证券发行上市业务管理办法中英文版

其发行保荐和上市保荐应当由同一保荐机构承担。保荐机构依法对发行人 申请文件、证券发行

募集文件进行核查

,

向中国证监会、证券交易所出具保荐意见。保荐机构应当保证所出具的文件真实、准确、完整。

证券发行规模达到一定数量的

可以采用联合保荐

,

但 参与联合保荐的保荐机构不得超过

2

家。

证券发行的主承销商可以由该保荐机构担任

,

也可以由其他具有保荐机构资格的证券公司与该保荐机构共同担任 。

Article 7

An issuer

and its directors, supervisors

and

senior m

anagem

ent personnel,

as

well as securities

servi

ce institutions such as law firm

s, accounting firm

s and asset appraisal institutions that prepare and

issue relevant docum

ents, and

their signatories, shall

cooperate wi

th

the sponsor institution and i

ts

sponsor

representative in the perform

ance of sponsor duties in accordance with law, adm

inistrative regulations and

the provisions of the CSRC, and assum

e corresponding responsibilities.

The perform

ance of the duties by sponsor insti

tution and i

ts sponsor representative shall not alleviate or

exem

pt

the responsibilities

of

the issuer, its directors, supervisors,

senior m

anagem

ent personnel, securities

servi

ce institutions and their signatories.

第七条

发行人及其董事、监事、高 级管理人员

,

为证券发行上市制作、出具有关文件的律师事务所 、会计师事务所、资

产评估机构等证券服务机构及其签字人员

,

应当依照法律、行政法规和中国证监会的规定

,

配合保荐机构及其保荐代表人履行

保荐职责

,

并承担相应的责任。

保荐机构及其保荐代表人履行保荐职责

,

不能减轻或 者免除发行人及其董事、监事、高级管理人员、证券服务机构及其签

字人员的责任。

Article 8

The CSRC conducts supervision and m

anagem

ent on sponsor institutions and their sponsor

representatives.

Securities Association of China conducts self-discipline m

anagem

ent on sponsor institutions and their

sponsor representatives.

第八条

中国证监会依法对保荐机构及其保荐代表人进行监督管理。

中国证券业协会对保荐机构及其保荐代表人进行自律管理。

Chapter 2: Administration of Qualification of Sponsor Institutions and Sponsor Representatives

第二章

保荐机构和保荐代表人的资格管理

Article 9

In applying for the qualification of a sponsor insti

tution, a securities com

pany shall m

eet the

following conditions:

(1) Have registered capital am

ounting to a m

inimum of RMB100,000,000, and a net capital am

ounting to a

minimum

of RMB50,000,000;

(2) Have im

proved corporate governance and internal control system

s, and the risk control indexes are in

line with the relevant provisions;

(3) The sponsor business departm

ent establishes sound business procedures, internal risk assessm

ent and

control system

, and the internal structure is reasonably well established, and has corresponding back-up

support such as corresponding research capaci

ty and sale capaci

ty;

(4) Wi

th a good sponsor business team

having a reasonably professional structure; the num

ber of

practitioners shall not be less than 35, and the personnel engaging in the relevant sponsor business in the

imm

ediately preceding three years has not been less than 20;

(5) The num

ber of practitioners m

eeting the qualification of sponsor representative shall not be less than

four;

(6) No

act of m

aterial

violation of laws

and regulations

should have been

comm

itted nor

should

the

com

pany

have been im

posed with any adm

inistrative penal

ty in the imm

ediately preceding three years; and

(7) Other condi

tions as prescribed by the CSRC.

第九条

证券公司申请保荐机构资格

,

应当具备下列条件

:

（一）注册资本不低于人民币

1

亿元，净资本不低于人民币

5000

万元

;

（二）具有完善的公 司治理和内部控制制度，风险控制指标符合相关规定

;

（三）保荐业务部门具有健全的业务规程、内部风险评估和控制系统，内部机构设置合理 ，具备相应的研究能力、销售

能力等后台支持

;

（四）具有良好的保荐业务团队且专业结构合理，从业 人员不少于

35

人，其中最近

3

年从事保荐相关业务的人员不少

于

20

人

;

（五 ）符合保荐代表人资格条件的从业人员不少于

4

人

;

（六）最近

3

年内未因重大违法违规行为受到行政处罚

;

（七）中国证监会规定的其他条件。

Article 10

In applying

for

the qualification of a

sponsor institution,

a securities

com

pany

shall subm

it the

CSRC the following m

aterials:

(1) Application report;

