證券發(fā)行上市業(yè)務(wù)管理辦法中英文

MeasuresfortheAdministrationoftheSponsorBusinessofSecuritiesIssuanceandListing證券發(fā)行上市保薦業(yè)務(wù)管理辦法HTMLCONTROLForms.HTML:Hidden.1HTMLCONTROLForms.HTML:Hidden.1HTMLCONTROLForms.HTML:Hidden.1Text正文(Adoptedatthe235thchairmanofficemeetingoftheChinaSecuritiesRegulatoryCommissiononAugust14,2023andrevisedinaccordancewiththeDecisionoftheChinaSecuritiesRegulatoryCommissiononRevisingthe"MeasuresfortheAdministrationoftheSponsorBusinessofSecuritiesIssuanceandListing"

promulgatedbytheChinaSecuritiesRegulatoryCommissiononMay13,2023)

（2023年8月14日中國證券監(jiān)督管理委員會(huì)第235次主席辦公會(huì)議審議通過，根據(jù)2023年5月13日中國證券監(jiān)督管理委員會(huì)《關(guān)于修改〈證券發(fā)行上市保薦業(yè)務(wù)管理辦法〉的決定》修訂）Chapter1:GeneralProvisionsArticle1

TheseMeasuresareformulatedinaccordancewiththeSecuritiesLaw,theDecisionoftheStateCouncilonApplicationofAdministrativeApprovaltoProgramsRequiringAdministrativeReviewandApprovalThatNeedtobeReserved(OrderNo.412oftheStateCouncil)andotherapplicablelawsandregulationstoregulatesecuritiesissuingandlistingsponsorbusiness,improvethequalityoflistedcompaniesandthepracticeofsecuritiescompaniesandprotecttherightsandinterestsofinvestors.

第一章

總則第一條

為了規(guī)范證券發(fā)行上市保薦業(yè)務(wù)，提高上市公司質(zhì)量和證券公司執(zhí)業(yè)水平，保護(hù)投資者的合法權(quán)益，促進(jìn)證券市場健康發(fā)展，根據(jù)《證券法》、《國務(wù)院對確需保留的行政審批項(xiàng)目設(shè)定行政許可的決定》（國務(wù)院令第412號）等有關(guān)法律、行政法規(guī)，制定本辦法。Article2

Anissuershallengageasecuritiescompanywithsponsorqualificationtoactasthesponsorinstitutionforanyofthefollowingmatters:(1)Initialpublicofferingandlisting;(2)Issuingnewstocksorconvertiblecorporatebondsbyalistedcompany;(3)OthercircumstancesspecifiedbyChinaSecuritiesRegulatoryCommission("CSRC").第二條

發(fā)行人應(yīng)當(dāng)就下列事項(xiàng)聘請具有保薦機(jī)構(gòu)資格的證券公司履行保薦職責(zé):

（一）首次公開發(fā)行股票并上市;

（二）上市公司發(fā)行新股、可轉(zhuǎn)換公司債券;

（三）中國證券監(jiān)督管理委員會(huì)（以下簡稱"中國證監(jiān)會(huì)"）認(rèn)定的其他情形。Article3

AsecuritiescompanythatengagesintheissuanceofsecuritiesandlistingsponsorbusinessshallapplytotheCSRCforqualificationofsponsorinstitution.AsponsorinstitutionshallappointindividualswhohaveobtainedthequalificationforasponsorrepresentativeinaccordancewiththeseMeasuresforthepurposeofperformingsponsordutiesandtobeinchargeofsponsorbusiness.NoinstitutionorindividualshallengageinsponsorbusinesswithoutpriorapprovalfromtheCSRC.第三條

證券公司從事證券發(fā)行上市保薦業(yè)務(wù),應(yīng)依照本辦法規(guī)定向中國證監(jiān)會(huì)申請保薦機(jī)構(gòu)資格。絡(luò)

保愿薦機(jī)構(gòu)履行釣保薦職責(zé),鎖應(yīng)當(dāng)指定依培照本辦法規(guī)津定取得保薦訓(xùn)代表人資格偵的個(gè)人具體含負(fù)責(zé)保薦工絡(luò)作。嘩

未痕經(jīng)中國證監(jiān)籠會(huì)核準(zhǔn),任站何機(jī)構(gòu)和個(gè)帥人不得從事礦保薦業(yè)務(wù)。咱作Artic修le4

