证券法英文版Word格式.docx
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证券法英文版Word格式.docx
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TheSecuritiesLawofthePeople'
sRepublicofChina,whichwasrevisedandadoptedatthe18thMeetingoftheStandingCommitteeofthe10thNationalPeople'
sCongressofthePeople'
sRepublicofChinaonOctober27,2005areherebypromulgateandshallbeimplementedasofJanuary1,2006.
PresidentofthePeople'
sRepublicofChina,HuJintao
October27,2005
(Adoptedatthe6thMeetingoftheStandingCommitteeofthe9thNationalPeople'
sCongressonDecember29,1998,revisedatthe18thMeetingoftheStandingCommitteeoftheTenthNationalPeople'
sRepublicofChinaonOctober27,2005accordingtotheDecisiononRevisingtheSecuritiesLawofthePeople'
sRepublicofChinaasmadeatthe11thmeetingoftheStandingCommitteeofthe10thPeople'
sCongressonAugust28,2004)
Contents
ChapterIGeneralProvisions
ChapterIIIssuanceofSecurities
ChapterIIITransactionofSecurities
SectionIGeneralProvisions
SectionIIListingofSecurities
SectionIIIOn-goingDisclosureofInformation
SectionIVProhibitedTradingActs
ChapterIVAcquisitionofListedCompanies
ChapterVStockExchanges
ChapterVISecuritiesCompanies
ChapterVIISecuritiesRegistrationandClearingInstitutions
ChapterVIIISecuritiesTradingServiceInstitutions
ChapterIXSecuritiesIndustrialAssociation
ChapterXSecurityRegulatoryBodies
ChapterXILegalLiabilities
ChapterXIISupplementaryArticles
Article1ThepresentLawisformulatedforthepurposeofregulatingtheissuanceandtransactionofsecurities,protectingthelawfulrightsandinterestsofinvestors,safeguardingtheeconomicorderandpublicinterestsofthesocietyandpromotingthegrowthofthesocialistmarketeconomy.
Article2ThepresentLawshallbeappliedtotheissuanceandtransactionofstocks,corporatebondsaswellasanyothersecuritiesaslawfullyrecognizedbytheStateCouncilwithintheterritoryofthePeople'
sRepublicofChina.WherethereisnosuchprovisioninthepresentLaw,theprovisionsoftheCorporationLawofthePeople'
sRepublicofChinaandotherrelevantlawsandadministrativeregulationsshallbeapplied.AnylistedtradingofgovernmentbondsandshareofsecuritiesinvestmentfundsshallbegovernedbythepresentLaw.Wherethereisanyspecialprovisioninanyotherlaworadministrativeregulation,thespecialprovisionshallprevail.ThemeasuresfortheadministrationofissuanceandtransactionofsecuritiesderivativesshallbeprescribedbytheStateCouncilaccordingtotheprinciplesofthepresentLaw.
Article3Theissuanceandtransactionofsecuritiesshalladheretotheprinciplesofopenness,fairnessandimpartiality.
Article4Thepartiesinvolvedinanyissuanceortransactionofsecuritiesshallhaveequallegalstatusandshallpersistintheprinciplesoffreewill,compensationandintegrityandcreditworthy.
Article5Theissuanceandtransactionofsecuritiesshallobservelawsandadministrativeregulations.Nofraud,insidertradingormanipulationofthesecuritiesmarketmaybepermitted.
Article6Thedividedoperationandmanagementshallbeadoptedbytheindustriesofsecurities,banking,trustaswellasinsurance.Thesecuritiescompaniesandthebusinessorgansofbanks,trustandinsuranceshallbeestablishedseparately,unlessotherwiseprovidedforbythestate.
Article7ThesecuritiesregulatoryauthorityundertheStateCouncilshalladoptacentralizedandunifiedsupervisionandadministrationofthenationalsecuritiesmarket.ThesecuritiesregulatoryauthorityundertheStateCouncilmay,inlightoftherelevantrequirements,establishdispatchedoffices,whichshallperformtheirdutiesandfunctionsofsupervisionandadministrationupontheauthorization.
Article8Underthecentralizedandunifiedsupervisionandadministrationofthestateregardingtheissuanceandtransactionofsecurities,asecuritiesindustrialassociationshallbelawfullyestablished,whichshalladopttheself-regulatingadministration.
Article9Theauditingorganofthestateshallcarryoutauditingsupervisionofstockexchanges,securitiescompanies,securitiesregistrationandclearinginstitutionsandsecuritiesregulatorybodies.
Article10ApublicissuanceofsecuritiesshallsatisfytherequirementsoftherelevantlawsandadministrativeregulationsandshallbereportedtothesecuritiesregulatoryauthorityundertheStateCounciloradepartmentuponauthorizat
ionbytheStateCouncilforexaminationandapprovalaccordingtolaw.Withoutanyexaminationandapprovalaccordingtolaw,noentityorindividualmaymakeapublicissuanceofanysecurities.Itshallbedeemedasapublicissuanceupontheoccurrenceofanyofthefollowingcircumstances:
(1)Makingapublicissuanceofsecuritiestonon-specifiedobjects;
(2)Makingapublicissuanceofsecuritiestoaccumulativelymorethan200specifiedobjects;
or
(3)Makingapublicissuanceasprescribedbyanylaworadministrativeregulation.Foranysecuritiesthatarenotissuedinapublicmanner,themeansofadvertising,publicinducementorpublicissuanceinanydisguisedformmaynotbeadoptedthereto.
Article11Anissuerthatfilesanapplicationforpublicissuanceofstocksorconvertiblecorporatebondsbymeansofunderwritingaccordingtolaworforpublicissuanceofanyothersecurities,towhicharecommendationsystemisapplied,asisprescribedbylawsandadministrativeregulations,shallemployaninstitutionwiththequalificationofrecommendationasitsrecommendationparty.Arecommendationpartyshallabidebyoperationalrulesandindustrialnormsand,onthebasisoftheprinciplesofbeinghonesty,creditworthy,diligentandaccountable,carryoutaprudentexaminationofapplicationdocumentsandinformationdisclosurematerialsofitsissuersaswellassuperviseandurgeitsissuerstooperateinaregulativemanner.ThequalificationoftherecommendationpartyaswellastherelevantmeasuresforadministrationshallbeformulatedbythesecuritiesregulatoryauthorityundertheStateCouncil.
Article12Apublicofferofstocksforestablishingastock-limitedcompanyshallsatisfytherequirementsasprescribedintheCorporationLawofthePeople'
sRepublicofChinaaswellasanyotherrequirementsasprescribedbythesecuritiesregulatoryauthorityundertheStateCouncil,whichhavebeenapprovedbytheStateCouncil.AnapplicationforpublicofferofstocksaswellasthefollowingdocumentsshallbereportedtothesecuritiesregulatoryauthorityundertheStateCouncil:
(1)Theconstitutionofthecompany;
(2)Thepromoter'
sagreement;
(3)Thenameortitleofthepromoter,theamountofsharesassubscribedbythepromoter,thecategoryofcontributedcapitalaswellasthecapitalverificationcertification;
(4)Theprospectus;
(5)Thenameandaddressofthebankthatreceivesthefundsasgeneratedfromtheissuanceofstocksonthebehalfofthecompany;
and
(6)Thenameoftheunderwritingorganizationaswellastherelevantagreements.Incasearecommendationpartyshallbeemployed,asprescribedbythepresentLaw,theRecommendationLetterofIssuanceasproducedbytherecommendationpartyshallbesubmittedaswell.Incasetheestablishmentofacompanyshallbereportedforapproval,asprescribedbylawsandadministrativeregulations,therelevantapprovaldocumentsshallbesubmittedaswell.
Article13Aninitialpublicoffer(IPO)ofstocksofacompanyshallsatisfythefollowingrequirements:
(1)Havingacompleteandwell-operatedorganization;
(2)Havingthecapabilityofmakingprofitssuccessivelyandasoundfinancialstatus;
(3)Havingnofalserecordinitsfinancialstatementsoverthelatest3yearsandhavingnoothermajorirregularity;
(4)MeetinganyotherrequirementsasprescribedbythesecuritiesregulatoryauthorityundertheStateCouncil,whichhasbeenapprovedbytheStateCouncil.Alistedcompanythatmakesanyinitialnon-publicofferofstocksshallsatisfytherequirementsasprescribedbythesecuritiesregulatoryauthorityundertheStateCouncil,whichhavebeenapprovedbytheStateCouncilandshallbereportedtothesecuritiesregulatoryauthorityundertheStateCouncilforexaminationandapproval.
Article14AcompanythatmakesanIPOofstocksshallapplyforpublicofferofstocksaswellasthefollowingdocumentstothesecuritiesregulatoryauthorityundertheStateCouncil:
(1)Thebusinesslicenseofthecompany;
(2)Theconstitutionofthecompany;
(3)Theresolutionofthegeneralassembleofshareholders;
(5)Thefinancialstatements;
(6)Thenameandaddressofthebankthatreceivesthefundsasgeneratedfromthepublicofferofstocksonthebehalfofthecompany;
(7)Thenameoftheunderwritinginstitutionaswellastherelevantagreements.Incasearecommendationpartyshallbeemployed,asprescribedbythepresentLaw,theRecommendationLetterofIssuanceasproducedbytherecommendationpartyshallbesubmittedaswell.
Article15Thefundsasraisedthroughpublicofferofstocksasmadebyacompanyshallbeusedaccordingtothepurposeasprescribedintheprospectus.Anyalterationoftheuseoffundsasprescribedintheprospectusshallbesubjecttoaresolutionofthegeneralassemblyofshareholders.Incase
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