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中国证券监督管理委员会关于取消第二批行政审批项目及改变部分行政审批项目管理方式的通告 Announcement of China Securities Regulatory Commission on Canceling the Second Group of Administrative Approval Items and on Changing the Management Methods of Some Administrative Approval Items

2006-05-13 09:11   我要纠错 | 打印 | 收藏 | | |

颁布日期:20030401  实施日期:20030401  颁布单位:中国证券监督管理委员会

  China Securities Regulatory Commission

  April 1,2003

  According to the requirements of the Decision of the State Council on Canceling the Second Group of Administrative Approval Items and on Changing the Management Methods of a Group of Administrative Approval Items (GuoFa [2003] No.5), the relevant matters concerning this commission's cancellation of the second group of administrative approval items and the change of management methods of some administrative approval items are hereby notified as follows:

  1. Since the day of issuance of the decision of the State Council, February 27, 2003, China Securities Regulatory Commission (the CSRC) has cancelled the second group of administrative approval items (27 items, see the attachment for the specific item names and the basis of establishment)。

  2. The CSRC and the agencies thereof will no longer accept the relevant applications filed by the parties according to the administrative approval items that have been cancelled, and will no longer make examination and approval of such applications that have been accepted.

  3. The CSRC will issue special circulars with respect to the subsequent management methods and follow-up work related to the cancelled administrative approval items.

  4. The CSRS will start to sort out the departmental regulations and regulatory documents related to the second group of administrative approval items that have been cancelled, and the result will be publicized.

  5. The CSRC has decided to change the management methods of 7 administrative approval items, namely: “ratification of the qualification of securities practitioners”, “ratification of the qualification of securities investment consultation practitioners”, “record of information of stock underwriters”, “assessment of the qualification of fund practitioners”, “ratification of the qualification of futures practitioners”, “ratification of the texts of futures brokerage contracts”, as well as “ratification of the qualification of futures investment consultation practitioners”。 The above 7 administrative approval items shall be transferred to the Securities Association of China and the China Futures Association for self-regulation. The CSRC will issue special circulars concerning the relevant transfer and subsequent management work.

  6. After the second group of administrative approval items are abolished and the management methods for some administrative approval items are changed, the CSRS will, according to the principle of prudent regulation and through enactment of the management criteria and standards, improve the regulatory means and strengthen the in-process inspection and ex post facto investigation and punishment to further strengthen the protection of the investors and the supervision and management of the relevant business activities.

  Attachment:

  Catalogue of the Second Group of Administrative Approval Items Canceled by China Securities Regulatory Commission (27 items)

  No. Item Name Establishment Basis

  1 Ratification of A-share settlement banks Measures for the Administration of Client Transaction Settlement Fund (Decree No.3 of 2001 of the CSRC)

  2 Record of the contracts signed between securities companies and depository banks, or chief depository banks Measures for the Administration of Client Transaction Settlement Fund (Decree No.3 of 2001 of the CSRC)

  3 Record of the contracts signed between settlement companies and settlement banks Measures for the Administration of Client Transaction Settlement Fund (Decree No.3 of 2001 of the CSRC)

  4 Record of the documents of the members' assembly of Stock Exchanges Measures for the Administration of Stock Exchanges (Decree No.4 of 2001 of the CSRC)

  5 Record of the business agreements between securities registration and settlement institutions and Stock Exchanges Measures for the Administration of Stock Exchanges (Decree No.4 of 2001 of the CSRC)

  6 Record of the suspension or restoration of the trading of listed securities by Stock Exchanges Measures for the Administration of Stock Exchanges (Decree No.4 of 2001 of the CSRC)

  7 Approval of the suspension or restoration of the trading of listed securities by Stock Exchanges Measures for the Administration of Stock Exchanges (Decree No.4 of 2001 of the CSRC)

  8 Record of listing agreements Measures for the Administration of Stock Exchanges (Decree No.4 of 2001 of the CSRC)

  9 Record of the internal administrative systems and work procedures of securities registration and settlement institutions on business, finance and security etc Measures for the Administration of Stock Exchanges (Decree No.4 of 2001 of the CSRC)

  10 Approval of the period for keeping of original business proofs fixed by securities registration and settlement institutions Measures for the Administration of Stock Exchanges (Decree No.4 of 2001 of the CSRC)

  11 Examination and approval for the services provided by Stock Exchanges for the transaction types that are not listed by them Measures for the Administration of Stock Exchanges (Decree No.4 of 2001 of the CSRC)

  12 Examination and acceptance of the preparation for establishment of securities companies Circular of the CSRC on distributing the Several Opinions on Further Strengthening the Regulation of Securities Companies (ZhengJianJiGouZi [1999] No.14)