(2) Resolution of the shareholders' (general) m

eeting and the board of directors on application for

qualification as a sponsor institution;

(3) Approving docum

ent for establishm

ent of the com

pany;

(4) Duplicate of the business license;

(5) Description of

the

corporate

governance and internal

control

system

s and

their im

plem

enting si

tuations;

(6) Profiles of directors, supervisors, senior officers, and principal shareholders;

(7) Description of internal risk assessm

ent and control system

and its im

plem

enting si

tuation;

(8) Establishing of due diligence

system

, supervision

system

, internal

check

system

,

continuous supervision

system

, continuous training system

, and sponsor work

-sheet system

for the sponsor business;

(9) Such net capi

tal working sheet, risk capital reserve working sheet, and risk control index supervision

statem

ent of the imm

ediately preceding year as audi

ted by the accounting firm

possessing the requisite

qualification of the business related to securities and futures;

(10) Organization of the structuring, work division, and staffing of the sponsor business departm

ent;

(11) Overview of

the back-up support departm

ents, such as

the research departm

ent,

sale departm

ent,

etc;

(12) Com

plete list and resum

es of the person in charge of the sponsor business, person in charge of the

internal check, person in charge of the sponsor business departm

ent, and m

em

bers of the internal check

group;

(13) Designated contact person of the securities com

pany;

(14)

The

comm

itm

ent letter specifying that

the securities

com

pany shall be responsible for

the

authenticity,

accuracy, and

com

pleteness

of

the application docum

ents

whi

ch shall be

signed by

the

whole

tim

e directors;

and

(15) Other m

aterials as required by the CSRC.

第十条

证券公司申请保荐机构资格

,

应当向中国证监会提交下列材料

:

（一）申请报告

;

（二）股东（大）会和董事会关于申请保荐机构资格的决议

;

（三）公司设立批准文件

;

（四）营业执照复印件

;

（五）公司治理和公司内部控制制度及执行情况的说明

;

（六）董事、监事、高级管理人员和主要股东情况的说明

;

（七）内部风险评估和控制系统及执行情况的说明

;

（八）保荐业务尽职调查制度、辅导制度、内部核查制 度、持续督导制度、持续培训制度和保荐工作底稿制度的建立情

况

;

（九）经具有证券期货相关业务资格的会计师事 务所审计的最近

1

年度净资本计算表、风险资本准备计算表和风 险控制

指标监管报表

;

（十）保荐业务部门机构设置、分工及人员配置情况的说明

;

（十一）研究、销售等后台支持部门的情况说明

;

（十二）保荐业务负责人、内核负责人、保荐业务部门 负责人和内核小组成员名单及其简历

;

（十三）证券公司指定联络人的说明

;

（十四）证券公司对申请文件真实性、准确性、完整性 承担责任的承诺函，并应由其全体董事签字

;

（十五）中国证监会要求的其他材料。

Article 11

In applying for the qualification of a sponsor representative, an individual shall m

eet the

following conditions:

(1) The individual shall have over three years of experience in sponsor-related business;

(2)

The individual shall have

worked as project

coordinator

for dom

estic securities issuance as prescribed in

Article 2 of these Measures in the imm

ediately preceding three years;

(3) The individual shall have participated in the com

petence exam

ination for sponsor representative

as

approved by the CSRC and the result declared him

eligible and effective for the position;

(4) The individual shall be honest and trustworthy without any blem

ished record as regards his character, ,

and shall have not been im

posed with an adm

inistrative penalty by the CSRC in the imm

ediately preceding

three years; and

(5) The individual shall not have a large am

ount of outstanding debt which is overdue.

第十一条

个人申请保荐代表人资格

,

应当具备下列条件

:

（一）具备

3

年以上保荐相关业务经历

;

（二）最近

3

年内在本办法第二条规定的境内证券发行 项目中担任过项目协办人

;

（三）参加中国证监会认可的保荐代表人胜任能力考试且成绩合格有效

;

（四）诚实守信，品行良好，无不良诚信记录，最近< /p>

3

年未受到中国证监会的行政处罚

;

（五）未负有数额较大到期未清偿的债务

;

（六）中国证监会规定的其他条件。

Article 12

In applying for qualification of sponsor representative, an individual shall have the following

m

aterial subm

itted to the CSRC by the sponsor institution he/she works for:

(1) Application report;

(2) Resum

e, identify docum

ent, and academ

ic certificates;

(3) Certification of eligible results in securities practi

tioner's qualifying exam

ination and com

petence

exam

ination for sponsor representative;

