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证券公司风险处置条例           ★★★

证券公司风险处置条例

作者:佚名 文章来源:乐趣网 点击数: 更新时间:2012-7-3 10:07:41

 

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 中华人民共和国国务院令第523号《证券公司风险处置条例》已经2008年4月23日国务院第6次常务会议通过,现予公布,自公布之日起施行。总理 温家宝二○○八年四月二十三日
Order of the State Council of the People’s Republic of China No. 523, Regulation on Risk Management of Securities Firms was passed in the sixth standing conference on April 23, 2008. It’s now publicized and takes effect accordingly. Premier Wen Jiabao, April 23, 2008
证券公司风险处置条例
Regulation on Risk Management of Securities Firms
第一章 总 则
Chapter 1  General Provisions
第一条 为了控制和化解证券公司风险,保护投资者合法权益和社会公共利益,保障证券业健康发展,根据《中华人民共和国证券法》(以下简称《证券法》)、《中华人民共和国企业破产法》(以下简称《企业破产法》),制定本条例。
Article 1 This Regulation is formulated with the purpose of controlling and eliminating risks of securities firms, protecting legal right of investors and social public interests, and ensuring healthy development of securities industry, based on Securities Law of People’s Republic of China (hereinafter referred to as Securities Law) and Law of the People’s Republic of China on Enterprise Bankruptcy (hereinafter referred to as Law on Enterprise Bankruptcy).
第二条 国务院证券监督管理机构依法对处置证券公司风险工作进行组织、协调和监督。
Article 2 The securities regulatory authority under the State Council executes organization, coordination and supervision of risk management of a securities firm according to law.
第三条 国务院证券监督管理机构应当会同中国人民银行、国务院财政部门、国务院公安部门、国务院其他金融监督管理机构以及省级人民政府建立处置证券公司风险的协调配合与快速反应机制。
Article 3 The securities regulatory authority under the State Council should establish coordination and quick response mechanism together with the People’s Bank of China, Finance Department of the State Council, Public Security Department of the State Council, other financial regulatory authorities of the State Council and provincial people’s government.
第四条 处置证券公司风险过程中,有关地方人民政府应当采取有效措施维护社会稳定。
Article 4 The related local people’s government should take effective measures to maintain social stability during risk management process of the securities firm.
第五条 处置证券公司风险过程中,应当保障证券经纪业务正常进行。
Article 5 Normal securities brokerage business should be guaranteed during risk management process of the securities firm.
第二章 停业整顿、托管、接管、行政重组
Chapter 2  Suspending Business for Internal Rectification, Custody, Takeover, Administrative Restructuring
第六条 国务院证券监督管理机构发现证券公司存在重大风险隐患,可以派出风险监控现场工作组对证券公司进行专项检查,对证券公司划拨资金、处置资产、调配人员、使用印章、订立以及履行合同等经营、管理活动进行监控,并及时向有关地方人民政府通报情况。
Article 6 The securities regulatory authority under the State Council can appoint spot working group of risk supervision to conduct special inspection on securities firms, supervise business operation and management activities such as transferring fund, disposing assets, allocating personnel, using chop, developing and performing contract of the securities firm, and report status to local people’s government in timely manner, once major risk potential of the securities firm is founded.
第七条 证券公司风险控制指标不符合有关规定,在规定期限内未能完成整改的,国务院证券监督管理机构可以责令证券公司停止部分或者全部业务进行整顿。停业整顿的期限不超过3个月。
Article 7 Securities regulatory authority of the State Council can order to close part or all businesses of the securities firm for internal rectification once risk control target of the securities firm does not meet relevant prescription and the rectification is not complete within a certain period. The time limit for rectification after close of business is three months.
证券经纪业务被责令停业整顿的,证券公司在规定的期限内可以将其证券经纪业务委托给国务院证券监督管理机构认可的证券公司管理,或者将客户转移到其他证券公司。
If securities brokerage business is ordered to be closes for rectification, the securities firm can entrust its securities brokerage business to the securities firm, which should be recognized by securities regulatory authority under the State Council, for management within a certain period.
证券公司逾期未按照要求委托证券经纪业务或者未转移客户的,国务院证券监督管理机构应当将客户转移到其他证券公司。
If the securities firm does not entrust brokerage business or transfer customer properly within this period, the securities regulatory authority of the State Council should transfer the customers to other securities firms.
第八条 证券公司有下列情形之一的,国务院证券监督管理机构可以对其证券经纪等涉及客户的业务进行托管;情节严重的,可以对该证券公司进行接管:
Article 8 If a securities firm meets the following conditions, the securities regulatory authority under the State Council can hold custody of business involving customer such as securities brokerage; if it’s serious, the securities firm can be taken over:
(一)治理混乱,管理失控;
(ⅰ)Governance is in chaos and management is out of control;
(二)挪用客户资产并且不能自行弥补;
(ⅱ)Use customer’s assets inappropriately and cannot make up;
(三)在证券交易结算中多次发生交收违约或者交收违约数额较大;
(ⅲ)Delivery violation happened for many times or delivery violation amount is huge during settlement of securities transaction;
(四)风险控制指标不符合规定,发生重大财务危机;
(ⅳ)Risk control target does not meet requirement and major financial crisis occurs;
(五)其他可能影响证券公司持续经营的情形。
(ⅴ)Other situations that may impact sustainable business operation of the securities firm.
第九条 国务院证券监督管理机构决定对证券公司证券经纪等涉及客户的业务进行托管的,应当按照规定程序选择证券公司等专业机构成立托管组,行使被托管证券公司的证券经纪等涉及客户的业务的经营管理权。
Article 9 If securities regulatory authority under the State Council determines to hold custody of customer-related business of the securities firm, they should choose specialized institute such as securities firms to form trust group based on prescribed procedure and perform business operation management right of customer-related business like securities brokerage of the entrusted securities firm.
