| Announcement of the China Securities Regulatory Commission | | 中国证券监督管理委员会公告 |
| (No. 1 [2017]) | | （〔2017〕1号） |
| The Provisions on Strengthening the Administration of Withdrawal of Issuance Examiners from Performing Duties (2017 Revision) and the Provisions on Strengthening the Administration of Withdrawal of Issuance Examination Committee Members from Performing Duties (2017 Revision) are hereby issued, and shall come into force on the date of issuance. The former Provisions on Strengthening the Administration of Withdrawal of Issuance Examiners from Performing Duties and the Provisions on Strengthening the Administration of Withdrawal of Issuance Examination Committee Members from Performing Duties (Announcement No. 28 [2015], CSRC) shall be repealed concurrently. | | 现公布《关于加强发行审核工作人员履职回避管理的规定（2017年修订）》和《关于加强发审委委员履职回避管理的规定（2017年修订）》，自公布之日起施行。原《关于加强发行审核工作人员履职回避管理的规定》和《关于加强发审委委员履职回避管理的规定》（证监会公告〔2015〕28号）同时废止。 |
| China Securities Regulatory Commission | | 中国证监会 |
| January 14, 2017 | | 2017年1月14日 |
| Annex 1: Provisions on Strengthening the Administration of Withdrawal of Issuance Examiners from Performing Duties (2017 Revision) | | 附件1：关于加强发行审核工作人员履职回避管理的规定（2017年修订） |
| Annex 2: Provisions on Strengthening the Administration of Withdrawal of Issuance Examination Committee Members from Performing Duties (2017 Revision) | | 附件2：关于加强发审委委员履职回避管理的规定（2017年修订） |
| Provisions on Strengthening the Administration of Withdrawal of Issuance Examiners from Performing Duties (2017 Revision) | | 关于加强发行审核工作人员履职回避管理的规定（2017年修订） |
| For purposes of guaranteeing the fairness and justice of issuance examination and further strengthening withdrawal administration in the performance of duties, in accordance with the Several Opinions on Further Regulating the Exercise of Issuance Examination Power (Announcement No. 27 [2015], CSRC), the provisions on the withdrawal of personnel participating in issuance examination (hereinafter collectively referred to as “examiners”) from performing duties are hereby developed as follows: | | 为保障发行审核工作的公平、公正，进一步加强履职回避管理，根据《关于进一步规范发行审核权力运行的若干意见》（证监会公告[2015]27 号），对参与发行审核工作的人员（以下统称审核工作人员）履职回避作出以下规定： |
| I. Examiners shall strictly comply with the requirements of the Civil Servant Law, the Provisions on the Withdrawal of Civil Servants (for Trial Implementation), the Provisions on the Withdrawal of Staff Members of the China Securities Regulatory Commission from Assuming Positions and Official Duties (for Trial Implementation), the Codes of Conduct for Staff Members of the China Securities Regulatory Commission and other provisions on withdrawal from assuming positions and official duties. | | 一、审核工作人员应当严格遵守《公务员法》《公务员回避规定（试行）》《中国证监会工作人员任职回避和公务回避规定（试行）》和《中国证监会工作人员行为准则》等规定中有关任职和公务回避的要求。 |
| II. Any examiner who is related to any IPO applicant under any of the following circumstances shall withdraw: | | 二、审核工作人员与首发申请企业之间存在下列情形之一的，应当回避： |
| 1. Any of his or her spouse, parents, sons and daughters and their spouses holds a position in the IPO applicant; any of his or her brothers and sisters, spouse and parents of his or her spouse is a director (including independent director), supervisor, or leader at or above the middle level of the IPO applicant. | | （一）审核工作人员亲属中涉及配偶、父母、子女及其配偶在首发申请人任职；审核工作人员亲属中涉及兄弟姐妹及其配偶、配偶的父母担任首发申请人的董事（含独立董事）、监事、中层及以上领导职务。 |
