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| Order of the China Securities Regulatory Commission and the Ministry of Justice | | 中国证券监督管理委员会、司法部令 |
(No. 41) | |
（第41号） |
The Measures for the Administration of the Provision of Securities Legal Services by Law Firms, which have been deliberated and adopted at the chairmen's meeting of China Securities Regulatory Commission and the executive meeting of the Ministry of Justice, are hereby promulgated and shall come into force as of May 1, 2007. | |
《律师事务所从事证券法律业务管理办法》已经中国证券监督管理委员会主席办公会议和司法部部务会议审议通过，现予公布，自2007年5月1日起施行。 |
Chairman of China Securities Regulatory Commission Shang Fulin | |
中国证券监督管理委员会主席：尚福林 |
Director of the Ministry of Justice Wu Aiying | |
中华人民共和国司法部部长：吴爱英 |
March 9, 2007 | |
二○○七年三月九日 |
Annex: | |
附件： |
Measures for the Administration of the Provision of Securities Legal Services by Law Firms | |
律师事务所从事证券法律业务管理办法 |
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| Chapter I General Provisions | | 第一章 总则 |
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| Article 1 These Measures are formulated according to the Securities Law and the Lawyers Law for the purpose of strengthening the supervision over and administration of the provision of securities legal services by law firms, regulating the practice of lawyers in the securities issuance, listing and trading, improving the legal risk prevention mechanism, maintaining the securities market order, and protecting the legitimate rights and interests of investors. | | 第一条 为了加强对律师事务所从事证券法律业务活动的监督管理，规范律师在证券发行、上市和交易等活动中的执业行为，完善法律风险防范机制，维护证券市场秩序，保护投资者的合法权益，根据《证券法》和《律师法》，制定本办法。 |
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| Article 2 The provision of securities legal services by law firms and the lawyers they assign shall be governed by these Measures. | | 第二条 律师事务所及其指派的律师从事证券法律业务，适用本办法。 |
The “securities legal services” as mentioned in the preceding paragraph refers to the legal services in which the law firms accept the entrustment of clients for the formulation and issuance of written legal opinions and other documents about their securities issuance, listing and trading, etc. | |
前款所称证券法律业务，是指律师事务所接受当事人委托，为其证券发行、上市和交易等证券业务活动，提供的制作、出具法律意见书等文件的法律服务。 |
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| Article 3 To provide securities legal services, a law firm and the lawyers it assigns shall abide by the laws, administrative regulations and relevant provisions, follow the principles of righteousness, good faith, independence, assiduity and fulfillment, scrupulously observe the lawyer's professional ethics and practicing disciplines, strictly perform statutory duties, and ensure the authenticity, accuracy and integrity of the documents as issued. | | 第三条 律师事务所及其指派的律师从事证券法律业务，应当遵守法律、行政法规及相关规定，遵循诚实、守信、独立、勤勉、尽责的原则，恪守律师职业道德和执业纪律，严格履行法定职责，保证其所出具文件的真实性、准确性、完整性。 |
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| Article 4 A law firm shall establish and improve its risk-control rules, strengthen the management of the provision of securities legal services by its lawyers and enhance the level of securities legal services of its lawyers. | | 第四条 律师事务所应当建立健全风险控制制度，加强对律师从事证券法律业务的管理，提高律师证券法律业务水平。 |
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| Article 5 China Securities Regulatory Commission (hereinafter referred to as CSRC) and its dispatched offices, the Ministry of Justice and local judicial administrative organs shall supervise and administrate the provision of securities legal services by law firms. | | 第五条 中国证券监督管理委员会（以下简称中国证监会）及其派出机构、司法部及地方司法行政机关依法对律师事务所从事证券法律业务进行监督管理。 |
A bar association shall conduct self-discipline management of the provision of securities legal services by law firms according to its Articles of association and the standards for the lawyers' industry. | |
律师协会依照章程和律师行业规范对律师事务所从事证券法律业务进行自律管理。 |
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| Chapter II Business Scope | | 第二章 业务范围 |
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| Article 6 When providing securities legal services, a law firm may issue legal opinions about the following matters: | | 第六条 律师事务所从事证券法律业务，可以为下列事项出具法律意见： |
