| Measures for the Recordation Administration of Over-the-Counter Securities Businesses | | 场外证券业务备案管理办法 |
| (Issued by the Securities Association of China on July 29, 2015, amended in accordance with the Notice of the Securities Association of China on Adjusting a Clause of the Measures for the Recordation Administration of Over-the-Counter Securities Businesses, and officially coming into force on September 1, 2015) | | （中国证券业协会2015年7月29日发布， 根据《关于调整＜场外证券业务备案管理办法＞个别条款的通知》修改 2015年9月1日起正式实施） |
| Chapter I General Provisions | | 第一章 总则 |
| Article 1 For the purpose of regulating and promoting the development of over-the-counter securities businesses, these Measures are developed in accordance with relevant self-regulatory rules of the Securities Association of China (“SAC”). | | 第一条 为规范、促进场外证券业务发展，根据中国证券业协会（以下简称协会）相关自律规则，制定本办法。 |
| Article 2 “Over-the-counter securities businesses” means the securities businesses operated at trading venues other than the Shanghai Stock Exchange, the Shenzhen Stock Exchange, futures exchanges, and the National Equities Exchange and Quotations, including but not limited to the following: | | 第二条 场外证券业务是指在上海、深圳证券交易所、期货交易所和全国中小企业股份转让系统以外开展的证券业务，包括但不限于下列场外证券业务： |
| (1) Sale and recommendation of over-the-counter securities. | | （一）场外证券销售与推荐； |
| (2) Asset financing of over-the-counter securities. | | （二）场外证券资产融资业务； |
| (3) Outsourcing of the back office and technical services for over-the-counter securities businesses, including technical systems, registration, custody, clearing, and third-party interface. | | （三）场外证券业务的技术系统、登记、托管与结算、第三方接口等后台和技术服务外包业务； |
| (4) Over-the-counter proprietary and market-making businesses. | | （四）场外自营与做市业务； |
| (5) Over-the-counter securities intermediary business. | | （五）场外证券中间介绍； |
| (6) Over-the-counter securities investment consulting business. | | （六）场外证券投资咨询业务； |
| (7) Over-the-counter securities financial advisory business. | | （七）场外证券财务顾问业务； |
| (8) Over-the-counter securities brokerage business. | | （八）场外证券经纪业务； |
| (9) Over-the-counter securities product credit rating. | | （九）场外证券产品信用评级； |
| (10) Non-public equity financing via the Internet. | | （十）互联网非公开股权融资； |
| (11) Credit enhancement business in the over-the-counter securities market. | | （十一）场外证券市场增信业务； |
| (12) Over-the-counter securities information service business. | | （十二）场外证券信息服务业务； |
| (13) Over-the-counter financial derivatives. | | （十三）场外金融衍生品； |
| (14) Other over-the-counter securities businesses for which the recordation procedure shall be undergone as deemed necessary by securities regulatory authorities or self-regulatory organizations for the development of over-the-counter securities businesses. | | （十四）证券监管机构或自律组织根据场外证券业务发展认为需要备案的其他场外证券业务。 |
| Article 3 Securities companies, securities investment fund companies, futures companies, securities investment advisory institutions, and private placement fund management institutions that engage in the over-the-counter securities businesses mentioned in Article 2 of these Measures, as well as institutions required by securities regulatory authorities or self-regulatory organizations to undergo the recordation procedure with the SAC (hereinafter referred to as “recordation institutions”), shall undergo the recordation procedure for their over-the-counter securities businesses in accordance with these Measures. | | 第三条 证券公司、证券投资基金公司、期货公司、证券投资咨询机构、私募基金管理人从事本办法第二条规定的场外证券业务的，以及证券监管机关或自律组织规定应当在协会备案的机构（以下简称备案机构），应当按照本办法对其场外证券业务备案。 |
| Where a recordation institution forms a new wholly-owned subsidiary to engage in the over-the-counter securities businesses mentioned in Article 2 of these Measures, the institution shall file relevant information as required in the event of modification, and the body responsible for filing information shall change accordingly. | | 备案机构新设全资子公司从事本办法第二条规定的场外证券业务的，应当作为变更事项报送相关信息，信息报送责任主体相应转移。 |
