关于授权派出机构审核部分证券机构行政许可事项的决定(中英文对照)_涉外律师,国际贸易律师,环境资源能源矿产律师,生物医药律师

With a view to reinforcing the front-line regulatory duties of dispatched offices, optimizing the allocation of resources of the securities institution supervision, and improving the efficiency of examination and verification, in accordance with the Securities Law of the People's Republic of China, the Administrative Licensing Law of the People's Republic of China, the Regulations on the Supervision and Administration of Securities Companies, the Procedures of the China Securities Regulatory Commission on Implementing Administrative Licensing and other relevant regulations, the China Securities Regulatory Commission ("CSRC") has decided to authorize its dispatched offices to examine and verify certain administrative licensing matters relating to securities institutions. Specific authorization issues and work requirements are hereby stated as follows:

为强化派出机构一线监管职责，优化证券机构监管资源配置，提高审核工作效率，根据《中华人民共和国证券法》、《中华人民共和国行政许可法》、《证券公司监督管理条例》、《中国证券监督管理委员会行政许可实施程序规定》等法规有关规定，中国证券监督管理委员会（以下简称中国证监会）决定授权派出机构审核部分证券机构行政许可事项。具体授权事项和工作要求如下:

1. Dispatched offices authorized by CSRC shall, pursuant to the law, examine and verify the following administrative licensing matters of securities companies within their respective jurisdiction (hereinafter collectively referred to as the "Authorized Examination and Verification Matters"):
(1) Change of key clauses of the articles of association of a securities company;
(2) The establishment, acquisition or cancellation of a branch of a securities company;
(3) Change of the registered capital of a securities company, except where a listed securities company changes its registered capital or where the existing shareholders of a non-listed securities company increase the registered capital under the conditions that no new shareholder with a shareholding of more than 5% is added, and that there is no change of the actual controller, controlling shareholder and the largest shareholder of the company;
(4) Change of the actual controllers or shareholders with a shareholding of more than 5% of a securities company (excepted for listed securities companies); and
(5) Increase or reduction of such business as securities brokerage, securities investment consultation, financial consultation related to securities trading and securities investment activities, self-run securities trading, securities asset management and securities underwriting.

一、经中国证监会授权的派出机构,依法对辖区证券公司下列行政许可事项(以下统称授权审核事项)进行审核:

(一)变更公司章程重要条款;

(二)设立、收购、撤销分支机构;

(三)变更注册资本,但下列变更注册资本事项除外:上市证券公司变更注册资本;非上市证券公司现有股东增加注册资本,未新增5%以上股权的股东,且证券公司实际控制人、控股股东和第一大股东未发生变化;

(四)变更持有5%以上股权的股东、实际控制人,但上市证券公司变更持有5%以上股权的股东、实际控制人除外;

(五)增加或者减少证券经纪,证券投资咨询,与证券交易、证券投资活动有关的财务顾问,证券自营,证券资产管理,证券承销业务。

2. A dispatched office shall, once authorized by CSRC, according to the characteristics of the Authorized Examination and Verification Matters as well as the examination and verification requirements, make the following preparations:
(1) Establish and improve the examination and verification system, perfect internal work processes, and have in place necessary examination and verification staff members;
(2) Enhance the transparency of examination and verification by (a) making ex ante announcements of the basis, conditions and procedures for examination and verification, as well as the list of application materials, (b) making interim announcements of the examination and verification progress, and (c) making ex post announcements of the examination and verification results. The announcement shall be made in an accurate, complete and timely manner;
(3) Strictly implement the examination and verification systems and procedures to effectively ensure the quality of examination and verification; and the application materials and examination and verification documents (including those in softcopy) shall be archived in a timely manner as required; and
(4) Improve internal inspection and supervision mechanisms, and assign relevant functional departments to be responsible for the inspection and supervision of the examination and verification work.