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| (1) initial public offering and listing of stocks; | | （一）首次公开发行股票及上市； |
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| (2) issuance and listing of securities by listed companies; | | （二）上市公司发行证券及上市； |
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| (3) acquisition, important asset restructuring, and repurchase of shares by listed companies; | | （三）上市公司的收购、重大资产重组及股份回购； |
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| (4) equity incentive plan carried out by the listed company; | | （四）上市公司实行股权激励计划； |
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| (5) holding of the general assembly of shareholders by the listed company; | | （五）上市公司召开股东大会； |
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| (6) directly or indirectly going abroad for the issuance of securities by domestic enterprises, and listing and trading of these securities abroad; | | （六）境内企业直接或者间接到境外发行证券、将其证券在境外上市交易； |
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| (7) establishment, modification, resolution and termination of securities companies, securities investment fund management companies and their branches; | | （七）证券公司、证券投资基金管理公司及其分支机构的设立、变更、解散、终止； |
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| (8) raising of securities investment funds, and establishment of integrated asset management plans of securities companies; | | （八）证券投资基金的募集、证券公司集合资产管理计划的设立； |
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| (9) issuance and listing of securities derivatives; and | | （九）证券衍生品种的发行及上市； |
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| (10) other matters prescribed by CSRC. | | （十）中国证监会规定的其他事项。 |
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| Article 7 A law firm may accept the entrustment of a client and organize the formulation of legal documents on securities business. | | 第七条 律师事务所可以接受当事人的委托，组织制作与证券业务活动相关的法律文件。 |
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| Article 8 Law firms meeting the following requirements are encouraged to provide securities legal services: | | 第八条 鼓励具备下列条件的律师事务所从事证券法律业务： |
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| (1) having well-established internal management rules, sound risk-control rules, a high practice level and a good social reputation; | | （一）内部管理规范，风险控制制度健全，执业水准高，社会信誉良好； |
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| (2) having 20 or more practicing lawyers, of which, five or more have experience in providing securities legal services; | | （二）有20名以上执业律师， 其中5名以上曾从事过证券法律业务； |
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| (3) having purchased valid practice liability insurances; and | | （三）已经办理有效的执业责任保险； |
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| (4) having no record of administrative penalty due to illegal practice for the recent two years. | | （四）最近2年未因违法执业行为受到行政处罚。 |
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| Article 9 Lawyers that meet any of the following conditions and have no record of administrative penalty due to illegal practice for the recent two years are encouraged to provide securities legal services: | | 第九条 鼓励具备下列条件之一，并且最近2年未因违法执业行为受到行政处罚的律师从事证券法律业务： |
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| (1) having experience in providing securities legal services in the latest three years; | | （一）最近3年从事过证券法律业务； |
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| (2) having been practicing during the latest consecutive three years, and the lawyer who plans to undertake the business together with him has experience of providing securities legal services in the latest three years; and | | （二）最近3年连续执业，且拟与其共同承办业务的律师最近3年从事过证券法律业务； |
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| (3) having consecutively engaged in the teaching or research in the field of securities law for the latest three years, or having accepted trainings about securities legal services. | | （三）最近3年连续从事证券法律领域的教学、研究工作，或者接受过证券法律业务的行业培训。 |
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| Article 10 A lawyer whose practice license has been revoked shall not provide securities legal services any more. | | 第十条 律师被吊销执业证书的，不得再从事证券法律业务。 |