| Article 4 The SAC shall handle the recordation of over-the-counter securities businesses under the principles of fairness, equity, simplicity, and efficiency. | | 第四条 协会根据公平、公正、简便、高效的原则开展场外证券业务备案工作。 |
| The granting of recordation does not mean that the SAC provides any guarantee or judgment regarding the investment value and risks of the over-the-counter securities business granted recordation and does not exempt the recordation institution from its legal responsibility for disclosing information about its over-the-counter securities business in a veracious, compliant, accurate, integrated, and timely manner. | | 接受备案不代表协会对所备案场外证券业务的投资价值及投资风险做出保证和判断，不能免除备案机构真实、合规、准确、完整、及时地披露场外证券业务信息的法律责任。 |
| Chapter II Recordation Conditions | | 第二章 备案条件 |
| Article 5 To engage in over-the-counter securities businesses, a recordation institution shall satisfy the following requirements: | | 第五条 备案机构开展场外证券业务应当符合下述要求： |
| (1) Its corporate governance system is well-established, its decision-making and authorization systems are clear, and its relevant internal management rules are integrated. | | （一）公司治理制度健全，决策与授权体系清晰，相关内部管理制度完整； |
| (2) It has the capital strength, professionals, and technical systems required for the relevant over-the-counter securities business. | | （二）具备与相关场外证券业务相适应的资本实力、专业人员和技术系统； |
| (3) It has risk control mechanisms for effectively preventing conduct such as tunneling, unfair trading, and market manipulation. | | （三）具有能够有效防范利益输送、不公平交易、市场操纵等行为的风险控制机制； |
| (4) It has sound measures for educating investors and for protecting the rights and interests of investors. | | （四）具有完善的投资者教育和投资者权益保护措施； |
| (5) Other requirements as set out by the SAC. | | （五）协会的其他要求。 |
| Article 6 A recordation institution shall, in accordance with laws, regulations, self-regulatory rules, or the contract, urge the information disclosure obligator to disclose information and risks of over-the-counter businesses in a timely, sufficient, and accurate manner. It is prohibited to recommend inappropriate business to investors by concealing relevant information. | | 第六条 备案机构应当按照法律、法规、自律规则或者合同约定，督导信息披露义务人及时、充分、准确地披露场外证券业务信息与风险。严禁隐瞒相关信息，向投资者推介不适当的业务。 |
| Article 7 A recordation institution and its employees shall scrupulously observe professional ethics and refrain from: | | 第七条 备案机构及其从业人员应当严守职业道德，禁止以下行为： |
| (1) defrauding clients; | | （一）欺诈客户； |
| (2) engaging in tunneling; | | （二）利益输送； |
| (3) manipulating the market; | | （三）操纵市场； |
| (4) engaging in unfair trading; | | （四）不公平交易； |
| (5) engaging in unfair competition; | | （五）不正当竞争； |
| (6) evading the information disclosure obligation; or | | （六）规避信息披露义务； |
| (7) committing any other violation of laws or regulations. | | （七）其他违法违规行为。 |
| Chapter III Recordation Procedure | | 第三章 备案程序 |
| Article 8 The SAC shall receive recordation materials through the over-the-counter securities business reporting system. | | 第八条 协会通过场外证券业务报告系统接收备案材料。 |
| Article 9 A recordation institution shall file the following materials within one month as of the day when it launches the business for which recordation is required for the first time to complete the initial recordation of the business: | | 第九条 备案机构应当于首次开展某项应备案业务之日起一个月内报送以下材料，完成该项业务首次备案： |
| (1) A recordation application form and a letter of commitment. | | （一）备案申请表和承诺函； |
| (2) Descriptions of the over-the-counter securities business. | | （二）场外证券业务说明书； |
(3) Internal management rules for the over-the-counter securities business, including but not limited to internal control rules, risk control rules, compliance rules, and investor protection rules.
．．．．．． | | （三）场外证券业务相关内部管理制度，包括但不限于内部控制、风险控制、合规、投资者保护等制度；
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