Measures of China Securities Regulatory Commission for the Issuance Examination Committee | | 中国证券监督管理委员会发行审核委员会办法 |
| (Deliberated and adopted at the 179th chairman's executive meeting of the China Securities Regulatory Commission on May 8, 2006, and revised in accordance with the Decision of the China Securities Regulatory Commission on Amending the Measure of China Securities Regulatory Commission for the Issuance Examination Committee on May 13, 2009 and July 7, 2017) | | （2006年5月8日中国证券监督管理委员会第179次主席办公会议审议通过 根据2009年5月13日、2017年7月7日中国证券监督管理委员会《关于修改〈中国证券监督管理委员会发行审核委员会办法〉的决定》修正） |
| Chapter I General Provisions | | 第一章 总则 |
| Article 1 For the purposes of guaranteeing the implementation of the principles of openness, fairness and impartiality in stock issuance examination, enhancing the quality, efficiency and transparency of stock issuance examination, and protecting investors' lawful rights and interests in a more effective manner, these Measures are developed in accordance with the relevant provisions of the Securities Law of the People's Republic of China. | | 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、效率和透明度，更好地保护投资者合法权益，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”) shall establish the Issuance Examination Committee (hereinafter referred to as the “IEC”) and the Examination Committee for Mergers, Acquisitions and Restructurings of Listed Companies (hereinafter referred to as the “Committee for M&A and Restructurings”). | | 第二条 中国证券监督管理委员会（以下简称中国证监会）设立发行审核委员会（以下简称发审委）和上市公司并购重组审核委员会（以下简称并购重组委）。 |
| These Measures shall apply to the IEC's examination of issuers' stock issuance applications and applications for the issuance of other securities recognized by the CSRC such as convertible corporate bonds (hereinafter collectively referred to as “stock issuance applications”). | | 发审委审核发行人股票发行申请和可转换公司债券等中国证监会认可的其他证券的发行申请（以下统称股票发行申请），适用本办法。 |
| The rules on the composition, functions and work procedures, among others, of the Committee for M&A and Restructurings shall be developed separately. | | 并购重组委的组成、职责、工作规程等另行制定。 |
Article 3 The IEC shall, in accordance with the Company Law of the People's Republic of China, the Securities Law of the People's Republic of China | | 第三条 发审委依照《中华人民共和国证券法》、《中华人民共和国公司法》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 IEC shall vote on the applications for stock issuance by way of casting ballots, and bring forward examination opinions. | | 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, according to the statutory conditions and procedures, make decisions on approving or disapproving the applications for stock issuance. | | 中国证监会依照法定条件和法定程序作出予以核准或者不予核准股票发行申请的决定。 |
| Article 4 The IEC shall perform its functions through the work meeting of the IEC (hereinafter referred to as the IEC meeting). | | 第四条 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 5 The CSRC shall be responsible for the routine management of the affairs of the IEC as well as the examination and supervision over the members of the IEC. | | 第五条 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。 |
| Chapter II Composition of the IEC | | 第二章 发审委的组成 |
| Article 6 IEC members shall consist of professionals of the CSRC and relevant experts outside the CSRC, who shall be appointed by the CSRC. | | 第六条 发审委委员由中国证监会的专业人员和中国证监会外的有关专家组成，由中国证监会聘任。 |
| The number of IEC members shall be 66, some of whom may work full time. | | 发审委委员为66名，部分发审委委员可以为专职。 |
| The IEC shall have a meeting convener. | | 发审委设会议召集人。 |
| Article 7 The term of office of an IEC member shall be one year, and upon the expiration of the term, the member may be reappointed, but the member shall only serve two consecutive terms at most. At least a half of IEC members shall be replaced each year. | | 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2届。发审委委员每年至少更换一半。 |
| The members of the IEC and the Committee for M&A and Restructurings may not hold a concurrent position in each other. | | 发审委委员和并购重组委委员不得相互兼任。 |
| Article 8 The CSRC shall set up the IEC member selection committee to select and appoint members for the IEC based on the principles of compliance with laws, openness and selection of the superior, and the candidates for IEC members shall be disclosed to the market for social supervision. | | 第八条 中国证监会设立发审委遴选委员会，按照依法、公开、择优的原则选聘发审委委员，发审委委员人选向市场公开，接受社会监督。 |
| Article 9 An IEC member shall meet the following conditions: | | 第九条 发审委委员应当符合下列条件： |
| (1) He or she shall have high ideological and political quality, theoretical level and morality. | | （一）具有较高的政治思想素质、理论水平和道德修养； |
| (2) He or she shall adhere to principles, be impartial and honest, devote to his or her duties and posts, and strictly abide by the laws, administrative regulations and rules of the state. | | （二）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； |
