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Decision of the China Securities Regulatory Commission to Amend Seven Rules including the Measures for the Administration of Securities Registration and Clearing [Effective]
中国证券监督管理委员会关于修改《证券登记结算管理办法》等七部规章的决定 [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. 137) (第137号)

The Decision to Amend Seven Rules including the Measures for the Administration of Securities Registration and Clearing, as deliberated and adopted at the 8th chairman's executive meeting of the China Securities Regulatory Commission (“CSRC”) on November 21, 2017, is hereby issued, and shall come into force on the date of issuance. 《关于修改<证券登记结算管理办法>等七部规章的决定》已经2017年11月21日中国证券监督管理委员会2017年第8次主席办公会议审议通过,现予公布,自公布之日起施行。
Chairman of the China Securities Regulatory Commission: Liu Shiyu 中国证券监督管理委员会主席:刘士余
December 7, 2017 2017年12月7日
Annex: 附件:
Decision to Amend Seven Rules including the Measures for the Administration of Securities Registration and Clearing 关于修改《证券登记结算管理办法》等七部规章的决定
In accordance with the requirements of the Notice of the General Office of the State Council on Further Conducting the Review of Regulations and Regulatory Documents Involved in the “Decentralization-Control-Service” Reform in an Effective Manner (No. 40 [2017], General Office of the State Council), the CSRC has reviewed the departmental rules involved in the “decentralization-control-service” reform. Upon review, it has decided to amend certain clauses of seven rules. 根据《国务院办公厅关于进一步做好“放管服”改革涉及的规章、规范性文件清理工作的通知》(国办发[2017]40号)要求,中国证券监督管理委员会对“放管服”改革涉及的部门规章进行了清理。经过清理,决定对七部规章的部分条款予以修改。
I. Items (2) and (3) of Article 10 of the Measures for the Administration of Securities Registration and Clearing are deleted.   一、删去《证券登记结算管理办法》第十条第二项、第三项。
Two items are added as items (10) and (11) of Article 11: 增加两项,作为第十一条第十项、第十一项:
“(10) Major international cooperation and exchange activities, and major affairs involving Hong Kong, Macao or Taiwan. “(十)重大国际合作与交流活动、涉港澳台重大事务;
“(11) The determination of or adjustments to major charging items and rates related to securities registration and clearing.” “(十一)与证券登记结算有关的主要收费项目和标准的制定或调整”。
II. Article 10 of the Interim Measures for the Administration of National Equities Exchange and Quotations Co., Ltd. is amended to read: “A report on new securities varieties quoted on the NEEQ shall be made to the CSRC, and new transfer methods shall be reported to the CSRC for approval.”   二、将《全国中小企业股份转让系统有限责任公司管理暂行办法》第十条修改为:“全国股份转让系统挂牌新的证券品种应当向中国证监会报告,采用新的转让方式应当报中国证监会批准。”
In Article 16, “shall be reported to the CSRC for approval” is replaced by “shall be reported to the CSRC.” 
III. In Article 11 of the Pilot Measures for the Supervision and Administration of the Refinancing Business, “shall be subject to the approval of the CSRC” is replaced by “shall be reported to the CSRC for recordation”. 第十六条中的“应当报中国证监会批准”修改为“应当向中国证监会报告”。
In Articles 23, 37 and 48, “shall be implemented upon the approval of the CSRC” is replaced by “shall be implemented upon the recordation of the CSRC.” 
IV. Item (9) of Article 10 of the Measures for the Management of the Sponsorship Business of the Offering and Listing of Securities is amended to read: “(9) The net capital calculation table, the risk capital reserve calculation sheet and the risk control index supervision statement of the last year in compliance with the relevant provisions.”   三、将《转融通业务监督管理试行办法》第十一条中的“应当经证监会批准”修改为“应当报证监会备案”。
Item (6) of Article 11 is amended to read: “(6) Other conditions prescribed by the Securities Association of China.” 
Article 12 is deleted. 第二十三条、第三十七条、第四十八条中的“经证监会批准后实施”修改为“报证监会备案后实施”。
In Article 14, “for an application for the qualification of sponsor representatives, a written decision to approve or disapprove the application shall be made within 20 working days from the date of accepting the application” is deleted. 
Article 16 is deleted.   四、将《证券发行上市保荐业务管理办法》第十条第九项修改为:“(九)符合规定的最近1年度净资本计算表、风险资本准备计算表和风险控制指标监管报表”。
In Article 17, “sponsor representatives” is deleted. 
