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.Article9IfthesecuritiesregulatoryagencyundertheStateCouncildecidest

17、okeepcustodyofthestockbrokeragebusinessandotherbusinessinvolvingclientsofasecuritiescompany,itshall,byfollowingtheprescribedprocedure,selectsecuritiescompaniesandotherprofessionalagenciestoformacustodygrouptoexercisethebusinessmanagementrightoverthestockbrokeragebusinessandotherbusinessinvolvingclie

18、ntsofthesecuritiescompany.Thecustodygroupshallperformthefollowingdutiesfromthedatewhenitkeepscustodyoftheaforesaidbusiness:1. ensuringthenormalandregulation-compliantoperationofthestockbrokeragebusinessofthesecuritiescompanyundercustody,and,whennecessary,payingtheworkingcapitalandclientstransactions

19、ettlementfundinadvanceinaccordancewiththerelevantprovisions;（二）挪用客户资产并且不能自行弥补；（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；（四）风险控制指标不符合规定，发生重大财务危机；（五）其他可能影响证券公司持续经营的情形。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。托管组自托管之日起履行下列职责:（*）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

20、的交易结算资金；2. takingeffectivemeasurestosafeguardthesafetyofclientsassetsduringtheperiodofcustody;3. checkingtherisksexistinginthesecuritiescompany,reportingemergencysituationsencounteredinbusinessoperationstothesecuritiesregulatoryagencyundertheStateCouncilinatimelymanner,andproposingsolutionstosuchsit

21、uations;and4. otherdutiesasspecifiedbythesecuritiesregulatoryagencyundertheStateCouncil.Thecustodyperiodisgenerally12monthsatmost.Ifcontinualcustodyisneeded12monthslater,thesecuritiesregulatoryagencyundertheStateCouncilmaymakeadecisiononextendingthecustodyperiodforanother12monthsatmost.Article 10 Th

22、esecuritiescompanyundercustodyshallpayforthecustodyfeeandtheoperationcostincurredduringthecustodyperi(xl.ThesecuritiesregulatoryagencyundertheStateCouncilshallexamineandverifytheaforesaidtwofees.Thecustodygroupassumesnoliabilityforthelossesofthesecuritiescompanyundercustody.Article 11 Ifthesecuritie

23、sregulator),agencyundertheStateCouncildecidestotakeoverasecuritiescompany,itshallsetupataking-overgroupcomposedofprofessionalsinaccordancewiththeprescribedproceduretoexercisethebusinessmanagementrightofthesecuritiescompany.The（二）采取有效措施维护托管期间客户资产的安全；（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

24、：（四）国务院证券监督管理机构要求履行的其他职责。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。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。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。托管组不承担被托管证券公司的亏损。第H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personinchargeofthetaking-overgro

25、upshallexercisethefunctionsandpowersofthelegalrepresentativeofthesecuritiescompany,andthe(general)meetingofshareholders,theboardofdirectors,theboardofsupervisors,managersanddeputymanagersofthesecuritiescompanyshallallstopperformingtheirfunctionsandduties.Thetaking-overgroupshallperformthefollowingdu

26、tiesfromthedalewhenthetake-overhappens:1. takingovertheproperty,seals,accountbooks,documentsandothermaterialofthesecuritiescompany;2. makingdecisionsonthemanagerialaffairsofthesecuritiescompany;3. ensuringthenormalandregulation-compliantoperationofthestockbrokeragebusinessofthesecuritiescompany,andp

27、erfectingtheinternalcontrolsystem;4. takingstockofthepropertyofthesecuritiescompany,andpresen,ingandrecoveringitsassetsaccordingtolaw;5. keepingtherisksofthesecuritiescompanyundercontrol,andputtingforwardsolutionstosuchrisks;6. investigatingtheillegalactsofrelevantworkersofthesecuritiescompany;and7.

28、 otherdutiesasspecifiedbythesecuritiesregulatoryagencyundertheStateCouncil.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。接管组自接管之日起履行下列职责：（一）接管证券公司的财产、印章和账簿、文书等资料；（二）决定证券公司的管理事务；（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；（四）清查证券公司财产，依法保全、追收资产；（五）控制证券公司风险，提出风险化解方案；（六）核查证券公司有关人员的违法行为；（七）国务院证券监督管理机构要求履行的其他职责。Thetaking-overperiodisg

29、enerally12monthsatmost.Ifcontinualtaking-overisneeded12monthslater,thesecuritiesregulatoryagencyundertheStateCouncilmaymakeadecisiononextendingIhetaking-overperiodforanother12monthsatmost.Article 12 Whenasecuritiescompanyisfacingwithseriousrisks,ifitsatisfiesthefollowingconditionsitmaydirectlyapplyt

30、othesecuritiesregulatoryagencyundertheStateCouncilforadministrativerestructuring:1. Itsfinancialinformationisauthenticandcomplete.2. Ilenjoyssupportfromtheprovincialpeoplesgovernmentorotherpartyconcerned.3. itsmeasuresforrectificationarespecificandithasafeasiblerestructuringplan.Forasecuritiescompan

31、yorderedtostopbusinessforrectification,undercustodyortaken-over,ifitsatisfiestheabove-mentionedconditions,itmayalsobeadministrativelyrestructuredbythesecuritiesregulatoryagencyundertheStateCouncil.Article 13 Asecuritiescompanymayconductadministrativerestructuringbywayofcapitalincrease,SlOCkequityres

