| Rules for Governance of Securities Companies | | 证券公司治理准则 |
| (Promulgated by the Announcement No.41 [2012] of the China Securities Regulatory Commission on November 11, 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12月11日中国证券监督管理委员会公告[2012]41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） |
| Chapter I General Provisions | | 第一章 总则 |
| Article 1 These Rules are formulated in accordance with the Company Law, the Securities Law, the Regulation on the Supervision and Administration of Securities Companies and other laws and regulations for purposes of urging securities companies to improve corporate governance, promoting the normative operation of securities companies and protecting the lawful rights and interests of securities companies' shareholders, clients and other interested parties. | | 第一条 为推动证券公司完善公司治理，促进证券公司规范运作，保护证券公司股东、客户及其他利益相关者的合法权益，根据《公司法》、《证券法》、《证券公司监督管理条例》及其他法律法规，制定本准则。 |
| Article 2 A securities company shall have the obligation of good faith for clients, and shall not infringe upon the property right, the right to choose, the right to fair trade, the right to know and other lawful rights and interests of clients. | | 第二条 证券公司对客户负有诚信义务，不得侵犯客户的财产权、选择权、公平交易权、知情权及其他合法权益。 |
| The shareholders and actual controller of a securities company shall not occupy the clients' assets or damage the lawful rights and interests of clients. | | 证券公司的股东和实际控制人不得占用客户资产，损害客户合法权益。 |
| Article 3 A securities company shall, in accordance with the Company Law and other laws and administrative regulations, clarify the scope of duties of the shareholders' meeting, the board of directors, the board of supervisors and the management. | | 第三条 证券公司应当按照《公司法》等法律、行政法规的规定，明确股东会、董事会、监事会、经理层之间的职责划分。 |
| Article 4 A securities company and its shareholders, actual controllers, directors, supervisors and senior managers shall abide by laws, administrative regulations and the provisions of the China Securities Regulatory Commission (“CSRC”). | | 第四条 证券公司及其股东、实际控制人、董事、监事、高级管理人员应当遵守法律、行政法规和中国证券监督管理委员会（以下简称中国证监会）的规定。 |
| Article 5 A securities company shall establish sound compliance management, risk management and internal control systems in accordance with laws, administrative regulations and the provisions of the CSRC. | | 第五条 证券公司应当按照法律、行政法规和中国证监会的规定建立完备的合规管理、风险管理和内部控制体系。 |
| The board of directors of a securities company shall bear the ultimate responsibilities for the effectiveness of the compliance management, risk management and internal control systems. | | 证券公司董事会对合规管理、风险管理和内部控制体系的有效性承担最终责任。 |
| Article 6 These Rules shall apply to securities companies established within the territory of China. | | 第六条 本准则适用于中国境内设立的证券公司。 |
| Listed securities companies shall implement the laws, administrative regulations, these Rules and the provisions of the CSRC relevant to listed companies at the same time. In case of any discrepancy between these Rules and the provisions of the CSRC on listed companies, whichever is more stringent shall prevail. | | 上市证券公司应当同时执行法律、行政法规、本准则和中国证监会有关上市公司的规定。本准则与中国证监会有关上市公司的规定不一致的，以两者中更加严格的规定为准。 |
| Chapter II Shareholders and Shareholders' Meeting | | 第二章 股东和股东会 |
| Section 1 Shareholders | | 第一节 股东 |
| Article 7 The shareholders and actual controllers of a securities company shall meet the qualification conditions as prescribed by laws, administrative regulations and the CSRC. | | 第七条 证券公司股东及其实际控制人应当符合法律、行政法规和中国证监会规定的资格条件。 |
| Where a shareholder of a securities company transfers the equity of the securities company, it shall confirm that the transferee and the actual controllers thereof meet the qualification conditions as prescribed by laws, administrative regulations and the CSRC. | | 证券公司股东转让所持有的证券公司股权的，应当确认受让方及其实际控制人符合法律、行政法规和中国证监会规定的资格条件。 |
| Article 8 A securities company shall, on the basis of the approval documents or filing documents of the CSRC or the local CSRC office, register the shareholders, amend its articles of association and undergo the industrial and commercial registration formalities according to law. | | 第八条 证券公司应当以中国证监会或者其派出机构的核准文件、备案文件为依据对股东进行登记、修改公司章程，并依法办理工商登记手续。 |