A lawyer against whom the CSRC has adopted the measure of banning the entry into the securities market or the judicial administrative organ has given a penalty of suspending the practice shall not provide securities legal services within the prescribed term for ban or suspension of practice. | |
律师被中国证监会采取证券市场禁入措施或者被司法行政机关给予停止执业处罚的，在规定禁入或者停止执业的期间不得从事证券法律业务。 |
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| Article 11 A same law firm shall not simultaneously issue legal opinions for both the issuer and the recommender or the securities underwriting company for a same securities issuance, and shall not simultaneously issue legal opinions for the acquirer and the listed company being acquired in a same acquisition initiative, nor may it simultaneously issue legal opinions for different clients that have a conflict of interests in a same securities business. | | 第十一条 同一律师事务所不得同时为同一证券发行的发行人和保荐人、承销的证券公司出具法律意见，不得同时为同一收购行为的收购人和被收购的上市公司出具法律意见，不得在其他同一证券业务活动中为具有利害关系的不同当事人出具法律意见。 |
In case a lawyer acts as the director, supervisor or senior manager of a company or a related party thereof, or is under the circumstance that will affect his independence, his law firm shall not accept the entrustment of the said company or provide securities legal services for it. | |
律师担任公司及其关联方董事、监事、高级管理人员，或者存在其他影响律师独立性的情形的，该律师所在律师事务所不得接受所任职公司的委托，为该公司提供证券法律服务。 |
| | 第三章 业务规则 |
| Chapter III Business Rules | |
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| | 第十二条 律师事务所及其指派的律师从事证券法律业务，应当按照依法制定的业务规则，勤勉尽责，审慎履行核查和验证义务。 |
| Article 12 When providing securities legal services, a law firm and the lawyers it assigns shall diligently perform their duties and carefully fulfill the obligations of examination and verification according to the business rules as legally formulated. | |
律师进行核查和验证，可以采用面谈、书面审查、实地调查、查询和函证、计算、复核等方法。 |
A lawyer may, when conducting the examination and verification, adopt such means as interviews, written examination, on-site surveys, inquiry and verification by letters, calculation, and reexamination, etc. | |
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| | 第十三条 律师事务所及其指派的律师从事证券法律业务，应当依法对所依据的文件资料内容的真实性、准确性、完整性进行核查和验证；在进行核查和验证前，应当编制核查和验证计划，明确需要核查和验证的事项，并根据业务的进展情况，对其予以适当调整。 |
| Article 13 When providing securities legal services, a law firm and the lawyers it assigns shall examine and verify the authenticity, accuracy and integrity of the documents and materials concerned; and before the examination and verification, they shall formulate an examination and verification plan, specify the matters for examination and verification, and properly adjust them in light of the progress of the business. | |
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| | 第十四条 律师在出具法律意见时，对与法律相关的业务事项应当履行法律专业人士特别的注意义务，对其他业务事项履行普通人一般的注意义务，其制作、出具的文件不得有虚假记载、误导性陈述或者重大遗漏。 |
| Article 14 A lawyer shall, when issuing legal opinions, perform the duty of special care of a legal professional with regard to legal issues, and perform the duty of care of a common person with regard to other business matters, and the documents he makes and issues shall not contain any false content, misleading statement or major omission. | |
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| | 第十五条 律师从国家机关、具有管理公共事务职能的组织、会计师事务所、资产评估机构、资信评级机构、公证机构（以下统称公共机构）直接取得的文书，可以作为出具法律意见的依据，但律师应当履行本办法第十四条规定的注意义务并加以说明；对于不是从公共机构直接取得的文书，经核查和验证后方可作为出具法律意见的依据。 |
Article 15 Documents directly obtained by a lawyer from state organs, organizations with the function of managing public affairs, accountant firms, assets appraisal institutions, credit rating institutions and notarization institutions (hereinafter referred to as pubic organizations) may be the basis for issuing legal opinions, however, the lawyer shall perform the duty of care prescribed in Article 14 of these Measures and give an explanation; and the documents that are not directly obtained from pubic organizations may not serve as the basis for issuing legal opinions until they are found to be true upon examination and verification.
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律师从公共机构抄录、复制的材料，经该机构确认后，可以作为出具法律意见的依据，但律师应当履行本办法第十四条规定的注意义务并加以说明；未取得公共机构确认的，对相关内容进行核查和验证后方可作为出具法律意见的依据。
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