Article 19 is deleted. 第十一条第六项修改为:“(六)中国证券业协会规定的其他条件”。
In Article 20, “sponsor representatives” is deleted. 删去第十二条。
 删去第十四条中的“对保荐代表人资格的申请,自受理之日起20个工作日内做出核准或者不予核准的书面决定”。
 删去第十六条。
 删去第十七条中的“保荐代表人”。
 删去第十九条。
 删去第二十条中的“保荐代表人”。
 删去第二十一条。
Article 21 is deleted. 第六十三条修改为:“中国证监会对保荐机构及其相关人员进行持续动态的跟踪管理,记录其业务资格、执业情况、违法违规行为、其他不良行为以及对其采取的监管措施等。保荐信用记录向社会公开。”
 删去第六十五条第二款。
 删去第八十一条。
Article 63 is amended to read: “The CSRC shall conduct continuous and dynamic follow-up management of sponsor institutions and their relevant personnel, record their business qualifications, practices, violations of laws and regulations, other bad acts and the regulatory measures taken against them, among others. The sponsorship credit records shall be released to the public.”   五、将《期货交易所管理办法》第六条修改为:“设立期货交易所,由中国证监会审批。未经国务院或者中国证监会批准,任何单位或者个人不得设立期货交易场所或者以任何形式组织期货交易及其相关活动。”
Paragraph 2 of Article 65 is deleted. 
Article 81 is deleted. 第十三条中的“应当经中国证监会批准”修改为“应当事前向中国证监会报告”。
V. Article 6 of the Measures for the Administration of Futures Exchanges is amended to read: “The formation of a futures exchange shall be subject to the approval of the CSRC. Without the approval of the State Council or the CSRC, no entity or individual may form any futures exchange or organize any futures trading and relevant activities in any form.” 第十四条第一款修改为:“期货交易所的合并、分立或者变更组织形式,应当事前向中国证监会报告。”
In Article 13, “shall be subject to the approval of the CSRC” is replaced by “shall report to the CSRC in advance.” 
Paragraph 1 of Article 14 is amended to read: “A futures exchange shall report its business combination or division or modification of organizational form to the CSRC in advance.” 
In paragraph 2 of Article 17, “shall be subject to the approval of the CSRC” is replaced by “shall report to the CSRC in advance.” 
In paragraph 2 of Article 18, “shall be subject to the approval of the CSRC” is replaced by “shall report to the CSRC in advance.” 
Article 61 is amended to read: “A futures exchange shall adopt the all-member settlement system or the graded member clearing system, which shall be reported to the CSRC in advance.” 第十七条第二款中的“由中国证监会批准”修改为“应当事前向中国证监会报告”。
Article 67 is deleted. 第十八条第二款中的“应当报中国证监会批准”修改为“应当事前向中国证监会报告”。
Article 93 is amended to read: “A futures exchange's formulation or amendments to bylaws, trading rules, listing, suspension, cancellation or resumption of trading varieties shall be subject to the approval of the CSRC. A futures exchange shall report its listing, amendments to or termination of contracts to the CSRC in advance.” 第六十一条修改为:“期货交易所实行全员结算制度或者会员分级结算制度,应当事前向中国证监会报告。”
In paragraph 1 of Article 94, “shall be subject to the approval of the CSRC” is replaced by “shall report to the CSRC in advance.” 删去第六十七条。
Article 95 is amended to read: “The futures exchange that develops or amends the detailed rules for the implementation of the trading rules shall report to the CSRC in advance.” 第九十三条修改为:“期货交易所制定或者修改章程、交易规则,上市、中止、取消或者恢复交易品种,应当经中国证监会批准。期货交易所上市、修改或者终止合约,应当事前向中国证监会报告。”
In Article 98, “shall be subject to the approval of the CSRC” is replaced by “shall report in advance according to the relevant provisions of the CSRC.” 
In Article 110, “Article 68 of the Regulation on the Administration of Futures Trading” is replaced by “Article 64 of the Regulation on the Administration of Futures Trading.” 
In Article 111, “Article 69 of the Regulation on the Administration of Futures Trading” is replaced by “Article 65 of the Regulation on the Administration of Futures Trading.” Item (1) is amended to read: (1) Changing its name or registered capital without reporting.” 
In Article 112, “Article 82 of the Regulation on the Administration of Futures Trading” is replaced by “Article 78 of the Regulation on the Administration of Futures Trading.” 
VI. In item (6) of Article 14 of the Measures for the Supervision and Administration of Futures Companies, “paragraph 2 of Article 56 and Article 57 of the Regulation on the Administration of Futures Trading” is replaced by “paragraph 2 of Article 55 and Article 56 of the Regulation on the Administration of Futures Trading.” 第九十四条第一款中的“并报中国证监会批准”修改为“并事前向中国证监会报告”。
Article 20 is amended to read: “To modify the legal representative of a futures company, the to-be-appointed legal representative shall have the qualification for assuming the post. The futures company shall, within five working days after completing modification registration at the administrative department for industry and commerce, submit the following recordation materials to the local CSRC office at the place of its domicile: 第九十五条修改为:“期货交易所制定或者修改交易规则的实施细则,应当事前向中国证监会报告。”
“(1) Recordation report. 
