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Measures for the Administration of Foreign-Funded Securities Companies [Effective]
外商投资证券公司管理办法 [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. 140) (第140号)

With the approval of the State Council, the Measures for the Administration of Foreign-Funded Securities Companies are hereby issued, and shall come into force on the date of issuance. 经国务院批准,现公布《外商投资证券公司管理办法》,自公布之日起施行。
Liu Shiyu, Chairman of the China Securities Regulatory Commission 中国证券监督管理委员会主席:刘士余
April 28, 2018 2018年4月28日
Annex: 附件:
Measures for the Administration of Foreign-Funded Securities Companies 外商投资证券公司管理办法
Article 1 For the purposes of meeting the needs of the securities market's opening up to foreign investors, strengthening and improving the supervision and administration of foreign-funded securities companies, and specifying the conditions and procedures for the formation of foreign-funded securities companies, these Measures are developed in accordance with the relevant provisions of the Company Law of the People's Republic of China (hereinafter referred to as the “Company Law”) and the Securities Law of the People's Republic of China (hereinafter referred to as the “Securities Law”).   第一条 为了适应证券市场对外开放的需要,加强和完善对外商投资证券公司的监督管理,明确外商投资证券公司的设立条件和程序,根据《中华人民共和国公司法》(以下简称公司法)和《中华人民共和国证券法》(以下简称证券法)有关规定,制定本办法。
Article 2 For the purposes of these Measures, “foreign-funded securities companies” means:   第二条 本办法所称外商投资证券公司是指:
(1) securities companies jointly funded and formed by foreign and domestic shareholders according to the law; (一)境外股东与境内股东依法共同出资设立的证券公司;
(2) securities companies resulting from modification of domestic-funded securities companies according to the law due to the lawful transfer of equities of domestic-funded securities companies to foreign investors or foreign investors' lawful subscription for such equities; and (二)境外投资者依法受让、认购内资证券公司股权,内资证券公司依法变更的证券公司;
(3) securities companies resulting from modification of domestic-funded securities companies according to the law due to the modification of actual controllers of shareholders of domestic-funded securities companies into foreign investors. (三)内资证券公司股东的实际控制人变更为境外投资者,内资证券公司依法变更的证券公司。
Article 3 The China Securities Regulatory Commission (“CSRC”) shall be responsible for the approval as well as the supervision and administration of foreign-funded securities companies.   第三条 中国证券监督管理委员会(以下简称中国证监会)负责对外商投资证券公司的审批和监督管理。
Article 4 The name, business form, registered capital, business scope, establishment and functions of governing bodies, shareholders, directors, supervisors, and senior executives, among others, of a foreign-funded securities company shall conform to the Company Law, the Securities Law, and other laws and regulations as well as the relevant rules of the CSRC.   第四条 外商投资证券公司的名称、组织形式、注册资本、业务范围、组织机构的设立及职责以及股东、董事、监事、高级管理人员等,应当符合公司法证券法等法律、法规和中国证监会的有关规定。
Article 5 For the formation of a foreign-funded securities company, the following conditions shall be met in addition to those for the formation of securities companies set out in the Company Law, the Securities Law, the Regulation on the Supervision and Administration of Securities Companies, and the rules of the CSRC as approved by the State Council:   第五条 设立外商投资证券公司除应当符合公司法证券法、《证券公司监督管理条例》和经国务院批准的中国证监会规定的证券公司设立条件外,还应当符合下列条件:
(1) A foreign shareholder of the company shall satisfy the qualifications set out in these Measures, and comply with the provisions of these Measures regarding the proportion and form of capital contribution of the foreign shareholder. (一)境外股东具备本办法规定的资格条件,其出资比例、出资方式符合本办法的规定;
(2) The company's initial business scope shall be commensurate with the experience of its controlling shareholder or largest shareholder in operating securities business. (二)初始业务范围与控股股东或者第一大股东的经营证券业务经验相匹配;
(3) Other prudential conditions specified by the CSRC. (三)中国证监会规定的其他审慎性条件。
Article 6 A foreign shareholder of a foreign-funded securities company shall meet the following conditions:   第六条 外商投资证券公司的境外股东,应当具备下列条件:
(1) The country or region where it is located has sound securities laws and regulatory rules, and the relevant financial regulatory authority has entered into a memorandum of understanding regarding securities regulatory cooperation and maintained an effective regulatory cooperation relationship with the CSRC or an institution recognized by the CSRC. (一)所在国家或者地区具有完善的证券法律和监管制度,相关金融监管机构已与中国证监会或者中国证监会认可的机构签定证券监管合作谅解备忘录,并保持着有效的监管合作关系;
(2) It is a financial institution legally formed in the country or region where it is located, and all its financial indicators in recent three years conform to the provisions of laws and the requirements of the regulatory authorities of the country or region where it is located. (二)为在所在国家或者地区合法成立的金融机构,近3年各项财务指标符合所在国家或者地区法律的规定和监管机构的要求;
(3) It has engaged in securities business for five consecutive years or more, has not received any major punishment from a regulatory authority, administrative agency, or judicial authority in the country or region where it is located in the recent three years, and is not under investigation by the relevant authority on suspicion of any major violation of a law or regulation. (三)持续经营证券业务5年以上,近3年未受到所在国家或者地区监管机构或者行政、司法机关的重大处罚,无因涉嫌重大违法违规正受到有关机关调查的情形;
...... ......

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