| A securities company shall ensure that the contents recorded in its articles of association, roster of shareholders and the industrial and commercial registration documents are consistent with the actual conditions of shareholders. | | 证券公司应当确保公司章程、股东名册及工商登记文件所记载的内容与股东的实际情况一致。 |
| Article 9 The shareholders of a securities company shall fulfill the obligation of capital contribution in strict accordance with laws, administrative regulations and the provisions of the CSRC. | | 第九条 证券公司股东应当严格按照法律、行政法规和中国证监会的规定履行出资义务。 |
| Where a shareholder of a securities company commits any illegal act such as making a false capital contribution, making an insufficient capital contribution, or withdrawing the capital contribution directly or indirectly, the securities company shall report to the local CSRC office within 10 workdays, and require the relevant shareholder to make rectifications within one month. | | 证券公司股东存在虚假出资、出资不实、抽逃出资或者变相抽逃出资等违法违规行为的，证券公司应当在10个工作日内向公司住所地中国证监会派出机构报告，并要求有关股东在1个月内纠正。 |
| Article 10 Where any shareholder or actual controller of a securities company falls under any of the following circumstances, it shall notify the securities company within five workdays: | | 第十条 证券公司的股东、实际控制人出现下列情形时，应当在5个工作日内通知证券公司： |
| (1) The equity it holds or controls in the securities company is under property preservation or enforcement; | | （一）所持有或者控制的证券公司股权被采取财产保全或者强制执行措施； |
| (2) The equity it holds in the security company is pledged; | | （二）质押所持有的证券公司股权； |
| (3) The shareholder holding 5% or more of equity in the securities company modifies the actual controller; | | （三）持有证券公司5%以上股权的股东变更实际控制人； |
| (4) Its name is modified; | | （四）变更名称； |
| (5) It undergoes merger or split; | | （五）发生合并、分立； |
| (6) It is subject to a regulatory measure such as ordered suspension of business operation for rectification, appointment of custody or takeover or revocation, or it enters into the procedures of dissolution, bankruptcy, or liquidation; | | （六）被采取责令停业整顿、指定托管、接管或者撤销等监管措施，或者进入解散、破产、清算程序； |
| (7) It is subject to an administrative penalty or criminal liability due to any major violation of law or regulation; or | | （七）因重大违法违规行为被行政处罚或者追究刑事责任； |
| (8) Other circumstances that may result in the transfer of the equity it holds or controls in the securities company or may influence the operation of the securities company. | | （八）其他可能导致所持有或者控制的证券公司股权发生转移或者可能影响证券公司运作的。 |
| The securities company shall, within five workdays from knowing the circumstance as listed in the preceding paragraph, report to the local CSRC office. | | 证券公司应当自知悉前款规定情形之日起5个工作日内向公司住所地中国证监会派出机构报告。 |
| The provisions of this Article shall not apply to the shareholders holding less than 5% of equity of a listed securities company. | | 上市证券公司持有5%以下股权的股东不适用本条规定。 |
| Article 11 A securities company shall establish an effective mechanism for communication with shareholders to ensure the shareholders' rights to know. | | 第十一条 证券公司应当建立和股东沟通的有效机制，依法保障股东的知情权。 |
| Where a securities company falls under any of the following circumstance, it shall notify all shareholders in a timely manner in writing or in any other manner as stipulated in its articles of association, and report to the local CSRC office: | | 证券公司有下列情形之一的，应当以书面方式或者公司章程规定的其他方式及时通知全体股东，并向公司住所地中国证监会派出机构报告： |
| (1) The company or any of its directors, supervisors or senior managers is suspected of involving in any major violation of law or regulation; | | （一）公司或者其董事、监事、高级管理人员涉嫌重大违法违规行为； |
| (2) The company's financial status continues to deteriorate, resulting in the risk control indicator not meeting the standards as prescribed by the CSRC; | | （二）公司财务状况持续恶化，导致风险控制指标不符合中国证监会规定的标准； |
| (3) The company suffers serious losses; | | （三）公司发生重大亏损； |
| (4) The company intends to modify the legal representative, the board chairman, the chairman of the board of supervisors or the primary person in charge of business management; | | （四）拟更换法定代表人、董事长、监事会主席或者经营管理的主要负责人； |
