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关于做好第二批行政审批项目取消及部分行政审批项目改变管理方式后的后续监管和衔接工作的通知 Circular on Doing Well in Ongoing Regulatory and Dovetailing Works Upon Canceling the Second Group of Administrative Approval Items and Changing the Management Methods of Some Administrative Approval Items

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证监发[2003]17号

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

  ZhengJianFa [2003] No.17

  April 1, 2003

  Securities regulatory offices, agencies and special agencies, stock exchanges and futures exchanges, Shanghai and Shenzhen Stock Exchanges Securities Regulatory Agencies, China Association of Securities and China Association of Futures, China Securities Registration and Settlement Company, and each department of the SCRC:

  On March 27, 2003, the State Council promulgated the Decision 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) (hereinafter referred to as the “Decision”)。 With a view to carry out and implement the spirits of the Decisions and do well in the ongoing regulatory and dovetailing works upon cancellation of the second group of administrative approval items and change of management methods of some administrative approval items, here is to notify you of the following matters:

  1. For the administrative approval items revoked in the Decision (see the attachment), the CSRC and its agencies will no longer accept, or examine and approve if accepted already.

  2. For the ongoing regulatory and dovetailing works upon cancellation of the relevant administrative approval items, please enforce as per the ongoing management modes determined in the attachment.

  3. For the change of management methods of some administrative approval items, please do well in the transfer of the relevant works to the professional associations, put forth the self-disciplinary principles of professional associations, guide them to formulate operational procedures and establish the self-disciplinary mechanism.

  4. According to the requirements for the Decision and this Circular, please research on and timely cope with the circumstances and problems that may occur upon the cancellation of the relevant administrative approval items and change of the management methods for some administrative approval items, earnestly do well in the ongoing regulatory and dovetailing works, and prevent any disconnection in management. In case of any material circumstance, please report timely to the CSRC.

  Attachment:

  Follow-up and Dovetailing of the Ongoing Management Methods and Work Upon Cancellation of the Second Group of Administrative Approval Items of China Securities Regulatory Commission

  No.

  Item Name Cancelled

  Ongoing Management and Work Dovetailing

  1

  Ratification of A-share settlement banks

  The Securities Registration and Settlement Company shall formulate the standards and criteria for ratification of A-share settlement banks

  2

  Record of the contracts signed between securities companies and depository banks, or chief depository banks

  Within seven days upon signature of the contracts with depository banks and chief depository banks, the securities companies shall report the copies of the contracts in question to the CSRC and the local CSRC agency.

  3

  Record of the contracts signed between settlement companies and settlement banks

  The Securities Registration and Settlement Company shall report its sample format of the contracts signed with the settlement banks to the CSRC.

  4

  Record of the documents of the members‘ assembly of Stock Exchanges

  The Stock Exchanges shall within ten working days upon the members‘ assembly of Stock Exchanges submit all the documents and relevant circumstances to the CSRC

  5

  Record of the business agreements between securities registration and settlement institutions and Stock Exchanges

  The securities registration and settlement institutions shall submit the business agreements signed or modified with the Stock Exchanges to the CSRC.

  6

  Record of the suspension or restoration of the trading of listed securities by Stock Exchanges

  The CSRC shall not examine and approve such administrative examination and approval items but strengthen the examination and inspection on the stop or resumption of the listing of the Stock Exchanges

  7

  Approval of the suspension or restoration of the trading of listed securities by Stock Exchanges

  Same as above (ditto)

  8

  Record of listing agreements

  The CSRC shall no longer examine and approve such administrative examination and approval items

  9

  Record of the internal administrative systems and work procedures of securities registration and settlement institutions on business, finance and security etc

  The internal management system and risk prevention system formulated by the securities registration and settlement institutions should be reported to the CSRC.

  10

  Approval of the period for keeping of original business proofs fixed by securities registration and settlement institutions

  Enforced according to Article 53 of the Securities Law of the PRC.

  11

  Examination and approval for the services provided by Stock Exchanges for the transaction types that are not listed by them

  In case of providing services for the transactions types that are not listed on their stock exchanges, the Stock Exchanges shall report the relevant circumstances to the CSRC.

  12

  Examination and acceptance of the preparation for establishment of securities companies

  The CSRC shall no longer examine and approve such administrative examination and approval items

  13

  Examination and approval of the establishment of securities institutions abroad by non-securities institutions

  The CSRC shall no longer examine and approve such administrative examination and approval items

  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

  Upon 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, the name list, identity certification and resumes should be reported to the CSRC and the local CSRC agencies

  15

  Record of the employment of Chinese citizens to be ordinary staff members by the representative offices in China of foreign securities institutions

  Ditto

  16

  Ratification of the representatives and deputy representatives of the representative offices in China of foreign securities institutions

  Ditto

  17

  Examination and approval of the cancellation of securities institutions set up overseas by domestic non-securities institutions

  The CSRC shall no longer examine and approve such administrative examination and approval items

  18

  Recommendation for the securities companies entering the Inter-bank borrowing market

  The securities companies may apply for with the People‘s Bank of China or other competent authorities. If the People’s Bank of China or other competent authorities require for opinions to be issued by the CSRC, the CSRC shall coordinate accordingly

  19

  Designation of the training institutions of securities practitioners

  Handled with according to the relevant provisions of the China Association of Securities

  20

  Record of the personnel employed by securities intermediary institutions

  Handled with according to the relevant provisions of the China Association of Securities

  21

  Record of the change of employers of securities practitioners

  Handled with according to the relevant provisions of the China Association of Securities

  22

  Record of the part-time jobs in non-commercial institutions of the managerial personnel and fund managers

  The fund management companies shall report to the CSRC the part-time jobs in non-commercial institutions of the managerial personnel and fund managers

  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

  The engagement and dismissal of the assistant General Managers and departmental managers of fund management companies and fund custodian departments should be reported together with the submission of the database information for fund supervision

  24

  Record of the relevant materials of establishment of offices within China by fund management companies

  Within 25 working days upon establishing offices in the territory of China, the fund management companies shall report the relevant content, including the time and place for establishing such offices, the responsible persons and contact mode; and the acts of the offices should be undertaken by the fund management companies as a part of the regulations on the fund management companies by the CSRC.

  25

  Examination and approval for the establishment of futures and investment consultation institutions

  The CSRC shall no longer examine and approve such administrative examination and approval items but review and ratify the qualifications of the futures investment advisory institutions for futures investment advisory services, and issue the Qualification Permits for Futures Investment Advisory Services. For the institutions that project to apply for the qualifications for futures investment advisory services, their practitioners shall have obtained the Qualification Certificate for futures investment consultation issued by China Association of Futures

  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

  The CSRC shall no longer examine and approve such administrative examination and approval items

  27

  Record of the agreements on listing of convertible company bonds

  The CSRC shall no longer examine and approve such administrative examination and approval items

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