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Interim Measures for the Stock Issuance Examination and Verification Committee of the China Securities Regulatory Commission [Expired]
中国证券监督管理委员会股票发行审核委员会暂行办法 [失效]
【法宝引证码】

 
Order of the China Securities Regulatory Commission 

中国证券监督管理委员会令


(No. 16)
 
(第16号)


The Interim Measures for the Stock Issuance Examination and Verification Committee of the China Securities Regulatory Commission, which was adopted at the 36th executive meeting of the chairmen of the China Securities Regulatory Commission on July 17, 2003, and approved by the State Council on November 24, 2003, are hereby promulgated, and will come into force as of the promulgation.
 
《中国证券监督管理委员会股票发行审核委员会暂行办法》经2003年7月17日中国证券监督管理委员会第36次主席办公会议审议通过,并于2003年11月24日经国务院批准,现予公布,自公布之日起施行。

Upon the approval of the State Council, the Regulations on the Stock Issuance Examination and Verification Committee of the China Securities Regulatory Commission, which were approved by the State Council on August 19, and promulgated by the China Securities Regulatory Commission on September 16, 1999, shall be repealed simultaneously.
 
经国务院批准,1999年8月19日国务院批准、1999年9月16日中国证券监督管理委员会发布的《中国证券监督管理委员会股票发行审核委员会条例》同时废止。

Chairman Shang Fulin
 
主席 尚福林

December 5, 2003
 
二00三年十二月五日

Interim Measures for the Stock Issuance Examination and Verification Committee of the China Securities Regulatory Commission
 
中国证券监督管理委员会股票发行审核委员会暂行办法

 
Chapter I General Provisions 

第一章 总则


 
Article 1 The present Measures are hereby formulated in accordance with the relevant provisions of the Securities Law of the People's Republic of China for the purpose of ensuring the implementation of the principle of “openness, fairness and impartiality” in the examination and verification of stock issuance, and improving the quality and transparency of the examination and verification on stock issuance.   第一条 为了保证在股票发行审核工作中贯彻公开、公平、公正的原则,提高股票发行审核工作的质量和透明度,根据《中华人民共和国证券法》的有关规定,制定本办法。

 
Article 2 The China Securities Regulatory Commission (hereinafter referred to as the “CSRC”) establishes the Stock Issuance Examination and Verification Committee (hereinafter referred to as the “SIEVC”), who shall, in accordance with the Company Law of the People's Republic of China, the Securities Law of the People's Republic of China, and other laws and administrative regulations, as well as the provisions of the CSRC, make examination and verification on the application documents of the issuers for stock issuance and the initial examination report of the relevant functional departments of the CSRC.   第二条 中国证券监督管理委员会(以下简称中国证监会)设立股票发行审核委员会(以下简称发审委),依照《中华人民共和国公司法》、《中华人民共和国证券法》等法律、行政法规和中国证监会的规定,对发行人的股票发行申请文件和中国证监会有关职能部门的初审报告进行审核。

The SIEVC shall vote on the application for stock issuance by way of casting ballots, and bring forward opinions on the examination and verification.
 
发审委以投票方式对股票发行申请进行表决,提出审核意见。

The CSRC shall approve the application for stock issuance according to statutory requirements on the basis of the examination and verification opinions of the SIEVC.
 
中国证监会在发审委审核意见的基础上,依照法定条件核准股票发行申请。

 
Article 3 The SIEVC shall perform their functions through the work meeting of the SIEVC (hereinafter referred to as the SIEVC meeting).   第三条 发审委通过发审委工作会议(以下简称发审委会议)履行职责。

 
Article 4 The CSRC is responsible for the routine management on affairs of the SIEVC and the examination on and supervision over the members of the SIEVC.   第四条 中国证监会负责对发审委事务的日常管理以及对发审委委员的考核和监督。

 
Article 5 The procedures for approval of stock issuance shall be open, and be supervised according to law.   第五条 股票发行核准程序应当公开,依法接受监督。

 
Chapter II The Composition of the SIEVC 

第二章 发审委的组成


 
Article 6 The members of the SIEVC shall be recommended by the relevant administrative departments, self-disciplinary organizations of the respective industry, research institutions and academies for higher education, etc., and appointed by the CSRC.   第六条 发审委委员由有关行政机关、行业自律组织、研究机构和高等院校等推荐,由中国证监会聘任。

The number of the SIEVC members shall be 25, and some of them may be full-time employees. Five of the SIEVC members shall come from the CSRC, and the other 20 members shall come from outside the CSRC.
 