托管组自托管之日起履行下列职责:
The trust group starts to perform the following role and responsibility since the day of custody:
(一)保障证券公司证券经纪业务正常合规运行,必要时依照规定垫付营运资金和客户的交易结算资金;
(ⅰ)Ensure securities brokerage business of the securities firm runs properly and pay advanced operation capital and transaction settlement funds with customer when it’s necessary by following the rule;
(二)采取有效措施维护托管期间客户资产的安全;
(ⅱ)Take effective measures to maintain security of customer’s assets during custody;
(三)核查证券公司存在的风险,及时向国务院证券监督管理机构报告业务运行中出现的紧急情况,并提出解决方案;
(ⅲ)Audit risks existed in the securities firm and report to emergent issues in business operation process to securities regulatory authority under the State Council in timely manner, as well as put forward resolutions;
(四)国务院证券监督管理机构要求履行的其他职责。
(ⅳ)Other roles and responsibilities to be performed as required by securities regulatory authority under the State Council.
托管期限一般不超过12个月。满12个月,确需继续托管的,国务院证券监督管理机构可以决定延长托管期限,但延长托管期限最长不得超过12个月。
Custody period normally not exceeds 12 months. At the end of 12th month, if custody needs to be continued, the securities regulatory authority of the State Council can extend custody period but should not be longer than 12 months.
第十条 被托管证券公司应当承担托管费用和托管期间的营运费用。
Article 10 The entrusted securities firm should undertake custody fee and business operation cost during custody.
国务院证券监督管理机构应当对托管费用和托管期间的营运费用进行审核。
The securities regulatory authority of the State Council should audit so custody fee and operation cost during custody.
托管组不承担被托管证券公司的亏损。
The trust group will not bear loss of the entrusted company.
第十一条 国务院证券监督管理机构决定对证券公司进行接管的,应当按照规定程序组织专业人员成立接管组,行使被接管证券公司的经营管理权,接管组负责人行使被接管证券公司法定代表人职权,被接管证券公司的股东会或者股东大会、董事会、监事会以及经理、副经理停止履行职责。
Article 11 If securities regulatory authority under the State Council determines to take over a securities firm, they should organize takeover team with professionals based on prescribed procedure and perform business management right of the securities firm. Principal of the taken over securities firm has authority of legal representative of the securities firm, and shareholder meeting, board meeting, supervisory committee, manager and deputy manager should cease their roles and responsibilities. 
接管组自接管之日起履行下列职责:
Takeover group starts to perform the following roles and responsibilities since the day of taking over:
(一)接管证券公司的财产、印章和账簿、文书等资料;
(ⅰ)Take over property, chop, account book, document, etc. of the securities firm;
(二)决定证券公司的管理事务;
(ⅱ)Determine management affair of the securities firm;
(三)保障证券公司证券经纪业务正常合规运行,完善内控制度;
(ⅲ)Ensure normal running of securities brokerage business of the securities firm and improve internal control system;
(四)清查证券公司财产,依法保全、追收资产;
(ⅳ)Audit property of the securities and keep as well as collect assets based on law;
(五)控制证券公司风险,提出风险化解方案;
(ⅴ)Control risk of the securities firm and put forward risk elimination proposals;
(六)核查证券公司有关人员的违法行为;
(ⅵ)Audit violation behavior of personnel in the securities firm;
(七)国务院证券监督管理机构要求履行的其他职责。
(ⅶ)Other roles and responsibilities required by securities regulatory authority under the State Council.
接管期限一般不超过12个月。满12个月,确需继续接管的,国务院证券监督管理机构可以决定延长接管期限,但延长接管期限最长不得超过12个月。
Takeover period normally not exceeds 12 months. At the end of 12th month, if takeover needs to be continued, the securities regulatory authority of the State Council can extend takeover period but should not be longer than 12 months.
第十二条 证券公司出现重大风险,但具备下列条件的,可以直接向国务院证券监督管理机构申请进行行政重组:
Article 12 When a securities firm has major risk, it can directly apply to securities regulatory authority under the State Council for administrative restructuring if the following conditions are met:
(一)财务信息真实、完整;
(ⅰ)The financial information is true and complete;
(二)省级人民政府或者有关方面予以支持;
(ⅱ)Support from provincial people’s government or related department;
(三)整改措施具体,有可行的重组计划。
(ⅲ)Has detail rectification measures as well as feasible restructuring plan.
被停业整顿、托管、接管的证券公司,具备前款规定条件的,也可以向国务院证券监督管理机构申请进行行政重组。
A securities firm, which is order to close business for internal rectification, held custody or taken over, if meets the foregoing conditions, can also apply to securities regulatory authority under the State Council for administrative restructuring.
国务院证券监督管理机构应当自受理行政重组申请之日起30个工作日内做出批准或者不予批准的决定;不予批准的,应当说明理由。
The securities regulatory authority under the State Council should make decision of either approving or not approving within 30 working days of handling administrative restructuring application; If it is not approved, reasons should be stated.
第十三条 证券公司进行行政重组,可以采取注资、股权重组、债务重组、资产重组、合并或者其他方式。
Article 13 A securities firm can proceed administrative restructuring by adopting capital injection, equity restructuring, liability restructuring, assets restructuring, acquisition or other approaches.