| (3) He or she shall be familiar with the securities and accounting business and the relevant laws, administrative regulations and rules. | | （三）熟悉证券、会计业务及有关的法律、行政法规和规章； |
| (4) He or she shall have a good command of the professional knowledge of his or her profession, and have a high reputation within the field he or she is engaged in. | | （四）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； |
| (5) He or she shall have no record of any violation of law or discipline. | | （五）没有违法、违纪记录； |
| (6) He or she shall meet other conditions required by the CSRC. | | （六）中国证监会认为需要符合的其他条件。 |
| Article 10 In case any IEC member is under any of the following circumstances, the CSRC shall dismiss him: | | 第十条 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 any law, administrative regulation, rule or discipline regarding the work of issuance examination; | | （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 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 by himself; | | （三）本人提出辞职申请的； |
| (4)Failing to attend the IEC meetings without reason for twice or more; or | | （四）2次以上无故不出席发审委会议的； |
| (5)Other circumstances under which the CSRC thinks he is unsuitable for assuming the post of IEC members 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 tenure of an IEC member expires or not, he may be dismissed. And after an IEC member has been dismissed, the CSRC shall elect and appoint a new IEC 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。 |
| Where an IEC member is dismissed due to any violation of law or regulation, the employer shall be disqualified from recommending candidates for IEC members once again within five years. If the IEC member is a staff member of a state organ or public institution, the entity shall be informed of the relevant situation, and impose the corresponding punishment on the member. | | 发审委委员因违法违规被解聘的，取消其所在单位5年内再次推荐发审委委员的资格，发审委委员为国家机关、事业单位工作人员的，通报其所在单位，由其所在单位作出相应处分。 |
| Chapter III Responsibilities of the IEC | | 第三章 发审委的职责 |
| Article 11 The IEC shall, according to the relevant laws, administrative regulations and the provisions of the CSRC, be obliged to examine whether the applications for stock issuance meet the relevant requirements, examine the relevant materials and letters of opinions as issued by the recommendation institutions, accounting firms, law firms, assets valuation institutions and other securities intermediary institutions as well as the relevant personnel thereof for the stock issuance, examine the preliminary examination reports issued by the relevant functional departments of the CSRC and bring forward the examination opinions on the applications for stock issuance. | | 第十一条 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相关条件；审核保荐人、会计师事务所、律师事务所、资产评估机构等证券服务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 12 An IEC member shall attend the IEC meeting in his own name, perform his duties according to law, and issue examination opinions and exercise his voting right independently. | | 第十二条 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 13 An IEC member may, through the relevant functional departments of the CSRC, consult the relevant documents in relation to the issuers, which are necessary for performing his duties. | | |
| Article 14 An IEC member shall observe the following provisions: | | 第十四条 发审委委员应当遵守下列规定： |
| (1)Attending the IEC meetings as required, and fulfilling his due diligence in the examination work; | | （一）按要求出席发审委会议，并在审核工作中勤勉尽职； |
| (2)Keeping state secrets and the business secrets of the issuers; | | （二）保守国家秘密和发行人的商业秘密； |
| (3)Being prohibited from disclosing any contents discussed in the IEC meetings, the voting information, or any other relevant information; | | （三）不得泄露发审委会议讨论内容、表决情况以及其他有关情况； |
| (4)Being prohibited from taking advantage of the position as an IEC member or the non-public information he has access to in performing his duties to directly or indirectly seek interests for himself or any other people; | | （四）不得利用发审委委员身份或者在履行职责上所得到的非公开信息，为本人或者他人直接或者间接谋取利益； |
| (5)shall not have any interest relationship with any issuer, and shall not directly or indirectly accept any gift such as money and articles or other benefits from any issuer or any relevant entity or individual; and the member, or his or her spouse, parents, children or spouses thereof shall not hold, directly or under a pseudonym or in the name of any other person, any stock approved by him or her for issuance, and shall not have any private contact with any issuer or any other relevant entity or individual; | | （五）不得与发行人有利害关系，不得直接或间接接受发行人及相关单位或个人提供的资金、物品等馈赠和其他利益，本人及配偶、父母、子女及其配偶不得直接或者以化名、借他人名义持有所核准的发行申请的股票，不得私下与发行人及其他相关单位或个人进行接触； |
(6)Being prohibited from colluding with any other IEC member to cast votes or inducing any other IEC member to cast votes;
．．．．．． | | （六）不得有与其他发审委委员串通表决或者诱导其他发审委委员表决的行为；
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