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证券、期货投资咨询管理暂行办法 INTERIM MEASURES FOR THE ADMINISTRATION OF SECURITIES AND FUTURES INVESTMENT CONSULTANCY

2006-05-14 17:38   我要纠错 | 打印 | 收藏 | | |

(Approved by the State Council on November 30, 1997 and promulgated by the Securities Commission under the State Council on December 25, 1997)
颁布日期:19971225  实施日期:19980401  颁布单位:国务院、 国务院证券委员会

  Chapter I General Provisions

  Article 1 These Measures are formulated with a view to strengthening the administration of securities and futures investment consultancy activities and safeguarding the lawful rights and interests of investors and public interest of society.

  Article 2 These Measures must be complied with in engaging in securities and futures investment consultancy business within the territory of the People's Republic of China.

  The securities and futures investment consultancy referred to in these Measures means the activities of the agencies and their consultants engaging in the securities and futures consultancy business in providing direct or indirect paid-for consultancy services for securities and futures investors or clients with securities and futures analyses, forecasts or proposals and other services in the following forms:

  (1)to accept the entrustment of an investor or client and provide securities and futures investment consultancy services;

  (2)to hold seminars, lectures and analysis meetings on securities and futures investment consultancy;

  (3)to publish articles, commentaries and reports on securities and futures investment consultancy in newspapers and periodicals, and to provide securities and futures investment consultancy services through such mass media as radio stations, television stations and others;

  (4)to provide securities and futures investment consultancy services through telephone, fax, computer networks and other telecommunications systems; and

  (5)other forms authenticated by the China Securities Supervisory and Control Commission(hereinafter referred to as CSSCC).

  Article 3 A business permit must be obtained from CSSCC in pursuance of the provisions of these Measures for engaging in securities and futures consultancy business. No institution or individual shall engage in securities and futures investment consultancy business in the forms listed in Article 2 of these Measures without the permission of CSSCC.

  Securities operations agencies, futures brokerage firms and their staff should comply with the provisions of these Measures in engaging in securities and futures investment consultancy business beyond the respective scope of those agencies.

  Article 4 Relevant provisions of relevant laws, regulations, rules and CSSCC must be complied with and the principle of objectiveness, fairness, honesty and good faith must be adhered to in engaging in securities and futures investment consultancy.

  Article 5 CSSCC and its authorized local securities and futures supervisory and control departments(here in after referred to as local securities control offices(securities commissions) shall be responsible for the supervision and control of securities and futures investment consultancy business and be responsible for the implementation of these Measures.

  Chapter II Securities and Futures Investment Consultancy Agencies

  Article 6 The following qualifications shall be met for application for the operational qualifications of an agency for securities and futures investment consultancy:

  (1)for an agency engaging in either securities or futures investment consultancy business respectively, there are over five full-time persons with employment qualifications for securities and futures investment consultancy; for an agency engaging in securities and futures investment consultancy business simultaneously, there are over ten full-time persons with employment qualifications for securities and futures investment consultancy; among its high-ranking managerial personnel, there must be at least one person with employment qualifications for securities or futures investment consultancy;

  (2)has a registered capital of over RMB one million Yuan;

  (3)has a fixed business site and telecommunications and other information transmission facilities commensurate with the business;

  (4)has a company constitution;

  (5)has sound internal management rules; and

  (6)has other qualifications required by CSSCC.

  Article 7 Securities operations agencies and futures brokerage firms should conform to the qualifications provided for in Article 6 of these Measures before they may apply for engagement in securities and futures investment consultancy business beyond the respective scope of those agencies.

  Other agencies engaging in consultancy businesses that conform to the qualifications provided for in Article 6 of these Measures may apply for concurrent operations of securities and futures investment consultancy business.

  Article 8 An agency applying for operational qualifications for securities and futures investment consultancy shall follow the following procedures of examination and approval:

  (1)An applicant shall file an application at the local securities control office(securities commission) of the locality authorized by CSSCC(where the local securities control office(securities commission) is not authorized by CSSCC, an applicant shall apply directly to CSSCC, same hereinafter), the local securities control office(securities commission) puts forth preliminary remarks on the examination upon agreement after examination and verification;

  (2)the local securities control office(securities commission) shall submit the application papers agreed upon to CSSCC, and CSSCC shall issue a business permit to the applicant upon examination and approval and despatch a copy of the approval document to the local securities control office(securities commission); and

  (3)CSSCC shall release to society the information on the applicants who have obtained the business permits in the form of announcements.