行政重组期限一般不超过12个月。满12个月,行政重组未完成的,证券公司可以向国务院证券监督管理机构申请延长行政重组期限,但延长行政重组期限最长不得超过6个月。
Administrative restructuring period normally not exceeds 12 months. At the end of 12th month, if administrative restructuring is not complete a securities firm can apply to the securities regulatory authority of the State Council for extending administrative restructuring period, which however, should not be longer than 6 months.
国务院证券监督管理机构对证券公司的行政重组进行协调和指导。
Securities regulatory authority under the State Council should coordinate and supervise administrative restructuring of the securities firm.
第十四条 国务院证券监督管理机构对证券公司做出责令停业整顿、托管、接管、行政重组的处置决定,应当予以公告,并将公告张贴于被处置证券公司的营业场所。
Article 14 Execution decisions made by securities regulatory authority under the Sate Council ordering the securities firm to close business, be held custody, be taken over and engage in administrative restructuring should be publicized and its announcement should be pasted in business [] of such securities firm.
处置决定包括被处置证券公司的名称、处置措施、事由以及范围等有关事项。
The execution decisions should include the name, measure, reason, scope and other concerning issues of the securities firm.
处置决定的公告日期为处置日,处置决定自公告之时生效。
The publicizing day of execution decision is the day of such execution and the execution decision takes effect since then.
第十五条 证券公司被责令停业整顿、托管、接管、行政重组的,其债权债务关系不因处置决定而变化。
Article 15 Credit and debt of the securities firm will change no matter it' has been ordered to close business for rectification, be held custody, be taken over or engaged in administrative restructuring.
第十六条 证券公司经停业整顿、托管、接管或者行政重组在规定期限内达到正常经营条件的,经国务院证券监督管理机构批准,可以恢复正常经营。
Article 16 If the security company meets normal business operation conditions during rectification, custody, takeover or administrative restructuring period, it can resume normal business after approval of securities regulatory authority under the State Council.
第十七条 证券公司经停业整顿、托管、接管或者行政重组在规定期限内仍达不到正常经营条件,但能够清偿到期债务的,国务院证券监督管理机构依法撤销其证券业务许可。
Article 17 If the securities firm still cannot meet normal business operation conditions during rectification, custody, takeover or administrative restructuring period, but can pay back due debt, the securities regulatory authority under the State Council can revoke its securities business license based on the law.
第十八条 被撤销证券业务许可的证券公司应当停止经营证券业务,按照客户自愿的原则将客户安置到其他证券公司,安置过程中相关各方应当采取必要措施保证客户证券交易的正常进行。
Article 18 The securities firm, whose securities business license is revoked, should cease securities business and settle customers, who are willing to be transferred to other securities firms. During the transferring process, all concerned parties should take necessary measures to ensure normal securities transaction of the customers.
被撤销证券业务许可的证券公司有未安置客户等情形的,国务院证券监督管理机构可以比照本条例第三章的规定,成立行政清理组,清理账户、安置客户、转让证券类资产。
If the securities firm, whose securities business license is revoked, has some customers not being settled, the securities regulatory authority under the State Council should observe Article three of this regulation to form an administrative liquidation team to clear accounts, settle customers and transfer securities assets.
第三章 撤 销
Chapter 3  Revocation
第十九条 证券公司同时有下列情形的,国务院证券监督管理机构可以直接撤销该证券公司:
Article 19 If a securities firm appears the following situations, the securities regulatory authority under the State Council can directly revoke such securities firm:
(一)违法经营情节特别严重、存在巨大经营风险;
(ⅰ)If it have serious illegal operation or has huge business risks;
(二)不能清偿到期债务,并且资产不足以清偿全部债务或者明显缺乏清偿能力;
(ⅱ)Cannot pay back due debt and its assets cannot clear off the debt or lack solvency;
(三)需要动用证券投资者保护基金。
(ⅲ)Need protection fund for securities investors.
第二十条 证券公司经停业整顿、托管、接管或者行政重组在规定期限内仍达不到正常经营条件,并且有本条例第十九条第(二)项或者第(三)项规定情形的,国务院证券监督管理机构应当撤销该证券公司。
Article 20 If a securities firm still cannot meet normal operation conditions during rectification, custody, takeover or administrative restructuring, and appears situations prescribed in Article 19 item (ⅱ) or item (ⅲ) of this regulation, securities regulatory authority under the State Council should revoke the securities firm.
第二十一条 国务院证券监督管理机构撤销证券公司,应当做出撤销决定,并按照规定程序选择律师事务所、会计师事务所等专业机构成立行政清理组,对该证券公司进行行政清理。
Article 21 When securities regulatory authority under the State Council revokes a securities firm, it should make revocation decisions and organize administrative liquidation team by choosing law firm, accounting firm and other professional institutes as prescribed procedure to execute administrative clearance of such securities firm.
撤销决定应当予以公告,撤销决定的公告日期为处置日,撤销决定自公告之时生效。
Revocation decision should be publicized. The publicizing day should be execution day and .execution decision takes effect since then.
本条例施行前,国务院证券监督管理机构已经对证券公司进行行政清理的,行政清理的公告日期为处置日。
If securities regulatory authority under the State Council conducted administrative liquidation prior to implementation of this regulation, the execution day is publicizing day of administrative liquidation.
第二十二条 行政清理期间,行政清理组负责人行使被撤销证券公司法定代表人职权。
Article 22 During administrative liquidation, the principal of administrative liquidation team will execute roles and responsibilities of legal representative of the securities firm. 