32、tructuring,debtrestructuring,assetsrestructuring,mergerorotherform.接管期限般不超过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。第十二条证券公司出现重大风险，但具备下列条件的，可以由国务院证券监督管理机构对其进行行政重组：（一）财务信息真实、完整；（二）省级人民政府或者有关方面予以支持；（三）整改措施具体，有可行的重组计划。被停业整顿、托管、接管的证券公司，具备前款规定条件的，也可以由国务院证券监督管理机构对其进行行政重组。第十三条证券公司进行行政重组，可

33、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。Theadministrativerestructuringperiodisgenerallynomorethan12months.Iftheadministrativerestructuringisnotdone12monthslater,thesecuritiesregulateauthorityoftheStateCouncilmaydecidetoextendtheadministrativerestructuringperiod.However,theextensionperiodforadministrativerestr

34、ucturingshallnotexceed6months.ThesecuritiesregulatoryagencyundertheStateCouncilshallcoordinateandguidetheadministrativerestructuringofsecuritiescompanies.Article 14 AnydisposaldecisionmadebythesecuritiesregulatoryagencyundertheStateCouncilonorderingasecuritiescompanytostopbusinessforrectification,ke

35、epingcustodyofasecuritiescompany,takingoverasecuritiescompanyorallowingasecuritiescompanytoconductadministrativerestructuringshallbeannounced,andtheannouncementshallbepostedattheplaceofbusinessofthesecuritiescompanyconcerned.Suchadecisionshallcontainthenameofthesecuritiescompanydisposed,thedisposalm

36、easure,reasons,coverageandotherrelatedissues.Thedateofpublicationofsuchadecisionshallbethedateofdisposal,andthedecisionshallcomeintoforcefromthetimewhenitispublished.Article 15 Forasecuritiescompanywhichisorderedtostopbusinessforrectification,keptundercustody,takenoverorsubjecttoadministrativerestru

37、cturing,itsdebtor-creditor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，国务院证券监督管理机构可以决定延长行政重组期限，但延长行政重组期限最长不得超过6个月。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。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。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。处置决定的公告日期为处置日，处置决定自公告之时生效。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

38、决定而变化。relationshipdoesnotchangeforanydisposaldecision.Article 16 Ifasecuritiescompanyreachesthenormaloperationconditionswithintheprescribedtimelimitafterbeingorderedtostopbusinessforrectification,keptundercustody,takenoverorsubjecttoadministrativerestructuring,itmayresumeitsnormaloperationupontheapp

39、rovalofthesecuritiesregulatoryagencyundertheStateCouncil.Article 17 Ifasecuritiescompanystillcannotreachthenormaloperationconditionswithintheprescribedtimelimitafterbeingorderedtostopbusinessforrectification,keptundercustody,takenoverorsubjecttoadministrativerestructuring,butitisabletopayoffduedebts

40、,thesecuritiesregulatoryagencyundertheStateCouncilshallcancelitssecuritiesbusinesslicenseaccordingtolaw.Article 18 Asecuritiescompanywhichhasbeencanceledofthesecuritiesbusinesslicenseshallstoprunningsecuritiesbusiness,andarrangeitsclientstoothersecuritiescompaniesbasedonthefreewillofclients.Inthepro

41、cessofsucharrangement,allpartiesconcernedmusttakenecessarymeasurestosecurethenormalproceedingoftheclientssecuritiestrading.Ifanysecuritiescompanywhichhasbeencanceledofthesecuritiesbusinesslicensefailstoarrangeitsclientsproperly,thesecuritiesregulatoryagencyundertheSlateCouncilmayestablishanadministr

42、ativeliquidatinggroupinaccordancewiththeprovisionsofChapterIIIofthisRegulationtoput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。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。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

43、的正常进行。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。accountsinorder,settleclientsandtransfersecuritiesassets.ChapterIIICancellationArticle19Whereasecuritiescompanyfallsunderthefollowingcircumstancessimultaneously,thesecuritiesregulatoryagencyundertheStateCouncilmaydirec

44、tlycancelit:1. thecircumstancesofitsillegaloperationareparticularlyserious,andtherearehugeoperatingrisks;2. itcannotpayoffduedebts,anditsassetsarenotenoughtopayoffalldebtsoritobviouslylackstherepaymentability;and3. itssituationrequiresfinancialsupportfromthesecuritiesinvestorprotectionfund.Article20

45、Ifasecuritiescompanystillcannotreachthenormaloperationconditionswithintheprescribedtimelimitafterbeingorderedtostopbusinessforrectification,keptundercustody,takenoverorsubjecttoadministrativerestructuringandfallsunderanyofthecircumstancesprescribedinArticle19(2)and(3)ofthisRegulation,thesecuritiesre

46、gulatoryagencyundertheStateCouncilshallcancelthecompany.Article 21 Tocancelasecuritiescompany,thesecuritiesregulatoryagencyundertheStateCouncilshallmakea第三章撤销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：（一）违法经营情节特别严重、存在巨大经营风险；（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；（三）需要动用证券投资者保护基金。第二十条证券公司经停业整顿、托管、接管或者行政重组在

47、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O第二H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decisionofcancellation,selectprofessionalagenciesincludinglawfirmandaccountingfirmtoformanadministrativeliquidatinggroupinaccordancewiththeprescribedprocedure,andsubjectthecompanytoadministr

48、ativeliquidation.Adecisionofcancellationshallbepublished,thedateofpublicationofthedecisionshallbethedateofdisposal,andthedecisionshallcomeintoforcefromthetimewhenitispublished.FortheadministrativeliquidationconductedbythesecuritiesregulatoryagencyundertheStateCouncilonsecuritiescompaniesbeforethisRegulationcomesintoforce,thedateofpublicnoticeofadministrativeliquidationshallbethedaleofdisposal.Article 22 Duringtheperiodofadministrativeliquidation,thepersoninchargeoftheadministrativeliquidatinggroupshallexercisethefunctions