(4) Securities practicing certificate;

(5) Detailed description of engagem

ent in sponsor-related business, and an overview of

the

work perform

ed

as

the

coordinator of dom

estic securities issuance

project, as prescribed in Article 2

of

these Measures, in

the

imm

ediately preceding three years;

(6) Recom

m

endation letter as produced by the sponsor insti

tution, which shall specify the applicant's

com

pliance with laws and disciplines, com

petence, organization capaci

ty and skills, etc.;

(7) The comm

it

m

ent letter specifying that the sponsor insti

tution shall be responsible for the authenticity,

accuracy, and

com

pleteness of

the application docum

ents,

shall be

signed by

the board

chairm

an or general

m

anager of the sponsor; and

(8) Other materials as required by the CSRC.

第十二条

个人申请保荐代表人资格

,

应当通过所任职的保荐机构向中国证监会提交下列材料

:

（一）申请报告

;

（二）个人简历、身份证明文件和学历学位证书

;

（三）证券业从业人员资格考试、保荐代表人胜任能力 考试成绩合格的证明

;

（四）证券业执业证书

;

< /p>

（五）从事保荐相关业务的详细情况说明，以及最近

3

况说明

;

（六）保荐机构出具的推荐函 ，其中应当说明申请人遵纪守法、业务水平、组织能力等情况

;

（七）保荐机构对申请文件真实性、准确性、完整性承 担责任的承诺函，并应由其董事长或者总经理签字

;

（八）中国证监会要求的其他材料。

Article 13

The securities com

pany or the individual shall ensure the authenticity, accuracy, and

com

pleteness of the application docum

ents. In the event of any significant change in the content of the

application docum

ents during

the period

of appli

cation,

the securities

com

pany

or

the individual shall, within

two working days from

the date of such changes, subm

it the updated m

aterial to the CSRC.

第十三条

证券公司和个人应当保证 申请文件真实、准确、完整。申请期间

,

申请文件内容发生重大 变化的

,

应当自变化之

日起

个工作日内向中国证监会提交更新资料。

Article 14

The CSRC shall accept and verify the application docum

ents according to law, and m

ake

written decision approving or disapproving the appli

cation

for qualifi

cation of a

sponsor insti

tution within 45

working days

from

the date

of acceptance

thereof, and m

ake a decision of approval

or disapproval in writing,

for the application for qualification of sponsor representative within 20 working days from

the date of

acceptance thereof.

第十四条

中国证监会依法受理、审 查申请文件。对保荐机构资格的申请

,

自受理之日起

个工作日内做出核准或者不

予核准的书面决定

;

对保荐代表人资格的申请

,

自受理之日起

20

个工作日内做出核准或者不予 核准的书面决定。

Article 15

After obtaining the sponsor insti

tution qualification, a securities com

pany shall continue to

m

eet

the

conditions as prescribed in Artic

le 9 of

these Measures.

Where a

sponsor institution is subject

to an

adm

inistrative penalty due to a m

aterial violation of laws and regulations, the CSRC m

ay revoke the

qualification

as

a sponsor institution; or if

the sponsor insti

tution

ceases

to

com

ply with

the

other

conditions

as prescribed in Article 9 hereof,

the CSRC m

ay order it

to m

ake

corrections

within

the prescribed

tim

e limit,

and in

case of

the sponsor institution's

failure

to m

eet

the requirem

ents within such

tim

e lim

it,

the CSRC m

ay

revoke its qualifi

cation as a sponsor institution.

第十五条

证券公司取得保荐机构资 格后

,

应当持续符合本办法第九条规定的条件。保荐机构因重大 违法违规行为受到行

政处罚的

,

中国证 监会撤销其保荐机构资格

;

不再具备第九条规定其他条件的

,

中国证监会可责令其限期整改

,

逾期仍然不符合

要求的

,

中国证监会撤销其保荐机构资格。

Article 16

After obtaining the qualification of a sponsor representative, an individual shall continue to

m

eet

the

condi

tions as prescribed in sub-paragraph (4), (5), and (6)

of

Article 11

of

these Measures.

Where

the securities practicing certificate of a sponsor representative is revoked or cancelled, or the sponsor

representative is im

posed

with an adm

inistrative penalty of

the CSRC ,

the CSRC

will revoke

the qualification

of

sponsor representative of

the individual; or if

the individual does not m

eet

the other

conditions,

the CSRC

m

ay order such individual to m

ake corrections wi

thin the prescribed period, and where the individual still

fails to m

eet the requirem

ents beyond the tim

e limit, the CSRC will revoke such person's qualification of

sponsor representative.

