发行上市业务管理办法中英文版.docVIP

Measures for the Administration of the Sponsor Business of Securities Issuance and Listing 证券发行上市保荐业务管理办法 Promulgating Institution: China Securities Regulatory Commission Document Number: Decree No. 63 of the China Securities Regulatory Commission Promulgating Date: 05/13/2009 Effective Date: 06/14/2009 Validity Status: Valid 颁布机关: 中国证券监督管理委员会 文?????号: 中国证券监督管理委员会令第63号 颁布时间: 05/13/2009 实施时间: 06/14/2009 效力状态: 有效 Text 正文 (Adopted at the 235th chairman office meeting of the China Securities Regulatory Commission on August 14, 2008 and revised in accordance with the Decision of the China Securities Regulatory Commission on Revising the Measures for the Administration of the Sponsor Business of Securities Issuance and Listing? promulgated by the China Securities Regulatory Commission on May 13, 2009) ????（2008年8月14日中国证券监督管理委员会第235次主席办公会议审议通过，根据2009年5月13日中国证券监督管理委员会《关于修改〈证券发行上市保荐业务管理办法〉的决定》修订） Chapter 1: General Provisions Article 1??? These Measures are formulated in accordance with the Securities Law, the Decision of the State Council on Application of Administrative Approval to Programs Requiring Administrative Review and Approval That Need to be Reserved (Order No. 412 of the State Council) and other applicable laws and regulations to regulate securities issuing and listing sponsor business, improve the quality of listed companies and the practice of securities companies and protect the rights and interests of investors.? ??? 第一章? 总则 ??? 第一条? 为了规范证券发行上市保荐业务，提高上市公司质量和证券公司执业水平，保护投资者的合法权益，促进证券市场健康发展，根据《 证券法》、《 国务院对确需保留的行政审批项目设定行政许可的决定》（国务院令第412号）等有关法律、行政法规，制定本办法。 Article 2??? An issuer shall engage a securities company with sponsor qualification to act as the sponsor institution for any of the following matters:(1) Initial public offering and listing;(2) Issuing new stocks or convertible corporate bonds by a listed company;(3) Other circumstances specified by China Securities Regulatory Commission (CSRC).? ????第二条??发行人应当就下列事项聘请具有保荐机构资格的证券公司履行保荐职责: ????（