行政清理组履行下列职责:
Following are roles and responsibilities of administrative liquidation team:
(一)管理证券公司的财产、印章和账簿、文书等资料;
(ⅰ)Manage property, chop, account book, document, etc. of the securities firm;
(二)清理账户,核实资产负债有关情况,对符合国家规定的债权进行登记;
(ⅱ)Liquidate account, audit asset and liability status and register creditor's rights that comply with national prescription; 
(三)协助甄别确认、收购符合国家规定的债权;
(ⅲ)Assist in confirming and acquiring of creditor's rights that comply with national prescription; 
(四)协助证券投资者保护基金管理机构弥补客户的交易结算资金;
(ⅳ)Assist protection fund regulatory institute for securities investors in making up transaction settlement funds of customers; 
(五)按照客户自愿的原则安置客户;
(ⅴ)Settle customers as their will;
(六)转让证券类资产;
(ⅵ)Transfer securities assets; 
(七)国务院证券监督管理机构要求履行的其他职责。
(ⅶ)Other roles and responsibilities required by securities regulatory authority under the State Council.
前款所称证券类资产,是指证券公司为维持证券经纪业务正常进行所必需的计算机信息管理系统、交易系统、通信网络系统、交易席位等资产。
Securities mentioned in the previous term refers to computer information management system, transaction system, telecommunication system, transaction seat and other assets necessary to maintain normal securities brokerage business of the securities firm.
第二十三条 被撤销证券公司的股东会或者股东大会、董事会、监事会以及经理、副经理停止履行职责。
Article 23 The shareholder meeting, board meeting, supervisory committee, manager as well as deputy manager of the revoked company should cease performance of their roles and responsibilities.
行政清理期间,被撤销证券公司的股东不得自行组织清算,不得参与行政清理工作。
During administrative liquidation, shareholder of the revoked securities firm shall not organize liquidation or join in administrative liquidation work if no permission.
第二十四条 行政清理期间,被撤销证券公司的证券经纪等涉及客户的业务,由国务院证券监督管理机构按照规定程序选择证券公司等专业机构进行托管。
Article 24 During administrative liquidation, customer-related businesses of the revoked securities firm such as securities brokerage business should be held custody by the securities firm, which is chosen by securities regulatory authority under the State Council according to prescribed procedure.
第二十五条 证券公司设立或者实际控制的关联公司,其资产、人员、财务或者业务与被撤销证券公司混合的,经国务院证券监督管理机构审查批准,纳入行政清理范围。
Article 25 If asset, personnel, finance or business of related party, which is set up or actually controlled by the securities firm, are mixed with the revoked securities firm, they should also be incorporated in the scope of administrative liquidation after approval of securities regulatory authority under the State Council. 
第二十六条 证券公司的债权债务关系不因其被撤销而变化。
Article 26 The credit and debt of the securities firm will not change because of the revocation.
自证券公司被撤销之日起,证券公司的债务停止计算利息。
Since the securities firm is revoked, calculation of debt interest will stop. 
第二十七条 行政清理组清理被撤销证券公司账户的结果,应当经具有证券、期货相关业务资格的会计师事务所审计,并报国务院证券监督管理机构认定。
Article 27 Liquidation result of the revoked securities firm by administrative liquidation team should be audited by accounting firm with related qualification of securities and futures, and submitted to securities regulatory authority under the State Council for appraisal.
行政清理组根据经国务院证券监督管理机构认定的账户清理结果,向证券投资者保护基金管理机构申请弥补客户的交易结算资金的资金。
Based on account liquidation result, appraised by securities regulatory authority under the State Council, the administrative liquidation team should apply to protection fund regulatory institute for securities investors for making up transaction settlement funds of customers.
第二十八条 行政清理组应当自成立之日起10日内,将债权人需要登记的相关事项予以公告。
Article 28 The administrative liquidation team should publicize related issues, which need be registered by the creditor, within 10 days of its establishment.
符合国家有关规定的债权人应当自公告之日起90日内,持相关证明材料向行政清理组申报债权,行政清理组按照规定登记。
Creditor, who complies with related national prescription, should take relevant documents to declare creditor's right within 90 days of publicizing. The administrative liquidation team should register as prescribed.
无正当理由逾期申报的,不予登记。
Any overdue declaration without property reason will not be registered.
已登记债权经甄别确认符合国家收购规定的,行政清理组应当及时按照国家有关规定申请收购资金并协助收购;
If the registered creditor's rights are confirmed in line with national prescription, administrative liquidation team should apply for acquisition of such funds and assist in acquisition according to related national rule;
经甄别确认不符合国家收购规定的,行政清理组应当告知申报的债权人。
if the registered creditor's rights are confirmed not in line with national acquisition prescription, the administrative liquidation team should inform declarer
第二十九条 行政清理组应当在具备证券业务经营资格的机构中,采用招标、公开询价等公开方式转让证券类资产。
Article 29 Administrative liquidation team should adopt open approaches such as bidding and requesting for quotation to transfer securities assets among institutes that have securities business operation qualifications.
证券类资产转让方案应当报国务院证券监督管理机构批准。
Securities assets transferring proposal should be submitted to securities regulatory authority under the State Council for approval.
第三十条 行政清理组不得转让证券类资产以外的资产,但经国务院证券监督管理机构批准,易贬损并可能遭受损失的资产或者确为保护客户和债权人利益的其他情形除外。
Article 30 Administrative team should not transfer assets other than securities, but if securities regulatory authority approves they can transfer assets that are easily depreciated and suffering from loss or otherwise that protects interests of the customer and creditor. 
