中英对照证券公司风险处置条例(2023修订).docx

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1、RegulationontheRiskDisposalofSecuritiesCompanies(2023Revision)DocumentNumber：OrderNo.764oftheStateCouncilofthePeoplesRepublicofChinaAreaofLaw:GeneralProvisionsonSecurities1.evelofAuthority：AdministrativeRegulationsIssuingAuthority：StateCouncilDateIssued：07-20-2023EffectiveDale：07-20-2023Status:Effec

2、tive2016-2023AnnotationVersion2008-2016AnnotationVersionRegulationontheRiskDisposalofSecuritiesCompanies证券公司风险处置条例(PromulgatedbyOrderNo.523oftheStateCouncilofthePeoplesRepublicofChinaonApril23,2008;revisedforthefirsttimeinaccordancewiththeDecisionoftheStateCouncilonAmendingSomeAdministrativeRegulati

3、onsonFebruary6,2016;andrevisedforthesecondtimeinaccordancewithIheDecisionoftheStateCounciltoAmendandRepealCertainAdministrativeRegulationsonJuly20,2023)（2008年4月23日中华人民共和国国务院令第523号公布根据2016年2月6日国务院关广修改部分行政法规的决定第一次修订根据2023年7月20日国务院关修改和废止部分行政法规的决定第二次修订）第一章总 则ChapterIGeneralProvisionsArticle 1 Tocontrola

4、ndeliminatetherisksofsecuritiescompanies,protectinvestorslegitimaterightsandinterestsandpublicinterests,andsafeguardthehealthydevelopmentofthesecuritiesindustry,thisRegulationisformulatedinaccordancewiththeSecuritiesLawofthePeoplesRepublicofChina(hereinafterreferredtoasSecuritiesLaw)andtheEnterprise

5、BankruptcyLawofthePeoplesRepublicofChina(hereinafter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。referredtoasEnterpriseBankruptcyLaw).Article 2 ThesecuritiesregulatoryagencyundertheStateCouncilshallbeinchargeoforganizing,coordinatingandsupervisingth

6、edisposalofrisksofsecuritiescompanies.Article 3 ThesecuritiesregulatoryagencyundertheStateCouncilshallsetupacoordination,cooperationandquickresponsemechanismfordisposingtherisksofsecuritiescompaniestogetherwiththePeoplesBankofChina,thepublicfinancedepartmentundertheStateCouncil,thepublicsecuritydepa

7、rtmentundertheStateCouncil,otherfinancialregulatoryagenciesundertheStateCouncilandthepeoplesgovernmentsattheprovinciallevel.Article 4 Inthecourseofdisposingtherisksofsecuritiescompanies,therelatedlocalpeoplesgovernmentsshalltakeeffectivestepstomaintainsocialstability.Article 5 Itisrequiredtoguarante

8、ethenormalproceedingofthestockbrokeragebusinessinthecourseofdisposingtherisksofsecuritiescompanies.ChapterIIStoppingBusinessforRectification,Custody,Taking-overandAdministrativeRestructuringArticle 6 WherethesecuritiesregulatoryagencyundertheStaleCouncilfindsoutthatthereareseriouspotentialrisksinase

9、curitiescompany,itmaysendtheriskmonitoringon-siteworkinggrouptomakeaspecial-purposeinspectiononthe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。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。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。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。第二章停业整顿、托管、

10、接管、行政重组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securitiescompany,keepmonitoringoverthetransferoffunds,disposalofassets,dispatchofpersonnel,useofseals,conclusionandperformanceofcontractandotheroperationandmanagementactivitiesofthesecuritiescompany,andreporttherelevantin

11、formationtotherelatedlocalpeople,sgovernmentbetimes.Article 7 Whereasecuritiescompanyfailstoreachtherelevantstandardsinriskcontrolindicatorsandfailstofinishrectificationwithinaprescribedtimelimit,thesecuritiesregulatoryagencyundertheStateCouncilmayorderittostoppartorallbusinessforrectificationforape

12、riodofnomorethanthreemonths.Ifitsstockbrokeragebusinessisorderedtobestoppedforrectification,thesecuritiescompanymay,withinaprescribedtimelimit,entrustthebusinesstoasecuritiescompanyrecognizedbythesecuritiesregulatoryagencyundertheStateCouncilortransferitsclientstoothersecuritiescompany.Ifitfailstodo

13、sowithintheprescribedtimelimit,thesecuritiesregulatoryagencyundertheStateCouncilwilltransferitsclientstoothersecuritiescompany.Article 8 Whereasecuritiescompanyfallsunderanyofthefollowingcircumstances,thesecuritiesregulatoryagencyundertheStateCouncilmaykeepcustodyofitsstockbrokeragebusinessandotherb

14、usinessinvolvingclients,and,ifthecircumstancesareserious,takeoverthecompany:1. Itsgovernanceisinchaosanditsmanagementisoutof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。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。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

15、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。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。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：control.(O治理混乱，管理失控：2. Ithasembezzledtheassetsofclientsandcannotmakethemupwithitsownfund.3. Ilhasdefaultedindeliveryinsecuritiestransactionsettlementfo

16、rmanytimes,ortheamountinvolvedinitsdefaultisrelativelyhuge.4. Itfailstoreachtherelevantstandardsintermsofriskcontrolindicators,oritishavingaseriousfinancialcrisis.5. Othercircumstanceswhichmayaffectthecontinuousoperationofthecompany.Article9IfthesecuritiesregulatoryagencyundertheStateCouncildecidestokeepcustodyofthestockbrokeragebusinessandot