After the examination and verification is completed, the law firm and the lawyers it assigns shall assess and summarize the implementation of the examination and verification plan; and if the examination and verification plan is not fully implemented, the reasons or other examination and verification measures taken shall be specified.
 
查验工作结束后,律师事务所及其指派的律师应当对查验计划的落实情况进行评估和总结;查验计划未完全落实的,应当说明原因或者采取的其他查验措施。

 
Article 10 A lawyer shall make reasonable and full use of the examination and verification methods and shall, in addition to the examination and verification methods that must be taken according to these Rules and the relevant detailed rules, supplement the methods in accordance with the actualities. When the relevant examination and verification methods can not realize the purpose of verification, he shall judge the relevant circumstances to determine whether to take an alternative examination and verification method.   第十条 律师应当合理、充分地运用查验方法,除按本规则和有关细则规定必须采取的查验方法外,还应当根据实际情况予以补充。在有关查验方法不能实现验证目的时,应当对相关情况进行评判,以确定是否采取替代的查验方法。

 
Article 11 Where anything to be examined and verified can be proved by merely a written certificate, a lawyer shall, when being unable to obtain the original of the certificate for purposes of examination and verification, make confirmation through inquiry, review and other means; and if the matter to be examined and verified has no written certificate or a written certificate itself is insufficient to prove the matter, the lawyer shall conduct examination and verification through on-site investigation, interview and other means.   第十一条北大法宝 待查验事项只需书面凭证便可证明的,在无法获得凭证原件加以对照查验的情况下,律师应当采用查询、复核等方式予以确认;待查验事项没有书面凭证或者仅有书面凭证不足以证明的,律师应当采用实地调查、面谈等方式进行查验。

 
Article 12 Where a lawyer verifies and confirms the relevant facts with a relevant state organ, organization with the functions of managing public affairs, accounting firm, credit rating institution, notarization institution, etc. when carrying out examination and verification, he shall produce written records on verification and confirmation, which shall bear the signature of the handling lawyer.   第十二条 律师进行查验,向有关国家机关、具有管理公共事务职能的组织、会计师事务所、资信评级机构、公证机构等查证、确认有关事实的,应当将查证、确认工作情况做成书面记录,并由经办律师签名。

 
Article 13 Where a lawyer conducts examination and verification through interviews, interview transcripts shall be produced. The interviewee and the lawyer shall sign the transcripts. If the interviewee refuses to sign, it shall be noted in the transcripts.   第十三条 律师采用面谈方式进行查验的,应当制作面谈笔录。谈话对象和律师应当在笔录上签名。谈话对象拒绝签名的,应当在笔录中注明。

 
Article 14 Where a lawyer conducts examination and verification through written examination, he shall analyze the reliability of the relevant written information, examine the contents of the documented facts, and analyze and judge the legal nature and consequences thereof.   第十四条 律师采用书面审查方式进行查验的,应当分析相关书面信息的可靠性,对文件记载的事实内容进行审查,并对其法律性质、后果进行分析判断。

 
Article 15 Where a lawyer conducts examination and verification through on-site investigation, he shall produce transcripts on the on-site investigation, which shall be signed by the investigation lawyer, natural person or person in charge of the entity related to the investigated matter. If the natural person or the person in charge of the entity refuses to sign, it shall be noted in the transcripts.
......
   第十五条 律师采用实地调查方式进行查验的,应当将实地调查情况作成笔录,由调查律师、被调查事项相关的自然人或者单位负责人签名。该自然人或者单位负责人拒绝签名的,应当在笔录中注明。
......

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