第三十一条 行政清理组不得对债务进行个别清偿,但为保护客户和债权人利益的下列情形除外:
Article 31 Administrative liquidation team shall not discharge individual liability but except for the following situations that protect interests of customer and creditor:
(一)因行政清理组请求对方当事人履行双方均未履行完毕的合同所产生的债务;
(ⅰ)Liability generated from continuing performance of unfulfilled contract of both parties requested by administrative liquidation team;
(二)为维持业务正常进行而应当支付的职工劳动报酬和社会保险费用等正常支出;
(ⅱ)General expenditures for staff salary and social insurance to maintain normal business operation;
(三)行政清理组履行职责所产生的其他费用。
(ⅲ)Other cost generated during implementation of roles and responsibilities of administrative liquidation team. 
第三十二条 为保护债权人利益,经国务院证券监督管理机构批准,行政清理组可以向人民法院申请对处置前被采取查封、扣押、冻结等强制措施的证券类资产以及其他资产进行变现处置,变现后的资金应当予以冻结。
Article 32 After securities regulatory authority under the State Council approves, administrative liquidation team can apply to people’s court to cash securities assets and other assets, which are sealed up, withhold, frozen, or subject to other mandatory measures, in order to protect creditor’s interests. The capital of cashed assets should be frozen.
第三十三条 行政清理费用经国务院证券监督管理机构审核后,从被处置证券公司财产中随时清偿。
Article 33 After administrative liquidation cost is audited by securities regulatory authority under the State Council, it can be discharged anytime by the disposed property of the securities firm. 
前款所称行政清理费用,是指行政清理组管理、转让证券公司财产所需的费用,行政清理组履行职务和聘用专业机构的费用等。
Administrative liquidation cost mentioned in the previous term refers to management and transferring cost of property of the securities firm by administrative liquidation, and lost of administrative liquidation team in performing roles and responsibilities as well as employing professional institute, etc.
第三十四条 行政清理期限一般不超过12个月。满12个月,行政清理未完成的,国务院证券监督管理机构可以决定延长行政清理期限,但延长行政清理期限最长不得超过12个月。
Article 34 Time limit of administrative liquidation is 12 months. At the end of 12th month, if the administrative liquidation is still not complete, securities regulatory authority under the State Council can decide extension of such period, which shall not be longer than 12 months.
第三十五条 行政清理期间,被处置证券公司免缴行政性收费和增值税、营业税等行政法规规定的税收。
Article 35 During administrative liquidation period, the handled securities firm is free from administrative fee and tax prescribed by administrative regulation such as VAT and business tax. 
第三十六条 证券公司被国务院证券监督管理机构依法责令关闭,需要进行行政清理的,比照本章的有关规定执行。
Article 36 If a securities firm is ordered to close business for administrative liquidation by securities regulatory authority under the State Council, it should be executed according to related prescription of this chapter.
第四章 破产清算和重整
Chapter 4  Bankruptcy Liquidation and Reorganization
第三十七条 证券公司被依法撤销、关闭时,有《企业破产法》第二条规定情形的,行政清理工作完成后,国务院证券监督管理机构或者其委托的行政清理组依照《企业破产法》的有关规定,可以向人民法院申请对被撤销、关闭证券公司进行破产清算。
Article 37 When a securities firm is revoked or closed, if Article 2 of Enterprise Bankruptcy Law is met, the securities regulatory authority under the State Council or its entrusted administrative liquidation team can apply to people’s court for bankruptcy liquidation of so revoked or closed securities firm after completion of administrative liquidation according to related prescription of Enterprise Bankruptcy Law.
第三十八条 证券公司有《企业破产法》第二条规定情形的,国务院证券监督管理机构可以直接向人民法院申请对该证券公司进行重整。
Article 38 If a securities firm meets Article 2 of Enterprise Bankruptcy Law, securities regulatory authority under the State Council can directly apply to people’s court for reorganization of such securities firm.
证券公司或者其债权人依照《企业破产法》的有关规定,可以向人民法院提出对证券公司进行破产清算或者重整的申请,但应当依照《证券法》第一百二十九条的规定报经国务院证券监督管理机构批准。
Based on related prescription of Enterprise Bankruptcy Law, the securities firm or its creditor can apply to people’s court for bankruptcy liquidation or reorganization of the securities firm, but should get approval from the securities regulatory authority under the State Council according to prescription of Article 129 of Securities Law.
第三十九条 对不需要动用证券投资者保护基金的证券公司,国务院证券监督管理机构应当在批准破产清算前撤销其证券业务许可。
Article 39 With respect to a securities firm, if no need for protection fund for securities investors, the securities regulatory authority under the State Council should revoke its securities business license before approving bankruptcy liquidation.
证券公司应当依照本条例第十八条的规定停止经营证券业务,安置客户。
The securities firm should cease securities business operation and settled customers according to Article 18 of this regulation.
对需要动用证券投资者保护基金的证券公司,国务院证券监督管理机构对该证券公司或者其债权人的破产清算申请不予批准,并依照本条例第三章的规定撤销该证券公司,进行行政清理。
With respect to a securities firm, if needs protection fund for securities investors, the securities regulatory authority under the State Council should not approve bankruptcy application of such securities firm or its creditor but revoke the securities firm for administrative liquidation according to chapter three of this regulation.
第四十条 人民法院裁定受理证券公司重整或者破产清算申请的,国务院证券监督管理机构可以向人民法院推荐管理人人选。
Article 40 If people’s court accepts reorganization and bankruptcy liquidation application of the securities firm, securities regulatory authority under the State Council can recommend manager candidate to the people’s court. 
第四十一条 证券公司进行破产清算的,行政清理时已登记的不符合国家收购规定的债权,管理人可以直接予以登记。
Article 41 For securities that have conducted bankruptcy liquidation, management can directly register creditor's right, which does not comply with national acquisition prescription while being registered during administrative liquidation.