  Article 9 An agency applying for operational qualifications for securities and futures investment consultancy should present the following documents:

  (1)an application form uniformly printed by CSSCC;

  (2)articles of as sociation of the company;

  (3)business license of the legal entity;

  (4)list of high-ranking managerial personnel and professional staff engaging in securities and futures investment consultancy of the agency and their educational background, work experiences and certificates of employment qualifications;

  (5)the mode of investment consultancy business and rules and regulations for internal management;

  (6)certificate for the business site, address for correspondence, telephone number(s) and fax number(s) of the agency;

  (7)a capital certification report provided by a certified accountant; and

  (8)other documents the presentation of which is required by CSSCC.

  Article 10 A report on the changes shall be submitted to the local securities control office(securities commission)within five working days starting from the date of occurence of the changes when changes occur in the business mode, business site, main person-in-charge and professional staff with employment qualifications for securities and futures investment consultancy and go through the formalities for the changes.

  Article 11 Securities and futures investment consultancy agencies should apply to local securities control offices(securities commissions) for annual inspection between January 1 and April 30 every year. The following documents should be presented in going through the annual inspection:

  (1)an application report for annual inspection;

  (2)Annual business report; and

  (3)financial accounting statements audited by a certified accountant.

  Local securities control offices(securities commissions) should, within 20 working days starting from the date of receipt of the documents listed in the preceding paragraph, put forth remarks of examination and verification on the annual inspection applications; those agreed to upon examination and verification shall be submitted to CSSCC for examination and approval.

  A securities and futures investment consultancy agency that fails to present the annual inspection report on expiry of the specified time period or fails to pass the annual inspection upon examination and verification must not continue to engage in securities and futures investment consultancy business.

  Chapter III Securities and Futures Investment Consultants

  Article 12 A person who engages in securities and futures investment consultancy business must obtain the employment qualifications for securities and futures investment consultancy and join an agency with operational qualifications for securities and futures investment consultancy before he/she may engage in securities and futures investment consultancy.

  Any person who has no employment qualifications for securities and futures investment consultancy or who has the employment qualifications for securities and futures investment consultancy however has not worked in a securities and futures investment consultancy agency must not engage in securities and futures investment consultancy business.

  Article 13 A securities and futures investment consultant who applies to obtain employment qualifications for securities and futures investment consultancy must have the following qualifications:

  (1)has the nationality of the People's Republic of China;

  (2)has full ability for civil acts;

  (3)with moral integrity, honesty and has good professional ethics;

  (4)has not been subjected to criminal penalty or severe administrative sanctions relating to securities and futures business;

  (5)has an educational background of regular college course and above;

  (6)has more than two years of experience in securities business in the case of a securities investment consultant, and has more than two years of experience in futures business in the case of a futures investment consultant;

  (7)has passed the qualification examination for securities and futures employees uniformly organized by CSSCC; and

  (8)other qualifications prescribed by CSSCC.

  Article 14 A securities and futures investment consultant who applies to obtain the employment qualifications for securities and futures investment consultancy shall follow the following procedures for examination and approval:

  (1)An applicant shall file an application at the local securities control office(securities commission) of the locality authorized by CSSCC(where the local securities control office(securities commission) is not authorized by CSSCC, the applicant shall apply to CSSCC direct, same hereinafter), the local securities control office(securities commission) shall put forth remarks on the preliminary examination upon agreement after examination and verification; and

  (2)the application papers agreed to upon examination and verification by the local securities control office(securities commission) shall be submitted to CSSCC, CSSCC shall issue a certificate of qualification to the applicant upon examination and approval and despatch a copy of the approval document to the local securities control office(securities commission).

  Article 15 A securities and futures investment consultant who applies to obtain employment qualifications for securities and futures investment consultancy should present the following documents:

  (1)an application form uniformly printed by CSSCC;

  (2)the identity card;

  (3)the diploma(s);

  (4)report card of the qualification examination for securities and futures employees;

  (5)materials explaining past behavior issued by the employer unit or the sub district office of the place of domicile; and(6)other materials required to be submitted by CSSCC.