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保薦機(jī)營構(gòu)及其保薦物代表人應(yīng)當(dāng)乳遵守法律、院行政法規(guī)和只中國證監(jiān)會(huì)方的相關(guān)規(guī)定懸,恪守業(yè)務(wù)測規(guī)則和行業(yè)掘規(guī)范,誠實(shí)懲守信,勤勉廳盡責(zé),盡職握推薦發(fā)行人蹈證券發(fā)行上城市,持續(xù)督板導(dǎo)發(fā)行人履皺行規(guī)范運(yùn)作鵝、信守承諾勻、信息披露鍛等義務(wù)。給

保營薦機(jī)構(gòu)及其助保薦代表人載不得通過從燭事保薦業(yè)務(wù)焰謀取任何不悼正當(dāng)利益。受喊Artic臘le5

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保薦代安表人應(yīng)當(dāng)遵烤守職業(yè)道德則準(zhǔn)則,珍視敵和維護(hù)保薦迷代表人職業(yè)朵聲譽(yù),保持赤應(yīng)有的職業(yè)結(jié)謹(jǐn)慎,保持候和提高專業(yè)槽勝任能力。論汪

保揀薦代表人應(yīng)皂當(dāng)維護(hù)發(fā)行月人的合法利喂益,對從事欠保薦業(yè)務(wù)過守程中獲知的套發(fā)行人信息釣保密。保薦腳代表人應(yīng)當(dāng)須恪守獨(dú)立履大行職責(zé)的原浮則,不因迎躺合發(fā)行人或連者滿足發(fā)行痰人的不當(dāng)要派求而喪失客些觀、公正的啊立場,不得調(diào)唆使、協(xié)助拒或者參與發(fā)練行人及證券廣服務(wù)機(jī)構(gòu)實(shí)活施非法的或會(huì)者具有欺詐伐性的行為。畫溪

保托薦代表人及玻其配偶不得曉以任何名義翅或者方式持討有發(fā)行人的晨股份。棚Artic飾le6

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同次發(fā)商行的證券,放其發(fā)行保薦說和上市保薦騙應(yīng)當(dāng)由同一圈保薦機(jī)構(gòu)承撕擔(dān)。保薦機(jī)望構(gòu)依法對發(fā)責(zé)行人申請文架件、證券發(fā)寬行募集文件把進(jìn)行核查,毫向中國證監(jiān)午會(huì)、證券交甚易所出具保越薦意見。保膚薦機(jī)構(gòu)應(yīng)當(dāng)酸保證所出具舍的文件真實(shí)扣、準(zhǔn)確、完概整。購

證屢券發(fā)行規(guī)模菌達(dá)到一定數(shù)世量的,可以頓采用聯(lián)合保營薦,但參與笑聯(lián)合保薦的耐保薦機(jī)構(gòu)不然得超過2家默。鏡

證闊券發(fā)行的主冠承銷商可以承由該保薦機(jī)裁構(gòu)擔(dān)任,也?？梢杂善渌烤哂斜Ｋ]機(jī)監(jiān)構(gòu)資格的證滑券公司與該伙保薦機(jī)構(gòu)共禿同擔(dān)任。刺Artic課le7態(tài)

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發(fā)行人唇及其董事、誓監(jiān)事、高級森管理人員,券為證券發(fā)行貸上市制作、俊出具有關(guān)文峰件的律師事典務(wù)所、會(huì)計(jì)何師事務(wù)所、班資產(chǎn)評估機(jī)嫌構(gòu)等證券服遭務(wù)機(jī)構(gòu)及其療簽字人員,序應(yīng)當(dāng)依照法禁律、行政法去規(guī)和中國證轟監(jiān)會(huì)的規(guī)定能,配合保薦閑機(jī)構(gòu)及其保曉薦代表人履愈行保薦職責(zé)件,并承擔(dān)相執(zhí)應(yīng)的責(zé)任。顧皇

保向薦機(jī)構(gòu)及其芹保薦代表人否履行保薦職綱責(zé),不能減艙輕或者免除者發(fā)行人及其挑董事、監(jiān)事撇、高級管理決人員、證券善服務(wù)機(jī)構(gòu)及晝其簽字人員社的責(zé)任。策Artic命le8卵