第四十二条 人民法院裁定证券公司重整的,证券公司或者管理人应当同时向债权人会议、国务院证券监督管理机构和人民法院提交重整计划草案。
Article 42 If a securities firm is judged by people's court to reorganize, the securities firm or manager should submit draft reorganization plan proposal to creditor's meeting, securities regulatory authority under the State Council and people's court at the same time.
第四十三条 自债权人会议各表决组通过重整计划草案之日起10日内,证券公司或者管理人应当向人民法院提出批准重整计划的申请。
Article 43 10 days since each voting team of creditor's meeting passed draft reorganization plan, the securities firm or manager should raise application to the people's court for approval of such reorganization plan.
重整计划涉及《证券法》第一百二十九条规定相关事项的,证券公司或者管理人应当同时向国务院证券监督管理机构提出批准相关事项的申请,国务院证券监督管理机构应当自收到申请之日起15日内做出批准或者不予批准的决定。
If the reorganization plan is related to Article 129 of Securities Law, the securities firm or manager should also apply to securities regulatory authority under the State Council for relevant approval at the same time. The securities regulatory authority under the State Council should make either approving or not approving decision within 15 days of receiving the application.
第四十四条 债权人会议部分表决组未通过重整计划草案,但重整计划草案符合《企业破产法》第八十七条第二款规定条件的,证券公司或者管理人可以申请人民法院批准重整计划草案。
Article 44 If voting team of creditor's meeting did not pass draft reorganization plan but the draft complies with prescription of Article 87.2 of the Enterprise Bankruptcy Law, the securities firm or manager can apply to people's court for approval of such draft reorganization plan.
重整计划草案涉及《证券法》第一百二十九条规定相关事项的,证券公司或者管理人应当同时向国务院证券监督管理机构提出批准相关事项的申请,国务院证券监督管理机构应当自收到申请之日起15日内做出批准或者不予批准的决定。
If the draft of reorganization plan related to Article 129 of Securities Law, the securities firm or manager should also apply to securities regulatory authority under the State Council for approval of related issues at the same time. The securities regulatory authority under the State Council should make either approving or not approving decision within 15 days of receiving the application. 
第四十五条 经批准的重整计划由证券公司执行,管理人负责监督。
Article 45 The approved reorganization plan should be executed by the securities firm and supervised by the manager.
监督期届满,管理人应当向人民法院和国务院证券监督管理机构提交监督报告。
When the supervision term expires, the manager should submit supervision report to people's court and securities regulatory authority under the State Council.
第四十六条 重整计划的相关事项未获国务院证券监督管理机构批准,或者重整计划未获人民法院批准的,人民法院裁定终止重整程序,并宣告证券公司破产。
Article 46 If related issues of the reorganization plan is neither approved by securities regulatory authority under the State Council nor by the people's court, the people's court will terminate reorganization procedure and announce bankruptcy of the securities firm.
第四十七条 重整程序终止,人民法院宣告证券公司破产的,国务院证券监督管理机构应当对证券公司做出撤销决定,人民法院依照《企业破产法》的规定组织破产清算。
Article 47 Once reorganization procedure is terminated and securities firm is announced of bankruptcy by people's court, the securities regulatory authority under the State Council should make revocation decision of the securities firm and people's court should organize bankruptcy liquidation based on the Enterprise Bankruptcy Law.
涉及税收事项,依照《企业破产法》和《中华人民共和国税收征收管理法》的规定执行。
Tax related issues should be executed according to prescription of the Enterprise Bankruptcy Law and Law of the P.R.C. Concerning the Administration of Tax Collection.
  人民法院认为应当对证券公司进行行政清理的,国务院证券监督管理机构比照本条例第三章的规定成立行政清理组,负责清理账户,协助甄别确认、收购符合国家规定的债权,协助证券投资者保护基金管理机构弥补客户的交易结算资金,转让证券类资产等。
If people's court believes it is necessary to implement the administrative liquidation of the securities firm, the securities regulatory authority under the State Council should organize administrative liquidation team according to chapter three of this regulation, liquidate account, assist in sorting, confirming and acquiring creditor's rights that comply with national prescription, assist protection fund regulatory institute for securities investors in making up customers' transaction settlement funds, transfer securities assets, etc.
第五章 监督协调
Chapter 5  Supervision and Coordination
第四十八条 国务院证券监督管理机构在处置证券公司风险工作中,履行下列职责:
Article 48 Securities regulatory authority under the State Council should perform the following roles and responsibilities during risk management of the securities firm:
(一)制订证券公司风险处置方案并组织实施;
(ⅰ)Develop risk management proposal of the securities firm and organize execution;
(二)派驻风险处置现场工作组,对被处置证券公司、托管组、接管组、行政清理组、管理人以及参与风险处置的其他机构和人员进行监督和指导;
(ⅱ)Disappoint risk management working group to supervise and guide the securities firm, custody group, takeover group, administrative liquidation group, manager, and other agencies and staff that are involved in the risk management;
(三)协调证券交易所、证券登记结算机构、证券投资者保护基金管理机构,保障被处置证券公司证券经纪业务正常进行;
(ⅲ)Coordinate with stock exchange, securities depository and clearance institute, protection fund regulatory institute for securities investors to ensure securities brokerage business of the securities firm running normally;
(四)对证券公司的违法行为立案稽查并予以处罚;
(ⅳ)Audit and punish violation behavior of the securities firm;
(五)及时向公安机关等通报涉嫌刑事犯罪的情况,按照有关规定移送涉嫌犯罪的案件;
(ⅴ)Report to public security of suspected crime and transfer suspected criminal case according to relevant prescription; 
(六)向有关地方人民政府通报证券公司风险状况以及影响社会稳定的情况;
(ⅵ)Report to local people's government on risk status and impact to social stability of the securities firm;
(七)法律、行政法规要求履行的其他职责。
(ⅶ)Other roles and responsibilities required by law and administrative regulation.