二、派出机构取得中国证监会授权,应当根据授权审核事项的特点和审核工作需要,做好下列准备工作:

(一)建立健全审核工作制度,完善内部工作流程,配备必要的审核人员;

(二)增强审核工作透明度,事前公开审核依据、条件、程序和申请材料目录,事中公开审核进程,事后公开审核结果。公开内容准确、完整、及时;

(三)严格执行审核制度和程序,切实维护审核工作质量,申请材料和审核文件(包括电子文档)按规定及时归档;

(四)健全内部检查监督机制,指定相关职能部门对审核工作进行检查监督。

3. Dispatched offices authorized by CSRC shall adhere to the principle of openness, fairness, impartiality and convenience for the people in administrative licensing, earnestly perform the examination and verification duties, enhance the service awareness, complete examination and verification tasks in strict accordance with statutory requirements, procedures and time limits. The examination and verification in violation of the provisions, the overdue examination and verification or the examination and verification contravening the standards shall be prohibited.

三、经中国证监会授权的派出机构,应当遵循行政许可公开、公平、公正、便民的原则,切实履行审核职责,增强服务意识,严格按照法定条件、程序和期限完成审核工作,杜绝违规审核、超期审核和不规范审核。

4. Where the dispatched offices encounter new situations and new issues not specified in laws, regulations and the regulatory provisions of the CSRC in examination and verification works, they shall promptly do research, propose handling suggestions and report the same to CSRC. The latter shall, in accordance with relevant laws, regulations and regulatory provisions, formulate guidelines on examination and verification or opinions on the application of law, which shall uniformly be applied to similar situations after being promulgated.

四、派出机构在审核工作中遇到法律法规和中国证监会监管规定没有明确规定的新情况、新问题的,应当及时研究,提出处理建议并报中国证监会。中国证监会依据有关法律法规和监管规定制定审核工作指引或者法律适用意见,对外公布后,统一适用于同类情形。

5. Relevant departments of CSRC shall inspect the examination and verification work done by dispatched offices on a regular or ad hoc basis. Where it is found that an applicant obtains administrative licensing by practicing fraud or by other improper means, or that a dispatched office commits material errors in examination and verification, the relevant administrative licensing decision shall be cancelled according to statutory procedures, and the entities and personnel concerned shall be held accountable.
Where the cancellation of an administrative licensing decision may be detrimental to the interests of a bona fide third party or cause other material social impacts, the regulatory measures may be taken first, such as ordering rectification in certain time limit or business suspension.. The administrative license decision can be cancelled pursuant to the law after related impact has been reduced or eliminated. Where such administrative licensing decision involves the establishment of a new branch or business licensing, the branch or business licensing shall be lawfully cancelled after the relevant securities company has settled all client matters and closed all unfinished transactions as required. Relevant entities and personnel shall still be held accountable despite the taking of the aforesaid measures.

五、中国证监会相关部门定期或者不定期对派出机构审核工作进行检查。发现申请人采取弄虚作假等不正当手段取得行政许可,或者派出机构审核工作存在重大差错的,依据法定程序撤销行政许可决定,并追究相关单位和人员的责任。

撤销行政许可决定可能损害善意第三人利益或者造成其他重大社会影响的,可先采取责令限期改正、暂停业务等监管措施,减缓或消除其相关影响之后,依法撤销行政许可决定。相关行政许可决定涉及新增分支机构或者业务许可的,在证券公司按照有关规定安置客户、处理未了结的业务后,依法撤销相关分支机构或者业务许可。实施上述措施,不妨碍对相关单位和人员的责任追究。

6. Before the authorization is granted to the dispatched offices, the Authorized Examination and Verification Matters shall still be handled by relevant departments of CSRC in accordance with the provisions. The relevant departments of the CSRC shall continue to process, as required, the Authorized Examination and Verification Matters for which the application materials have already been received at the time the authorization is granted to the dispatched offices.
Authorized dispatched offices shall promptly report to CSRC the material issues encountered in the implementation hereof. The list of authorized dispatched offices shall be promulgated separately.

六、派出机构取得授权前，授权审核事项仍由中国证监会相关部门按规定办理。派出机构取得授权时，中国证监会相关部门已经接收申请材料的有关授权审核事项，继续按规定办理。

取得授权的派出机构执行本决定如遇重大问题，须及时报告中国证监会。授权名单另行发布。