| (5) An emergency occurs, which has or may have a significant adverse impact on the interests of the company and clients; or | | （五）发生突发事件，对公司和客户利益产生或者可能产生重大不利影响； |
| (6) Other matters that may influence the continuous operation of the company. | | （六）其他可能影响公司持续经营的事项。 |
| Section 2 Shareholders' Meeting | | 第二节 股东会 |
| Article 12 The articles of association of a securities company shall specify the scope of the functions of the shareholders' meeting. | | 第十二条 证券公司章程应当明确规定股东会的职权范围。 |
| Where the shareholders' meeting of a securities company authorizes the board of directors to exercise part of the functions of the shareholders' meeting, it shall be prescribed in the company's articles of association or subject to the resolution by the shareholders' meeting, and the content of authorization shall be clear and specific, however, the functions that should be exercised by the shareholders' meeting as clearly prescribed in the Company Law shall not be granted to the board of directors. | | 证券公司股东会授权董事会行使股东会部分职权的，应当在公司章程中规定或者经股东会作出决议，且授权内容应当明确具体，但《公司法》明确规定由股东会行使的职权不得授权董事会行使。 |
| Article 13 A securities company shall convene an annual shareholders' meeting within six months from the end of each fiscal year. If the meeting needs to be postponed due to any special circumstance, the company shall report to the local CSRC office in a timely manner and give reasons for the postponement. | | 第十三条 证券公司应当自每个会计年度结束之日起6个月内召开股东会年会。因特殊情况需要延期召开的，应当及时向公司住所地中国证监会派出机构报告，并说明延期召开的理由。 |
| Article 14 The discussion methods and voting procedures for the meetings of shareholders' meeting shall be stipulated in the articles of association of a securities company. | | 第十四条 证券公司章程应当规定股东会会议的议事方式和表决程序。 |
| Article 15 The board of directors, the board of supervisors or the shareholders independently or jointly holding 3% or more of equity in a securities company may make proposals to the shareholders' meeting. | | 第十五条 董事会、监事会、单独或者合并持有证券公司3%以上股权的股东，可以向股东会提出议案。 |
| The shareholders independently or jointly holding 3% or more of equity in a securities company may nominate candidates for directors or supervisors to the shareholders' meeting. | | 单独或者合并持有证券公司3%以上股权的股东，可以向股东会提名董事、监事候选人。 |
| Article 16 Where the directors nominated by any shareholder of a securities company account for 1/2 or more of the members of the board of directors, the supervisors nominated by such shareholder shall be not more than 1/3 of the members of the board of supervisors, unless the securities company is an one-member company. | | 第十六条 证券公司任一股东推选的董事占董事会成员1/2以上时，其推选的监事不得超过监事会成员的1/3，但证券公司为一人公司的除外。 |
| Article 17 A securities company may adopt the cumulative voting system in the election of directors and supervisors. | | 第十七条 证券公司在董事、监事的选举中可以采用累积投票制度。 |
| Where the shareholders of a securities company independently hold or jointly hold with an affiliate 50% or more of equity of the company, the cumulative voting system shall be adopted in the election of directors and supervisors, unless the securities company is an one-member company. | | 证券公司股东单独或者与关联方合并持有公司50%以上股权的，董事、监事的选举应当采用累积投票制度，但证券公司为一人公司的除外。 |
| A securities company adopting the cumulative voting system shall specify the detailed rules for such system in its articles of association. | | 采用累积投票制度的证券公司应当在公司章程中规定该制度的实施规则。 |
| Article 18 The shareholders' meeting of a securities company shall take meeting minutes, which shall be authentic, accurate and complete and be kept according to law. | | 第十八条 证券公司股东会应当制作会议记录。会议记录应当真实、准确、完整，并依法保存。 |
| Article 19 Where the shareholders' meeting of a securities company removes a director or supervisor from office prior to the expiration of his or her term of office, it shall give reasons; and the director or supervisor who is removed from office shall have the right to set forth his or her opinions to the shareholders' meeting, the CSRC or the local CSRC office. | | 第十九条 证券公司股东会在董事、监事任期届满前免除其职务的，应当说明理由；被免职的董事、监事有权向股东会、中国证监会或者其派出机构陈述意见。 |