| 2. A relative of the examiner holds stocks in the IPO applicant directly or indirectly through a business entity under its control. | | （二）审核工作人员亲属直接或者通过其控制的经营单位间接持有首发申请企业股票。 |
| 3. Any other circumstance that may affect the examiner's impartial performance of duties. | | （三）其他可能影响审核工作人员公正履行职责的情形。 |
| III. Any examiner who is related to any refinancing applicant under any of the following circumstances shall withdraw: | | 三、审核工作人员与再融资申请企业之间存在下列情形之一的，应当回避： |
| 1. Any of his or her spouse, parents, sons and daughters and their spouses holds a position in the refinancing applicant; any of his or her brothers and sisters, spouse and parents of his or her spouse is a director (including independent director), supervisor, or leader at or above middle level of the refinancing applicant. | | （一）审核工作人员亲属中涉及配偶、父母、子女及其配偶在再融资申请人任职；审核工作人员亲属中涉及兄弟姐妹及其配偶、配偶的父母担任再融资申请人的董事（含独立董事）、监事、中层及以上领导职务。 |
| 2. Any of his or her relatives is the controlling shareholder or actual shareholder of, or a shareholder holding more than 5% shares in the refinancing applicant. | | （二）审核工作人员亲属是再融资申请企业的控股股东、实际控制人、持股5%以上的股东。 |
| 3. Any other circumstance that may affect the examiner's impartial performance of duties. | | （三）其他可能影响审核工作人员公正履行职责的情形。 |
| IV. Any examiner who is related to any intermediary agency under any of the following circumstances shall withdraw from the examination of any enterprise to which the intermediary agency provides services: | | 四、审核工作人员与中介机构之间存在下列情形之一的，在参与该中介机构为之提供服务的企业审核工作时应当回避： |
| 1. Any of his or her spouse, parents, sons and daughters and their spouses holds a position in the intermediary agency; any of his or her brothers and sisters, spouse and parents of his or her spouse is the chairman, senior partner, or leader at or above middle level of the intermediary agency. | | （一）审核工作人员亲属中涉及配偶、父母、子女及其配偶在该中介机构任职；审核工作人员亲属中涉及兄弟姐妹及其配偶、配偶的父母担任该中介机构的董事长、主要合伙人、中层及以上领导职务。 |
2. Any of his or her spouse, parents, sons and daughters and their spouses holds a position in the sponsor institution; any of his or her brothers and sisters, spouse and parents of his or her spouse is in charge of the sponsor work of the sponsor institution, or holds a position in the issuance sponsor department or is engaged in work related to the issuance sponsor, or is a leader at or above middle level of the sponsor institution; any of his or her relatives is the signing representative for the enterprise's application materials or one of the operators of the project.
．．．．．． | | （二）审核工作人员亲属中涉及配偶、父母、子女及其配偶在保荐机构任职；审核工作人员亲属中涉及兄弟姐妹及其配偶、配偶的父母在保荐机构担任保荐业务负责人、在发行保荐部门任职或者从事与发行保荐业务相关工作，以及在该保荐机构担任中层及以上领导职务；审核工作人员亲属是企业申报材料的签字人员或者该项目的经办人。
．．．．．． |
|
Dear visitor, as a premium member of this database, you will get complete access to all content.Please go premium and get more.
1. To become a premium member, please call 400-810-8266 Ext. 171.
2. Binding to the account with access to this database.
3. Apply for a trial account.
4. To get instant access to a document, you can Pay Amount 【￥400.00】 for your single purchase. | |
您好：您现在要进入的是北大法宝英文库会员专区。
如您是我们英文用户可直接 登录，进入会员专区查询您所需要的信息；如您还不是我们 的英文用户；您可通过网上支付进行单篇购买，支付成功后即可立即查看本篇内容。
Tel: +86 (10) 82689699, +86 (10) 82668266 ext. 153
Mobile: +86 13311570713
Fax: +86 (10) 82668268
E-mail:info@chinalawinfo.com
|
| | | |
| | | |