After passing through the com

petence exam

ination for sponsor representative as approved by the CSRC or

obtaining qualification of sponsor representative, an individual shall participate in the yearly business

training for sponsor representative on a regular basis, as is conducted by an institution approved by the

Securities Association of China or the CSRC. Should a sponsor representative fail to parti

cipate in the

requisite yearly business training for sponsor representative, the CSRC shall revoke such individual's

qualification of sponsor representative. Should an individual who has passed through the com

petence

exam

ination for

sponsor representative, but has not obtained

the qualifi

cation

of sponsor representative,

fail

to parti

cipate in the yearly business training for sponsor representative, the result in com

pete

nce

exam

ination for sponsor representative of the individual shall be invalid.

第十六条

个人取得保荐代表人资格 后

,

应当持续符合本办法第十一条第

(

四

)

项、第

(

五

)

项和第

(

六

)

项规定的条件。保荐

代表人被吊销、

注销证券业执业证书

,

或者受到中国证监会行政处罚的

,

中国证监会撤销其 保荐代表人资格

;

不再符合其他条件

的

,

中国证监会责令其限期整改

,

逾期仍然不符合要求的

,

中国证监会撤销其保 荐代表人资格。

个人通过 中国证监会认可的保荐代表人胜任能力考试或者取得保荐代表人资格后

,

应当定期参加中国证券业协会或者中

国证监会认可的其他机构组织的保荐代表人 年度业务培训。保荐代表人未按要求参加保荐代表人年度业务培训的

,

< br>中国证监

会撤销其保荐代表人资格

;

通过保荐代表人胜任能力考试而未取得保荐代表人资格的个人

,

未按要求参加保荐代表人年度业

务培训的

,

其保荐代表人胜任能力考试成绩不再有效。

Article 17

The CSRC conducts registration m

anagem

ent for the sponsor institutions and sponsor

representatives in accordance with laws.

第十七条

中国证监会依法对保荐机构、保荐代表人进行注册登记管理。

Article 18

Registered item

s of a sponsor institution shall include:

(1) Nam

e of the sponsor institution, tim

e of its establishm

ent, registered capital, registered address,

principal place of business, and legal representative;

(2) Principal shareholders of the sponsor institution;

(3) Directors, supervisors, and senior officers of the sponsor;

(4) Person in

charge

of

the sponsor

business

and person in

charge

of internal

check of

the

sponsor institution;

(5) Person in charge of sponsor business departm

ent of the sponsor institution;

(6) Organization of the structuring, work division, and staffing of the sponsor business departm

ent of the

sponsor institution;

(7) Practi

sing experiences of the sponsor institution; and

(8) Other m

atters as required by the CSRC.

第十八条

保荐机构的注册登记事项包括

:

（一）保荐机构名称、成立时间、注册资本、注册地址、主要办公地址和法定代表人

;

（二）保荐机构的主要股东情况

;

（三）保荐机构的董事、监事和高级管理人员情况

;

（四）保荐机构的保荐业务负责人、内核负责人情况

;

（五）保荐机构的保荐业务部门负责人情况

;

（六）保荐机构的保荐业务部门机构设置、分工及人员 配置情况

;

（七）保荐机构的执业情况

;

（八）中国证监会要求的其他事项。

Article 19

Registered item

s of a sponsor representative shall include:

(1) Nam

e, gender, date of birth, and ID No. of the sponsor representative;

(2) Contact phone num

ber and address of the sponsor representative;

(3) Servi

ce departm

ent and position of the sponsor representative;

(4) Education and work experience of the sponsor representative;

(5) Practi

cing areas of the sponsor representative; and

(6) Other m

atters as required by the CSRC.

第十九条

保荐代表人的注册登记事项包括

:

（一）保荐代表人的姓名、性别、出生日期、身份证号码

;

（二）保荐代表人的联系电话、通讯地址

;

（三）保荐代表人的任职机构、职务

;

（四）保荐代表人的学习和工作经历

;

（五）保荐代表人的执业情况

;

（六）中国证监会要求的其他事项。

Article 20

In the event of any change in the registered item

s of the sponsor insti

tution or the sponsor

representative, the sponsor shall, within five working days from

the date of the change, m

ake a written

report to the CSRC for registration of such change.

第二十条

保荐机构、保荐代表人注 册登记事项发生变化的

,

保荐机构应当自变化之日起