发审委委员为25名,部分发审委委员可以为专职。其中中国证监会的人员5名,中国证监会以外的人员20名。

The SIEVC shall have 5 conveners.
 
发审委设会议召集人5名。

 
Article 7 The tenure of a member of the SIEVC is one year, and upon the expiration of the term, he may be reappointed and serve another term, but his tenure thereof shall not longer than 3 consecutive years at most.   第七条 发审委委员每届任期一年,可以连任,但连续任期最长不超过3届。

 
Article 8 A member of the SIEVC shall meet the following requirements:   第八条 发审委委员应当符合下列条件:

 
1. Sticking to principles, being of impartiality and probity, devoting to duties and posts, and strictly abiding by laws, administrative regulations and rules; (一)坚持原则,公正廉洁,忠于职守,严格遵守国家法律、行政法规和规章;

 
2. Being familiar with the business of securities and accounting and other relevant laws, administrative regulations and rules; (二)熟悉证券、会计业务及有关的法律、行政法规和规章;

 
3. Being proficient in special knowledge of his profession, and enjoying a higher reputation in his practicing field; (三)精通所从事行业的专业知识,在所从事的领域内有较高声誉;

 
4. Having no records in violation of laws or disciplines; and (四)没有违法、违纪记录;

 
5. Other requirements as believed necessary by the CSRC. (五)中国证监会认为需要符合的其它条件。

 
Article 9 In case any member of the SIEVC is in any one of the following circumstances, the CSRC shall dismiss him:   第九条 发审委委员有下列情形之一的,中国证监会应当予以解聘:

 
1. Violating laws, administrative regulations, rules or disciplines of the work for the examination and verification on stock issuance; (一)违反法律、行政法规、规章和发行审核工作纪律的;

 
2. Failing to fulfill his due diligence duty in accordance with the relevant provisions of the CSRC; (二)未按照中国证监会的有关规定勤勉尽职的;

 
3. Filing an application for resignation in person; (三)本人提出辞职申请的;

 
4. Failing to attend the SIEVC meeting without reason for more than twice; or (四)2次以上无故不出席发审委会议的;

 
5. Other circumstances through which the CSRC thinks he is unsuitable for assuming the post of the SIEVC member after examination. (五)经中国证监会考核认为不适合担任发审委委员的其他情形。

Whether the term of office of a member of the SIEVC expires or not, he may be dismissed. And after a member of the SIEVC has been dismissed, the CSRC shall elect and appoint a new SIEVC member in time.
 
发审委委员的解聘不受任期是否届满的限制。发审委委员解聘后,中国证监会应及时选聘新的发审委委员。

 
Chapter III Responsibilities of the SIEVC 

第三章 发审委的职责


 
Article 10 The responsibilities of the SIEVC shall be: According to the relevant laws, administrative regulations and provisions of the CSRC, examining and verifying whether the application for stock issuance meets the requirements for the public issuance of stocks; auditing the relevant documents and position papers issued by the recommendation institutions with guarantee, accounting firms, law firms, and assets valuation institutions, and other securities intermediary institutions, and by the relevant personnel thereof for stock issuance; auditing the initial examination report issued by the relevant functional departments of the CSRC; and bringing forward opinions for examination and verification on application for stock issuance according to law.   第十条 发审委的职责是:根据有关法律、行政法规和中国证监会的规定,审核股票发行申请是否符合公开发行股票的条件;审核保荐机构、会计师事务所、律师事务所、资产评估机构等证券中介机构及相关人员为股票发行所出具的有关材料及意见书;审核中国证监会有关职能部门出具的初审报告;依法对股票发行申请提出审核意见。

 
Article 11 The members of the SIEVC may attend the SIEVC meeting personally, perform duties according to law, and issue opinions on examination and verification independently, as well as exercise voting rights.   第十一条 发审委委员以个人身份出席发审委会议,依法履行职责,独立发表审核意见并行使表决权。

 
Article 12 The members of the SIEVC may, through the relevant functional departments of the CSRC, consult relevant documents in relation to the issuers, which are necessary for their performing duties for consultation.   第十二条 发审委委员可以通过中国证监会有关职能部门调阅履行职责所必需的与发行人有关的资料。

 
Article 13 The members of the SIEVC shall observe the following provisions:
......
   第十三条 发审委委员应当遵守下列规定:
......

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