  Article 16 When a securities and futures investment consultant who has obtained the employment qualifications applies for business operations, the securities and futures investment consultancy agency he/she joins shall file an application at the local securities control office(securities commission) of the locality wherein the agency is located, the application shall be submitted to CSSCC for examination and approval upon consent of the local securities control office(securities commission) after examination and verification; whoever is approved for business operations shall be issued a business license by CSSCC.

  Article 17 A securities and futures investment consultant with the acquisition of the employment qualifications should go through annual inspection for business operations simultaneously at the time of annual inspection of the securities and futures investment consultancy agency he/she has joined. A securities and futures investment consultant with the acquisition of the employment qualifications who however has no business operations in a securities and futures investment consultancy agency, his/her employment qualifications will automatically become invalid at the expiration of 18 months from the date of the acquisition.

  Article 18 No securities and futures investment consultant shall concurrently engage in business operations in two or more than two securities and futures investment consultancy agencies.

  Chapter IV Securities and Futures Investment Consultancy Business Administration

  Article 19 A securities and futures investment consultancy agency and its investment consultants should provide securities and futures investment consultancy services for investors or clients with the acknowledged attitude of the trade: discretion, honesty, diligence and fulfillment of responsibility.

  Article 20 A securities and futures investment consultancy agency and its investment consultants should use the relevant information and materials completely, objectively and accurately to provide investment analyses, forecasts and proposals to investors or clients, and must not quote or alter relevant information and materials out of context; sources and copyright owners shall be annotated in quoting relevant information and materials.

  Article 21 A securities and futures investment consultancy agency and its investment consultants must not provide investment analyses, forecasts or proposals to investors or clients on the basis of false information, market rumors or inside information.

  Article 22 When publishing articles, reports or views on investment consultancy in newspapers, periodicals, radio stations, television stations or other media, a securities and futures investment consultant must annotate the name of the securities and futures investment consultancy agency in which he/she is employed and the true name of the individual and make full explanation on investment risks. A securities and futures investment consultancy agency must annotate the name and address of the agency, the telephone number(s) for contact and the name(s) of the contact in providing securities and futures investment consultancy faxes to investors or clients.

  Article 23 A securities and futures investment consultancy agency should apply to the local securities control office(securities commission)for the record in co-sponsorship or assisting in sponsorship of a page or a program on securities and futures investment consultancy with newspapers, periodicals, radio stations and television stations or in business cooperation with departments of telecommunications services. Materials for the record include contents of cooperation, time of beginning and termination, layout of a printed sheet or time band of the program, the person-in-charge of the project, etc, and affix the seals of the units of the two sides.

  Article 24 No securities and futures investment consultancy agency and its investment consultants shall engage in the following activities:

  (1)engaging in securities and futures buying and selling as an agent of investors;

  (2)making commitments on returns on securities and futures investment to investors;

  (3)agreement with investors on the sharing of returns or losses of the investment;

  (4)buying and selling of stocks for himself/herself and securities with the nature and function of stocks and futures;

  (5)manipulating the market or engaging in inside trading by exploiting the consultancy services in collaboration with others; and

  (6)other fraudulent acts in securities and futures prohibited by laws, rules and regulations.

  Article 25 The investment analyses, forecasts or proposals on the same question provided to different clients by a securities and futures investment consultancy should be consistent.

  A securities operations agency with self-managed businesses should be consistent in providing consultancy suggestions on the same question to the public of society and its self-managed department and must not mislead the public of society out of requirements for profit-gaining of its self managed businesses in engaging in securities investment consultancy business beyond the scope of the agency.

  Article 26 Securities and futures information briefs, news flash and trends compiled and issued by a securities operations agency or futures brokerage firm for the internal use of the agency and the information systems shall be restricted to use within the agency only and must not be provided to the public of society through any channel.

  The underwriter or the person who recommends the listing and their subordinate securities investment consultancy agencies of the company whose public issuance of shares approved by CSSCC must not publish in mass media its report on the analysis of investment value written for clients.

