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Decision of the China Securities Regulatory Commission to Amend or Repeal Certain Administrative Rules on Securities and Futures [Effective]
中国证券监督管理委员会关于修改、废止部分证券期货规章的决定 [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. 177) (第177号)

The Decision to Amend or Repeal Certain Administrative Rules on Securities and Futures, as deliberated and adopted at the 8th executive meeting of the China Securities Regulatory Commission on October 20, 2020, is hereby issued, and shall come into force on the date of issuance. 《关于修改、废止部分证券期货规章的决定》已经2020年10月20日中国证券监督管理委员会2020年第8次委务会议审议通过,现予公布,自公布之日起施行。
Chairman: Yi Huiman 主席:易会满
October 30, 2020 2020年10月30日
Decision to Amend or Repeal Certain Administrative Rules on Securities and Futures 关于修改、废止部分证券期货规章的决定
For the purposes of implementing the new Securities Law and the relevant requirements of the reform of “simplifying procedures, decentralizing powers, combining decentralization with appropriate control, and optimizing services” of the State Council, among others, the China Securities Regulatory Commission (“CSRC”) has reviewed the documents on securities and futures rules. Upon review, the CSRC hereby decides to: 为贯彻落实新《证券法》及国务院“放管服”有关要求等,中国证监会对有关证券期货制度文件进行了清理。经过清理,中国证监会决定:
I. amend certain clauses of four administrative rules (see Annex 1); and   一、对4部规章的部分条款予以修改。(附件1)
II. repeal one administrative rule (see Annex 2).   二、对1部规章予以废止。(附件2)
This Decision shall come into force on the date of issuance. 本决定自公布之日起施行。
Annexes: 附件:
1. Administrative Rules Amended as Decided by the China Securities Regulatory Commission 1.中国证监会决定修改的规章
2. Administrative Rules Repealed as Decided by the China Securities Regulatory Commission 2.中国证监会决定废止的规章
Annex 1 附件1
Administrative Rules Amended as Decided by the China Securities Regulatory Commission 中国证监会决定修改的规章
I. In Articles 5, 6, 7, 13, 20, 24, 25, 26, 27, 28 and 29 of the Interim Measures for the Administration of the Appraisal of Securities Investment Funds, the “Securities Association of China” is replaced with the “Asset Management Association of China”.   一、将《证券投资基金评价业务管理暂行办法》第五条、第六条、第七条、第十三条、第二十条、第二十四条、第二十五条、第二十六条、第二十七条、第二十八条、第二十九条中的“中国证券业协会”修改为“中国证券投资基金业协会”。
In Articles 13, 20, 21, 22, and 29, “information disclosure media designated by the CSRC” is replaced with “the media meeting the conditions prescribed by the CSRC”. 第十三条、第二十条、第二十一条、第二十二条、第二十九条中的“中国证监会指定信息披露媒体”修改为“符合中国证监会规定条件的媒体”。
II. Paragraph 1 of Article 46 of the Pilot Measures for the Supervision and Administration of Refinancing Business is amended to read: “A securities finance company shall submit an annual report to the CSRC within four months after the end of each accounting year. The annual report shall include the financial accounting report prepared according to the relevant provisions and audited by an accounting firm in compliance with the provisions of the Securities Law.”   二、将《转融通业务监督管理试行办法》第四十六条第一款修改为:“证券金融公司应当自每一会计年度结束之日起4个月内,向证监会报送年度报告。年度报告应当包含按照规定编制并经符合《证券法》规定的会计师事务所审计的财务会计报告。”
III. Article 1 of the Measures of the China Securities Regulatory Commission for Restricting the Purchase and Sale of Securities is amended to read: “For the purposes of maintaining the normal order of the securities market, protecting the lawful rights and interests of investors, and effectively cracking down on securities-related violations of law, these Measures are developed in accordance with subparagraph (7) of Article 170 of the Securities Law of the People's Republic of China.”   三、将《中国证券监督管理委员会限制证券买卖实施办法》第一条修改为:“为维护证券市场正常秩序,保护投资者合法权益,有效打击证券违法行为,依据《中华人民共和国证券法》第一百七十条第(七)项,制订本办法。”
Article 5 is amended to read: “The period for restricting the purchase and sale of securities by the investigation department shall not exceed three months. If the case circumstances are complicated, an extension of three months may be made with approval.” 第五条修改为:“调查部门限制证券买卖的时间不得超过三个月。案情复杂的,经批准可延长三个月。”
Article 6 is amended to read: “The investigation department that takes these Measures shall prepare an Application for Restricting or Removing the Restrictions on the Purchase and Sale of Securities, which shall, after being examined by the legal affairs department, be submitted to the principal person in charge of the CSRC or any other person in charge authorized thereby for approval.” 第六条修改为:“调查部门实施本措施,应当制作《限制/解除限制证券买卖申请书》,经法律部门审核,报中国证监会主要负责人或者其授权的其他负责人批准。”
Article 12 is amended to read: “Where it is necessary to remove the measure of restricting the purchase and sale of securities before the expiration of the period of restriction, the restrictive measure may be removed with the approval of the principal person in charge of the CSRC or any other person in charge authorized thereby.” 第十二条修改为:“限制期限届满前,需解除限制证券买卖措施的,经中国证监会主要负责人或者其授权的其他负责人批准,可予以解除。”
IV. In Article 31 of the Measures for the Suitability Management of Securities and Futures Investors, “designated websites” is replaced with “the media meeting the conditions prescribed by the CSRC”.
......
   四、将《证券期货投资者适当性管理办法》第三十一条中的“指定网站”修改为“符合中国证监会规定条件的媒体”。
......

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