“(2) A photocopy of the duplicate of the business license after modification. 
“(3) The document on the company's resolution. 
“(4) The legal representative's qualification certificate to conduct the futures business and certificate on office qualifications. 
“(5) The original and duplicate of the original License for Engaging in the Futures Business of the futures company. 
“(6) Other documents required by CSRC.” 
In Article 21, “Where a futures company modifies its domicile, it shall properly deal with clients' assets, the domicile to be moved into and the facilities to be used shall satisfy its business needs” is amended to read: “Where a futures company modifies its domicile or business premise, it shall properly deal with its clients' assets. The domicile to be moved into and the facilities to be used shall satisfy its business needs. It shall report to the local CSRC office at the place of its domicile within five working days after completing relevant modification registration at the administrative department for industry and commerce.” 
Article 22 is amended to read: “Where a futures company changes its domicile or business premise, it shall submit the following recordation materials to the local CSRC office at the place where the company will move into: 第九十八条中的“应当经中国证监会批准”修改为“应当按照中国证监会有关规定进行事前报告”。
“(1) Recordation report. 
“(2) A photocopy of the duplicate of the business license after modification. 
“(3) Document on the company's resolution. 
“(4) Information on the disposal of clients' assets, and an explanation that the domicile after modification and used facilities satisfy the requirements for conducting the futures business. 
“(5) The certificate on the ownership of or right to use the domicile after modification and the compliance certificate for fire control. 
“(6) The opinion of the chief risk officer on the company's compliance with relevant conditions. 
“(7) The original and duplicate of the original License for Engaging in the Futures Business of the futures company. 
“(8) Other documents required by the CSRC. 
“A futures company shall, when submitting recordation materials, send a copy of the recordation materials to the local CSRC office at the place where the company is to move out at the same time.” 
Paragraph 1 of Article 23 is amended to read: “A futures company that forms a business department, branch company or any other domestic branch office shall, within five working days after completing relevant formation registration at the administrative department for industry and commerce, report it to the local CSRC office at the place of the company's domicile for recordation.” In paragraph 2, “a futures company that applies for the formation of a branch office” is replaced by “a futures company that forms a domestic branch office.” 
Article 24 is amended to read: “A futures company that forms a domestic branch office shall submit the following recordation materials to the local CSRC office at the place of the company's domicile: 第一百一十条中的“《期货交易管理条例》第六十八条”修改为“《期货交易管理条例》第六十四条”。
“(1) Recordation report. 
“(2) A photocopy of the duplicate of the business license of the branch office. 
“(3) The document on the company's resolution. 
“(4) The certificate on the office qualifications of the person in charge of the branch office. 
“(5) The name list of practitioners of the branch office and certificate on the qualification to conduct the futures business. 
“(6) The certificate on the ownership of or right to use the business premise and the compliance certificate for fire control. 
“(7) The opinions of the chief risk officer on the company's compliance with the relevant conditions. 
“(8) Other documents required by the CSRC. 
“A futures company shall, when submitting recordation materials, send a copy of the recordation materials to the local CSRC office at the place where the to-be-formed branch office is located at the same time.” 
Article 26 is amended to read: “Where a futures company terminates a domestic branch office, it shall properly dispose of the clients' assets of the branch office in advance, settle the business of the branch office and terminate its business operations, and submit the following recordation materials to the local CSRC office at the place where the branch office is located within five working days after completing the aforesaid work: 第一百一十一条中的“《期货交易管理条例》第六十九条”修改为“《期货交易管理条例》第六十五条”。第一项修改为广(一)未经报告变更名称或者注册资本”。
“(1) Recordation report. 
“(2) A document on the company's resolution. 
“(3) An explanation on the disposal of clients' assets of the branch office, settlement of the futures business, and termination of business operations. 
“(4) The certificate on the announcement on the newspaper or periodical designated by the CSRC. 
“(5) The opinion of the chief risk officer on the company's compliance with relevant conditions. 
“(6) Other documents required by the CSRC. 
“A futures company shall, when submitting recordation materials, send a copy of the recordation materials to the local CSRC office at the place of domicile of the company at the same time.” 
In Article 27, “A futures company that applies for forming, acquiring or purchasing non-controlling shares of an overseas futures business institution shall meet the following conditions” is replaced by “A futures company that forms, acquires, purchases non-controlling shares or terminates an overseas futures business institution shall meet the following conditions and report to the CSRC for recordation within five working days from the date when the company's resolution takes effect. 
Article 28 is amended to read: “A futures company which forms, acquires, purchases non-controlling shares or terminates an overseas futures business institution shall submit the following recordation materials to the CSRC within five working days after obtaining the confirmation documents of the relevant overseas regulatory authority: 第一百一十二条中的“《期货交易管理条例》第八十二条”修改为“《期货交易管理条例》第七十八条”。
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