第四十九条 处置证券公司风险过程中,发现涉嫌犯罪的案件,属公安机关管辖的,应当由国务院公安部门统一组织依法查处。有关地方人民政府应当予以支持和配合。
Article 49 During risk management process of the securities firm, if any suspected criminal case within jurisdiction of public security is found, it should be examined by public security department of the State Council. The related local government should provide support and cooperation.
风险处置现场工作组、行政清理组和管理人需要从公安机关扣押资料中查询、复制与其工作有关资料的,公安机关应当支持和配合。
Public security should support and cooperate if spot working team of risk management, administrative liquidation group and manager need to inquire and copy working related materials, which are detained by the public security.
证券公司进入破产程序的,公安机关应当依法将冻结的涉案资产移送给受理破产案件的人民法院,并留存必需的相关证据材料。
For the securities firm under process of bankruptcy, the public security should transfer the frozen assets, which are involved in lawsuit, to people's court that's handling the bankruptcy cases and keep necessary evidence.
第五十条 国务院证券监督管理机构依照本条例第二章、第三章对证券公司进行处置的,可以向人民法院提出申请中止以该证券公司以及其分支机构为被告、第三人或者被执行人的民事诉讼程序或者执行程序。
Article 50 Securities regulatory authority under the State Council that manages based on chapter two and chapter three of this regulation can apply to people's court for ceasing the civil procedure or execution procedure of defendant, the third party or executed person involving the securities firm as well as its branch.
证券公司设立或者实际控制的关联公司,其资产、人员、财务或者业务与被处置证券公司混合的,国务院证券监督管理机构可以向人民法院提出申请中止以该关联公司为被告、第三人或者被执行人的民事诉讼程序或者执行程序。
If assets, personnel, finance or business of related company set up or actually controlled by the securities firm mix with those of the securities firm, the securities regulatory authority under the State Council can apply to people's court for ceasing of civil procedure or execution procedure of defendant, the third party or executed person involving the related company. 
采取前两款规定措施期间,除本条例第三十一条规定的情形外,不得对被处置证券公司债务进行个别清偿。
During implementation of the above two prescribed measures, the debt of the handled securities firm cannot be liquidated individually except for prescription in Article 31 of this regulation.
第五十一条 被处置证券公司或者其关联客户可能转移、隐匿违法资金、证券,或者证券公司违反本条例规定可能对债务进行个别清偿的,国务院证券监督管理机构可以禁止相关资金账户、证券账户的资金和证券转出。
Article 51 If the handled securities firm or its related customer can transfer or keep secret of the illegal capital, securities or the securities firm violates prescription of individual debt liquidity in this regulation, the securities regulatory authority under the State Council can prohibit outbound transferring of related fund and securities from capital account and securities account.
第五十二条 被处置证券公司以及其分支机构所在地人民政府,应当按照国家有关规定配合证券公司风险处置工作,制订维护社会稳定的预案,排查、预防和化解不稳定因素,维护被处置证券公司正常的营业秩序。
Article 52 Local government of the handled securities firm as well as its branch should cooperation risk management work of the securities firm according to related national regulation, develop pre-proposal to maintain social stability, check, prevent and eliminate unstable factors, and maintain normal business order of the handled securities firm
被处置证券公司以及其分支机构所在地人民政府,应当组织相关单位的人员成立个人债权甄别确认小组,按照国家规定对已登记的个人债权进行甄别确认。
Local government of the handled securities firm and its branch should organize personnel of related department to set up sorting and confirming group of individual creditor's right to sort and confirm registered individual creditor's right according to national regulation.
第五十三条 证券投资者保护基金管理机构应当按照国家规定,收购债权、弥补客户的交易结算资金。
Article 53 Protection fund regulatory institute for securities investors should acquire creditor's right and make up transaction settlement fund of customers according to national regulation.
证券投资者保护基金管理机构可以对证券投资者保护基金的使用情况进行检查。
The protection fund regulatory institute for securities investor can check using status of protection fund for securities investor.
第五十四条 被处置证券公司的股东、实际控制人、债权人以及与被处置证券公司有关的机构和人员,应当配合证券公司风险处置工作。
Article 54 Shareholder, actual controller and creditor of the handled securities firm and related party as well as personnel of the handled securities firm should cooperate on risk management work of the securities firm.
第五十五条 被处置证券公司的董事、监事、高级管理人员以及其他有关人员应当妥善保管其使用和管理的证券公司财产、印章和账簿、文书等资料以及其他物品,按照要求向托管组、接管组、行政清理组或者管理人移交,并配合风险处置现场工作组、托管组、接管组、行政清理组的调查工作。
Article 55 Board of director, supervisor, senior management and other related person of the handled securities firm should properly keep property, chop, account book, document and other substance of the securities firm, which are used or managed. They should hand them over to custody group, takeover group, administrative liquidation group or manager and cooperate with spot risk management group, custody group, takeover group and administrative liquidation group on the investigation.
第五十六条 托管组、接管组、行政清理组以及被责令停业整顿、托管和行政重组的证券公司,应当按照规定向国务院证券监督管理机构报告工作情况。
Article 56 Custody group, takeover group, administrative liquidation group and securities firm that is ordered to close business for rectification, be held custody or administrative restructuring should report working status to securities regulatory authority under the State Council according to regulation.
第五十七条 托管组、接管组、行政清理组以及其工作人员应当勤勉尽责,忠实履行职责。
Article 57 The custody group, takeover group, administrative liquidation group as well as the working staff should be conscientious and loyal to their roles and responsibilities. 