  13 Examination and approval of the establishment of securities institutions abroad by non-securities institutions Circular of the General Office of the State Council on Distributing the Provisions on the Functions, Internal Structures and Personnel Establishment of China Securities Regulatory Commission (GuoBnaFa [1998] No.31)Measures for the Administration of Overseas Financial Institutions (Decree No.1 of 1990 of the People's Bank of China)

  14 Ratification of the change, addition or reduction of representatives, deputy representatives, and staff members of foreign nationalities or from Hong Kong, Macao and Taiwan by the representative offices in China of foreign securities institutions Circular of the CSRC on Promulgation of the Measures for the Administration of Representative Offices in China of Foreign Securities Institutions (ZhengJianJiGouZi [1996] No. 26)

  15 Record of the employment of Chinese citizens to be ordinary staff members by the representative offices in China of foreign securities institutions Circular of the CSRC on Promulgation of the Measures for the Administration of Representative Offices in China of Foreign Securities Institutions (ZhengJianJiGouZi [1996] No. 26)

  16 Ratification of the representatives and deputy representatives of the representative offices in China of foreign securities institutions Circular of the CSRC on Promulgation of the Measures for the Administration of Representative Offices in China of Foreign Securities Institutions (ZhengJianJiGouZi [1996] No. 26)

  17 Examination and approval of the cancellation of securities institutions set up overseas by domestic non-securities institutions Circular of the General Office of the State Council on Distributing the Provisions on the Functions, Internal Structures and Personnel Establishment of China Securities Regulatory Commission (GuoBanFa [1998] No.31); Measures for the Administration of Overseas Financial Institutions (Decree No.1 of 1990 of the People's Bank of China); Circular of the People's Bank of China and China Securities Regulatory Commission on Distributing the Scheme on Handover of the Duties of Regulation of Securities Institutions (YinChuan [1998] No.30 )

  18 Recommendation for the securities companies entering the Inter-bank borrowing market Circular of the People's Bank of China on Distributing the Provisions on the Administration of the Fund Management Companies' Entering the Inter-bank Borrowing Market and the Provisions on the Administration of the Securities Companies' Entering the Inter-bank Borrowing Market (YinFa [1999] No.288)

  19 Designation of the training institutions of securities practitioners Circular of the Securities Commission of the State Council on Distributing the Interim Provisions on the Administration of the Qualification of Securities Practitioners (ZhengWeiFa [1995] No.6)

  20 Record of the personnel employed by securities intermediary institutions Circular of the Securities Commission of the State Council on Distributing the Interim Provisions on the Administration of the Qualification of Securities Practitioners (ZhengWeiFa [1995] No.6)

  21 Record of the change of employers of securities practitioners Circular of the Securities Commission of the State Council on Distributing the Interim Provisions on the Administration of the Qualification of Securities Practitioners (ZhengWeiFa [1995] No.6)

  22 Record of the part-time jobs in non-commercial institutions of the managerial personnel and fund managers Promulgation of No.6 Rule of Implementation of the Interim Measures for the Administration of Securities and Investment Fund ? Interim Provisions on the Administration of the Qualification of Fund Practitioners (ZhengJianFa [1999] No.53)

  23 Record of the appointment and dismissal of the assistants to the general manager and department managers of fund management companies and fund trustee departments Promulgation of No.6 Rule of Implementation of the Interim Measures for the Administration of Securities and Investment Fund ? Interim Provisions on the Administration of the Qualification of Fund Practitioners (ZhengJianFa [1999] No.53)

  24 Record of the relevant materials of establishment of offices within China by fund management companies Circular of the CSRC on the Relevant Issues Concerning the Establishment of Branches within China by Fund Management Companies (ZhengJianJiJinZi [2000] No. 66)

  25 Examination and approval for the establishment of futures and investment consultation institutions Circular of the Securities Commission of the State Council on Promulgation of the Interim Measures for the Administration of Securities and Futures Investment Consultation (ZhengWeiFa [1997] No.96)

  26 Review of the letters of legal advice issued by Chinese lawyers concerning the issuing of stocks and listing overseas by overseas companies involving domestic rights and interests Circular of the CSRS on the Relevant Issues Concerning the Issuing of Stocks and Listing Abroad by Overseas Companies Involving Domestic Rights and Interests (ZhengJianFaXingZi [2000] No.72 )

  27 Record of the agreements on listing of convertible company bonds Circular of the Securities Commission of the State Council on Promulgation of the Interim Measures for the Administration of Convertible Company Bonds (ZhengWeiFa [1997] No.6)

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