| Provisions on the Administration of Proxy Sale of Financial Products by Securities Companies | | 证券公司代销金融产品管理规定 |
| (Promulgated by the Announcement No.34 [2012] of the China Securities Regulatory Commission on November 12, 2012; and amended in accordance with the Decision of the China Securities Regulatory Commission to Amend Certain Securities and Futures Regulatory Documents on March 20, 2020) | | （2012年11月12日中国证券监督管理委员会公告[2012]34号发布 根据2020年3月20日中国证券监督管理委员会《关于修改部分证券期货规范性文件的决定》修正） |
| Article 1 These Provisions are formulated in accordance with the Securities Law and the Regulation on the Supervision and Administration of Securities Companies for the purpose of regulating the proxy sale of financial products by securities companies, and protecting the clients' lawful rights and interests. | | 第一条 为了规范证券公司代销金融产品行为，保护客户的合法权益，根据《证券法》、《证券公司监督管理条例》，制定本规定。 |
| Article 2 Securities companies that sell financial products by proxy shall comply with these Provisions, unless it is otherwise prescribed by any law, administrative regulation or the provisions of the China Securities Regulatory Commission (hereinafter referred to as the “CSRC”). | | 第二条 证券公司代销金融产品，应当遵守本规定。法律、行政法规和中国证券监督管理委员会（以下简称证监会）另有规定的，从其规定。 |
| For purposes of these Provisions, “proxy sale of financial products” means the sale of financial products or referral of financial product purchasers for financial product issuers upon their authorization. | | 本规定所称代销金融产品，是指接受金融产品发行人的委托，为其销售金融产品或者介绍金融产品购买人的行为。 |
| Article 3 To sell financial products by proxy, a securities company shall obtain the qualification for the proxy sale of financial products in accordance with the Regulation on the Supervision and Administration of Securities Companies and the provisions of the CSRC. | | 第三条 证券公司代销金融产品，应当按照《证券公司监督管理条例》和证监会的规定，取得代销金融产品业务资格。 |
| The dispatched office of the CSRC at the place where the securities company is located shall, in accordance with the conditions and procedures for the securities company to increase the varieties of regular businesses, examine and approve the application of the securities company for the qualification for the proxy sale of financial products. | | 证券公司住所地证监会派出机构按照证券公司增加常规业务种类的条件和程序，对证券公司代销金融产品业务资格申请进行审批。 |
| Article 4 Securities companies may sell by proxy all kinds of financial products issued within the territory of China and approved by or filed by relevant departments of the state or their authorized agencies, unless the proxy sale of financial products is prohibited by any law, administrative regulation or the relevant department of the state. | | 第四条 证券公司可以代销在境内发行，并经国家有关部门或者其授权机构批准或者备案的各类金融产品。法律、行政法规和国家有关部门禁止代销的除外。 |
| Article 5 Securities companies shall sell financial products by proxy in accordance with the laws, administrative regulations and the provisions of the CSRC, follow the principles of equality, free will, fairness, good faith and appropriateness, avoid conflicts of interest, and shall not impair the lawful rights and interests of any client. | | 第五条 证券公司代销金融产品，应当遵守法律、行政法规和证监会的规定，遵循平等、自愿、公平、诚实信用和适当性原则，避免利益冲突，不得损害客户合法权益。 |
| Article 6 Securities companies that sell financial products by proxy shall establish such rules for the qualification examination of the principal, due diligence investigation and risk evaluation of financial products, and marketability management. | | 第六条 证券公司代销金融产品，应当建立委托人资格审查、金融产品尽职调查与风险评估、销售适当性管理等制度。 |
| Securities companies shall manage the proxy sale of financial products in a centralized and uniform manner, and specify the duties of internal departments and branches in the proxy sale of financial products. The branches of securities companies shall be prohibited from selling financial products by proxy without approval. | | 证券公司应当对代销金融产品业务实行集中统一管理，明确内设部门和分支机构在代销金融产品业务中的职责。禁止证券公司分支机构擅自代销金融产品。 |
| Article 7 A securities company shall, before accepting an authorization for the proxy sale of financial products, examine the qualification of the principal. The securities company shall not accept the principal's authorization making sure that the principal is established in accordance with law and has the right to issue financial products. | | 第七条 接受代销金融产品的委托前，证券公司应当对委托人进行资格审查。经审查，确认委托人依法设立并可以发行金融产品后，方可接受其委托。 |
Article 8 A securities company shall prudently select the financial products it wishes to sell by proxy, have a good understanding of the products, including the issuance basis, basic nature, investment arrangements, risk-return characteristics and management fees on the financial products. The securities company may not sell financial products by proxy before making sure that the financial products are issued in accordance with law, definite investment arrangements and risk management and control measures are available, risk-return characteristics are clear and their risk conditions may be judged in a reasonable manner.
．．．．．． | | 第八条 证券公司应当审慎选择代销的金融产品，充分了解金融产品的发行依据、基本性质、投资安排、风险收益特征、管理费用等信息。证券公司确认金融产品依法发行、有明确的投资安排和风险管控措施、风险收益特征清晰且可以对其风险状况做出合理判断的，方可代销。
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