被处置证券公司的股东以及债权人有证据证明托管组、接管组、行政清理组以及其工作人员未依法履行职责的,可以向国务院证券监督管理机构投诉。
If shareholder and creditor of the handled securities firm have evidence to prove illegal performance of roles and responsibilities of custody group, takeover group, administrative liquidation group and their working staff, they can claim at securities regulatory authority under the State Council.
经调查核实,由国务院证券监督管理机构责令托管组、接管组、行政清理组以及其工作人员改正或者对其予以更换。
If the securities regulatory authority under the State Council confirms after investigation, they can order the custody group, takeover group, administrative liquidation group as well as their working staff to correct or substitute them.
第五十八条 有下列情形之一的机构或者人员,禁止参与处置证券公司风险工作:
Article 58 Agencies or staff which encounter the following situation will be prohibited from participating in risk management work of the securities firm:
(一)曾受过刑事处罚或者涉嫌犯罪正在被立案侦查、起诉;
(ⅰ)Had criminal punishment or suspected with crime and put on record for inspection and appeal; 
(二)涉嫌严重违法正在被行政管理部门立案稽查或者曾因严重违法行为受到行政处罚未逾3年;
(ⅱ)Suspected of violating the law and is put on record for audit by administrative department, or subject to administrative punishment less than three years ago due to serious violation of law;
(三)仍处于证券市场禁入期;
(ⅲ)Still in the period of prohibition into securities market; 
(四)内部控制薄弱、存在重大风险隐患;
(ⅳ)Weak internal control and have major potential risk;
(五)与被处置证券公司处置事项有利害关系;
(ⅴ)Have relationship with managed items of the handled securities firm;
(六)国务院证券监督管理机构认定不宜参与处置证券公司风险工作的其他情形。
(ⅵ)Other situations recognized by the securities regulatory authority under the State Council of not suitable in participating in risk management work of the handled securities firm.
第六章 法律责任
Chapter 6  Legal Responsibility
第五十九条 证券公司的董事、监事、高级管理人员等对该证券公司被处置负有主要责任的,暂停其任职资格1至3年;情节严重的,撤销其任职资格、证券从业资格,并可以按照规定对其采取证券市场禁入的措施。
Article 59 Since the board director, supervisor and senior management of the securities firm hold major responsibility of the handling, their position qualifications will be suspended for one to three years; in serious cases, their position qualifications and securities working qualifications will be revoked and may be subject to prohibition of entering securities market according to the regulation.
第六十条 被处置证券公司的董事、监事、高级管理人员等有关人员有下列情形之一的,处以其年收入1倍以上2倍以下的罚款,并可以暂停其任职资格、证券从业资格;
Article 60 If board director, supervisor, senior management and other related staff appear the following situations, they should be fined with more than the same amount or less than double of their annual income and their position qualifications and securities working qualifications can be suspended;
情节严重的,撤销其任职资格、证券从业资格,处以其年收入2倍以上5倍以下的罚款,并可以按照规定对其采取证券市场禁入的措施:
in serious cases, their position qualifications and securities working qualifications will be revoked with fine over two times and less than five times of their annual income. They may also be subject to prohibition of entering securities market according to the regulation:
(一)拒绝配合现场工作组、托管组、接管组、行政清理组依法履行职责;
(ⅰ)Refuse to cooperate with spot working group, custody group, administrative liquidation group to perform their roles and responsibilities; 
(二)拒绝向托管组、接管组、行政清理组移交财产、印章或者账簿、文书等资料;
(ⅱ)Refuse to hand over property, chop, account book or document to the custody group, takeover group, administrative liquidation group;
(三)隐匿、销毁、伪造有关资料,或者故意提供虚假情况;
(ⅲ)Hide, destroy or fabricate related document, or provide false information deliberately;
(四)隐匿财产,擅自转移、转让财产;
(ⅳ)Hide property; remove or transfer property without permission; 
(五)妨碍证券公司正常经营管理秩序和业务运行,诱发不稳定因素;
(ⅴ)Hinder normal operation order and business running of the securities firm and generate unstable factors;
(六)妨碍处置证券公司风险工作正常进行的其他情形。
(ⅵ)Other situations that hinder normal risk management of the securities firm.
证券公司控股股东或者实际控制人指使董事、监事、高级管理人员有前款规定的违法行为的,对控股股东、实际控制人依照前款规定从重处罚。   
If illegal behavior is conducted by board director, supervisor or senior management instructed by shareholder or actual controller of the securities firm, the shareholder and actual controller should be subject to heavier punishment of the above prescription.  
第七章 附 则
Chapter 7 Supplementary Provisions
第六十一条 证券公司因分立、合并或者出现公司章程规定的解散事由需要解散的,应当向国务院证券监督管理机构提出解散申请,并附解散理由和转让证券类资产、了结证券业务、安置客户等方案,经国务院证券监督管理机构批准后依法解散并清算,清算过程接受国务院证券监督管理机构的监督。
Article 61 If a securities firm needs be dissolved due to appearance of such reasons as division or merger prescribed in company rule, it shall apply to securities regulatory authority under the State Council for dissolution and attach the reason as well as proposals on transferring of securities assets, settling up securities business, settling customers, etc. It can legally disband and liquidate after being approved by the securities regulatory authority under the State Council. The liquidation process needs to be supervised by securities regulatory authority under the State Council.
第六十二条 期货公司风险处置参照本条例的规定执行。
Article 62 Risk management of a futures company should be executed according this Regulation.
第六十三条 本条例自公布之日起施行。
Article 63 This Regulation takes effect as of the day of promulgation.


 

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