  Article 27 CSSCC and local securities control offices(securities commissions) have the power to conduct inspection over the business activities of securities and futures investment consultancy agencies and investment consultants, the securities and futures investment consultancy agencies and their investment consultants to be inspected should cooperate and not interfere and obstruct.

  CSSCC and local securities control offices(securities commissions) and their functionaries should pay attention to the protection of the business secrets involved in the process of business inspection.

  Article 28 Securities and futures investment consultancy agencies should put the investment consultancy materials they provide to investors or public of society in safekeeping for two years starting from the date of provision.

  Article 29 Local securities control offices(securities commissions)shall, on the basis of the complaints or reports of investors or public of society, have the power to demand the securities and futures investment consultancy agencies and their investment consultants to explain the situation and provide relevant materials.

  Article 30 Any unit or individual that uncovers the acts of securities and futures investment consultancy agencies, investment consultants or other agencies and individuals in violation of the provisions of these Measures may lodge a complaint or make a report to local securities control offices(securities commissions).

  Article 31 Local securities control offices(securities commissions)should establish a case and investigate the acts in violation of the provisions of these Measures and submit a report on the results of investigation to CSSCC for the record.

  Chapter V Penalty Provisions

  Article 32 Whoever engages in the securities and futures investment consultancy business provided for in Article 2 of these Measures on one's own without the permission of CSSCC shall be ordered to suspend the business by the local securities control office(securities commission), and confiscated of the illegal gains and imposed a fine of the amount less than the equivalent value of the illegal gains.

  Article 33 Any securities and futures investment consultancy agency that commits any of the following acts shall be imposed a fine of more than RMB 10,000 Yuan less than RMB 50,000 Yuan by the local securities control office(securities commission); where the circumstances are serious, the local securities control office(securities commission)should submit a report to CSSCC, and CSSCC shall impose a penalty of suspension or revocation of its business qualifications:

  (1)there are false statements or major omissions in the documents and materials submitted to CSSCC;

  (2)failure to fulfil the obligations of reporting and annual inspection in accordance with the provisions of these Measures;

  (3)failure to go through the formalities for the changes in the relevant information of the agency which have taken place in accordance with the provisions of these Measures;

  (4)securities and futures investment consultants of the agency having been subjected to administrative sanctions by the securities supervisory and control department for violation of the provisions of these Measures; and

  (5)interfering with or obstructing the inspection and investigation of the local securities control office(securities commission) or concealing and destroying evidences.

  Article 34 Any securities and futures investment consultancy agency that violates the provisions of Articles 18, 19, 20, 21, 22, 23, 24, 25 and 28 shall be penalized on one count or be concurrently administered a warning, confisticated of the illegal gains and imposed a fine of more than RMB 10,000 Yuan less than RMB 100,000 Yuan; where the circumstances are serious, the local securities control office(securities commission) should submit a report to CSSCC and CSSCC shall impose a penalty of suspension or nullification of the business qualification; where a crime has been constituted, criminal liability shall be investigated according to law.

  Article 35 Any securities operations agency or futures brokerage firm that violates the provisions of Article 26 of these Measures shall be ordered by the local securities control office(securities commission) to make a rectification and concurrently administered a warning or imposed a fine of more than RMB 10,000 Yuan less than RMB 50,000 Yuan.

  Article 36 Any securities and futures investment consultant that violates the provisions of Articles 18, 19, 20, 21, 22 and 24 of these Measures or fails to fulfil the obligations of reporting to and annual inspection by the competent securities department in pursuance of the provisions of these Measures shall be penalized on one count or concurrently administered a warning, confisticated of the illegal gains and imposed a fine of more than RMB 10,000 Yuan less than RMB 30,000 Yuan; where the circumstances are serious, the local securities control office(securities commission) shall submit a report to CSSCC which shall impose a penalty of suspension or nullification of its business qualification; where a crime has been constituted, criminal liability shall be investigated according to law.

  Article 37 Any functionary of CSSCC or local securities control offices(securities commissions) that neglects the duty, abuses power, indulges in self-seeking misconduct constituting a crime shall be investigated of the criminal liability; where a crime has not been constituted, administrative sanctions shall be imposed according to law.

  Chapter VI Supplementary Provision

  Article 38 These Measures shall enter into force as of April 1, 1998.

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