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Measures for the Administration of Representative Offices of Overseas Stock and Futures Exchanges in China [Effective]
境外证券期货交易所驻华代表机构管理办法 [现行有效]
【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. 157) (第157号)

The Measures for the Administration of Representative Offices of Overseas Stock and Futures Exchanges in China as deliberated and adopted at the first executive meeting of the China Securities Regulatory Commission in 2019 are hereby issued and shall come into force on the date of issuance. 《境外证券期货交易所驻华代表机构管理办法》已经中国证券监督管理委员会2019年第1次委务会议审议通过,现予公布,自公布之日起施行。
Chairman of the China Securities Regulatory Commission: Yi Huiman 中国证券监督管理委员会主席:易会满
July 25, 2019 2019年7月25日
Measures for the Administration of Representative Offices of Overseas Stock and Futures Exchanges in China 境外证券期货交易所驻华代表机构管理办法
Chapter I General Provisions 

第一章 总则

 
Article 1 These Measures are developed for the purposes of regulating the establishment and activities of the representative offices of overseas exchanges in China, in accordance with the Securities Law of the People's Republic of China, the Regulation on the Administration of Futures Trading, the Regulation on the Administration of Registration of Resident Representative Offices of Foreign Enterprises, and other relevant laws and regulations.   第一条 为规范境外交易所驻华代表机构的设立及其活动,根据《中华人民共和国证券法》《期货交易管理条例》《外国企业常驻代表机构登记管理条例》等有关法律法规,制定本办法。
Article 2 Overseas exchanges as referred to in these Measures include overseas stock exchanges, futures exchanges, automated quotations or electronic trading systems or markets for securities and futures, and overseas exchanges otherwise determined by the China Securities Regulatory Commission (hereinafter referred to as the "CSRC").   第二条 本办法所称境外交易所,包括境外证券交易所、期货交易所、证券期货自动报价或者电子交易系统或者市场,以及中国证券监督管理委员会(以下简称中国证监会)认定的其他境外交易所。
For the purpose of these Measures, "representative office of an overseas exchange in China" (hereinafter referred to as the "representative office") means a resident representative office established by any overseas exchange within the territory of China in accordance with the law, exclusively engaged in non-profit activities such as liaison, survey and research, or a representative office otherwise determined by the CSRC. 本办法所称境外交易所驻华代表机构(以下简称代表处),是指境外交易所在中国境内依法设立并专门从事联络、调研等非营利性活动的常驻代表机构,以及中国证监会认定的其他代表机构。
Article 3 The CSRC shall regulate representative offices in accordance with the law, by the principle of prudential regulation. The CSRC dispatched offices shall regulate representative offices in their respective jurisdictions within authority of the CSRC.   第三条 中国证监会根据审慎监管的原则,依法对代表处进行监管。中国证监会派出机构在中国证监会授权范围内对本辖区的代表处进行监管。
A representative office may voluntarily join any securities or futures industry organization and accept self-regulatory management. 代表处自愿加入证券、期货行业组织,接受自律管理。
Chapter II Establishment Filing 

第二章 设立备案

 
Article 4 An overseas exchange shall, within five working days after the registration of its representative office, submit the following filing materials to the CSRC dispatched office in the place where it is located and be responsible for the authenticity, accuracy and completeness of the materials:   第四条 境外交易所应当在代表处完成登记注册后5个工作日内向其所在地中国证监会派出机构提交下列备案材料,并对材料真实、准确与完整负责:
(1) A written application for filing addressed to the CSRC from the overseas exchange. (一)境外交易所出具的致中国证监会的备案申请书;
(2) A copy of the business license, legal business certificate, or the like issued by the relevant authority of the country or region, certified by the Chinese embassy (consulate) in the country, unless otherwise provided by any international treaty concluded or acceded to by China. (二)所在国家或者地区有关主管当局核发的、经中国驻该国使(领)馆认证的营业执照或者合法开业证明等复印件;中国缔结或者参加的国际条约另有规定的除外;
(3) The bylaws, management structure, ownership structure chart, scope of business, main rules of business, management systems, internal control mechanisms, and other descriptions of the overseas exchange and a list and profile of the members of its board of directors (council) and management. (三)境外交易所章程、管理架构、股权结构图、业务范围、主要业务规则、管理制度、内控机制等说明以及董事会(理事会)成员、管理层人员名单及简介;
(4) The annual reports for the three years before the date of submission of the filing materials by the overseas exchange. (四)境外交易所提交备案材料之日起过往3年的年报;
(5) The power of attorney for the chief representative issued by the overseas exchange. (五)境外交易所出具的首席代表授权书;
(6) A statement on whether the proposed chief representative has been punished for material violation of the laws and regulations in the most recent three years. (六)就拟任首席代表最近3年是否存在重大违法违规行为受到处罚情形的声明;
(7) The identification, resume, contact information, home address, and other information of the proposed chief representative. (七)拟任首席代表的身份证明、简历、联系方式及家庭住址等信息;
(8) A written undertaking addressed to the CSRC signed by the proposed chief representative. (八)由拟任首席代表签署的致中国证监会的承诺书;
(9) A copy of the registration certificate of the representative office. (九)代表处登记证复印件;
(10) The basic information of the representative office, including but not limited to its name, address, office telephone and fax numbers, scope of business, management systems, organizational structure, and information on its staff. (十)代表处基本信息,包括但不限于名称、住所地、办公场所的电话和传真、业务范围、管理制度、内部机构设置及工作人员信息;
(11) Documents otherwise required by the CSRC. (十一)中国证监会要求提交的其他文件。
Except in (4), any document written in a foreign language as mentioned in this Article shall be accompanied by a Chinese translation. 本条所列除第(四)项外,凡用外文书写的文件,均需附中文译本。
Article 5 Where the filing materials are complete, the CSRC dispatched office in the place where the representative office is located shall submit the filing materials to the CSRC in a timely manner, and the CSRC shall, within five working days, publish the name, modification, cancellation, related materials, and other information of the representative office seeking filing; and if the filing materials are incomplete, the CSRC dispatched office in the place where the representative office is located shall request the overseas exchange to make supplements.   第五条 备案材料齐备的,代表处所在地中国证监会派出机构应当将备案材料及时报送中国证监会,中国证监会应当在5个工作日内对备案代表处的名称、变更、撤销及相关材料等信息予以公示;备案材料不齐备的,代表处所在地中国证监会派出机构应当要求境外交易所补充齐备。
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