证券发行上市业务管理办法中英文版VIP专享VIP免费

第1页共28页编号：时间：2021年x月x日书山有路勤为径，学海无涯苦作舟页码：第1页共28页MeasuresfortheAdministrationoftheSponsorBusinessofSecuritiesIssuanceandListing证券发行上市保荐业务管理办法PromulgatingInstitution:ChinaSecuritiesRegulatoryCommissionDocumentNumber:DecreeNo.63oftheChinaSecuritiesRegulatoryCommissionPromulgatingDate:05/13/2009EffectiveDate:06/14/2009ValidityStatus: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(Adoptedatthe235thchairmanofficemeetingoftheChinaSecuritiesRegulatoryCommissiononAugust14,2008andrevisedinaccordancewiththeDecisionoftheChinaSecuritiesRegulatoryCommissiononRevisingthe"MeasuresfortheAdministrationoftheSponsorBusinessofSecuritiesIssuanceandListing"promulgatedbytheChinaSecuritiesRegulatoryCommissiononMay13,2009)（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）Chapter1:GeneralProvisionsArticle1TheseMeasuresareformulatedinaccordancewiththeSecuritiesLaw,theDecisionoftheStateCouncilonApplicationofAdministrativeApprovaltoProgramsRequiringAdministrativeReviewandApprovalThatNeedtobeReserved(OrderNo.412oftheStateCouncil)andotherapplicablelawsandregulationstoregulatesecuritiesissuingandlistingsponsorbusiness,improvethequalityoflistedcompaniesandthepracticeofsecuritiescompaniesandprotecttherightsandinterestsofinvestors.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。Article2Anissuershallengageasecuritiescompanywithsponsorqualificationtoactasthesponsorinstitutionforanyofthefollowingmatters:(1)Initialpublicofferingandlisting;Measuresforti3cf76ad300000CN_EN_LEGIS第2页共28页第1页共28页编号：时间：2021年x月x日书山有路勤为径，学海无涯苦作舟页码：第2页共28页(2)Issuingnewstocksorconvertiblecorporatebondsbyalistedcompany;(3)OthercircumstancesspecifiedbyChinaSecuritiesRegulatoryCommission("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:（一）首次公开发行股票并上市;（二）上市公司发行新股、可转换公司债券;（三）中国证券监督管理委员会（以下简称"中国证监会"）认定的其他情形。Article3AsecuritiescompanythatengagesintheissuanceofsecuritiesandlistingsponsorbusinessshallapplytotheCSRCforqualificationofsponsorinstitution.AsponsorinstitutionshallappointindividualswhohaveobtainedthequalificationforasponsorrepresentativeinaccordancewiththeseMeasuresforthepurposeofperformingsponsordutiesandtobeinchargeofsponsorbusiness.NoinstitutionorindividualshallengageinsponsorbusinesswithoutpriorapprovalfromtheCSRC.第三条证券公司从事证券发行上市保荐业务,应依照本办法规定向中国证监会申请保荐机构资格。保荐机构履行保荐职责,应当指定依照本办法规定取得保荐代表人资格的个人具体负责保荐工作。未经中国证监会核准,任何机构和个人不得从事保荐业务。Article4AsponsorinstitutionanditssponsorrepresentativesshallabidebythelawsandadministrativeregulationsaswellastheCSRC'srelevantrules,shallobserveitsbusinessrulesandthecodeoftheindustry,behonest,faithfulanddiligentinsponsoringtheissuanceofsecuritiesandlisting,conductcontinuoussupervisiontoensuretheissuer'sperformanceoftheobligationsofstandardiz...