| Section 3 Special Provisions on the Relationship between a Securities Company and Its Shareholders | | 第三节 证券公司与股东之间关系的特别规定 |
| Article 20 The controlling shareholder or actual controller of a securities company shall not take advantage of its controlling status or abuse its power to damage the lawful rights and interests of the securities company, other shareholders or the clients of the company. | | 第二十条 证券公司的控股股东、实际控制人不得利用其控制地位或者滥用权利损害证券公司、公司其他股东和公司客户的合法权益。 |
| Article 21 The controlling shareholder of a securities company shall not appoint or remove the directors, supervisors and senior managers of the securities company by overstepping the shareholders' meeting or the board of directors. | | 第二十一条 证券公司的控股股东不得超越股东会、董事会任免证券公司的董事、监事和高级管理人员。 |
| The shareholders and actual controllers of a securities company shall not, in violation of laws, administrative regulations and the articles of association of the company, interfere with the business management of the securities company. | | 证券公司的股东、实际控制人不得违反法律、行政法规和公司章程的规定干预证券公司的经营管理活动。 |
| Article 22 A securities company shall be strictly separated from its shareholders, actual controllers or any other affiliate with respect to business, organization, asset, finance, offices and so on, and shall independently operate, account, and assume responsibilities and risks. | | 第二十二条 证券公司与其股东、实际控制人或者其他关联方应当在业务、机构、资产、财务、办公场所等方面严格分开，各自独立经营、独立核算、独立承担责任和风险。 |
| Where the persons of the shareholders of a securities company hold part-time positions in the securities company, they shall abide by laws, administrative regulations and the provisions of the CSRC. | | 证券公司股东的人员在证券公司兼职的，应当遵守法律、行政法规和中国证监会的规定。 |
| Article 23 The controlling shareholder and actual controller of a securities company and their affiliates shall take effective measures to prevent business competitions between them and the securities company they control. | | 第二十三条 证券公司的控股股东、实际控制人及其关联方应当采取有效措施，防止与其所控制的证券公司发生业务竞争。 |
| Where a securities company controls any other securities company, it shall not damage the interests of the controlled securities company. | | 证券公司控股其他证券公司的，不得损害所控股的证券公司的利益。 |
| Article 24 The related transactions between a shareholder or actual controller of a securities company or any of its related party and the securities company shall not damage the lawful rights and interests of the securities company and its clients. | | 第二十四条 证券公司的股东、实际控制人及其关联方与证券公司的关联交易不得损害证券公司及其客户的合法权益。 |
| The articles of association of a securities company shall specify major related transactions and the procedures for their disclosure and voting. | | 证券公司章程应当对重大关联交易及其披露和表决程序作出规定。 |
| Article 25 The following acts shall be prohibited between a securities company and any of its shareholders (or any of the affiliates of the shareholders): | | 第二十五条 证券公司与其股东（或者股东的关联方）之间不得有下列行为： |
| (1) holding the equity of the shareholder, unless otherwise provided for by laws, administrative regulations or the CSRC; | | （一）持有股东的股权，但法律、行政法规或者中国证监会另有规定的除外； |
| (2) giving illegal benefits to the shareholder through purchasing the securities held by the shareholder or any other manner; | | （二）通过购买股东持有的证券等方式向股东输送不当利益； |
| (3) the shareholder's illegal occupation of the assets of the company; or | | （三）股东违规占用公司资产； |
| (4) any other act as prohibited by laws, administrative regulations or the CSRC. | | （四）法律、行政法规或者中国证监会禁止的其他行为。 |
| The articles of association of the securities company shall specify the type and amount of external investment and guarantees and the internal examination and approval procedures. | | 证券公司章程应当规定对外投资、对外担保的类型、金额和内部审批程序。 |
| Chapter III Directors and the Board of Directors | | 第三章 董事和董事会 |
| Section 1 Directors | | 第一节 董事 |
Article 26 The directors of a securities company shall meet the conditions for holding positions as prescribed by laws, administrative regulations and the CSRC.
．．．．．． | | 第二十六条 证券公司董事应当符合法律、行政法规和中国证监会规定的任职条件。
．．．．．． |
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