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中國證舒監(jiān)會(huì)依法對笛保薦機(jī)構(gòu)及卵其保薦代表調(diào)人進(jìn)行監(jiān)督鳥管理。膚

中瓶國證券業(yè)協(xié)蟲會(huì)對保薦機(jī)幟構(gòu)及其保薦腫代表人進(jìn)行寺自律管理。月背Chapt走er2:繪Admi改nistr亦ation野ofQ消ualif藏icati盾onof估Spon否sorI臨nstit區(qū)ution類sand莊Spon好sorR富epres辰entat自ives釋

第衣二章

保斜薦機(jī)構(gòu)和保攤薦代表人的虎資格管理乒銅Artic寨le9

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證券公處司申請保薦揭機(jī)構(gòu)資格,上應(yīng)當(dāng)具備下吳列條件:艙

（明一）注冊資并本不低于人德民幣1億元洪，凈資本不江低于人民幣硬5000萬蜘元;復(fù)

（建二）具有完命善的公司治沿理和內(nèi)部控冷制制度，風(fēng)脆險(xiǎn)控制指標(biāo)庫符合相關(guān)規(guī)摟定;葵

（喜三）保薦業(yè)成務(wù)部門具有火健全的業(yè)務(wù)秤規(guī)程、內(nèi)部拳風(fēng)險(xiǎn)評估和幸控制系統(tǒng)，深內(nèi)部機(jī)構(gòu)設(shè)蠶置合理，具袖備相應(yīng)的研酸究能力、銷時(shí)售能力等后夠臺支持;礦

（誓四）具有良獨(dú)好的保薦業(yè)身務(wù)團(tuán)隊(duì)且專貪業(yè)結(jié)構(gòu)合理干，從業(yè)人員宣不少于35銀人，其中最秘近3年從事孕保薦相關(guān)業(yè)陷務(wù)的人員不暴少于20人多;迎

（橋五）符合保蒙薦代表人資陳格條件的從寬業(yè)人員不少釘于4人;郵

（枯六）最近3鍬年內(nèi)未因重糊大違法違規(guī)顆行為受到行飽政處罰;逮

（航七）中國證煌監(jiān)會(huì)規(guī)定的塑其他條件。恭綁Artic踐le10咬

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證券公暗司申請保薦芹機(jī)構(gòu)資格,尿應(yīng)當(dāng)向中國飽證監(jiān)會(huì)提交炎下列材料:霞秀

（頑一）申請報(bào)超告;接

（片二）股東（凍大）會(huì)和董右事會(huì)關(guān)于申旅請保薦機(jī)構(gòu)瓜資格的決議預(yù);占

（秤三）公司設(shè)蹤立批準(zhǔn)文件園;此

（坐四）營業(yè)執(zhí)雞照復(fù)印件;夠

（池五）公司治押理和公司內(nèi)飲部控制制度異及執(zhí)行情況恰的說明;薯

（做六）董事、展監(jiān)事、高級碎管理人員和剪主要股東情獎(jiǎng)況的說明;唇

（懼七）內(nèi)部風(fēng)攤險(xiǎn)評估和控識制系統(tǒng)及執(zhí)沉行情況的說圖明;巧

（曲八）保薦業(yè)花務(wù)盡職調(diào)查輝制度、輔導(dǎo)肯制度、內(nèi)部昆核查制度、縣持續(xù)督導(dǎo)制喬度、持續(xù)培投訓(xùn)制度和保容薦工作底稿鞭制度的建立瓣情況;寄

（悠九）經(jīng)具有省證券期貨相岡關(guān)業(yè)務(wù)資格荷的會(huì)計(jì)師事常務(wù)所審計(jì)的秒最近1年度份凈資本計(jì)算射表、風(fēng)險(xiǎn)資皺本準(zhǔn)備計(jì)算聚表和風(fēng)險(xiǎn)控摔制指標(biāo)監(jiān)管渣報(bào)表;頌

（姓十）保薦業(yè)鼠務(wù)部門機(jī)構(gòu)員設(shè)置、分工煎及人員配置蓋情況的說明啊;醉

（嚷十一）研究蓬、銷售等后望臺支持部門賣的情況說明紗;遙

（筐十二）保薦毒業(yè)務(wù)負(fù)責(zé)人傍、內(nèi)核負(fù)責(zé)雜人、保薦業(yè)簽務(wù)部門負(fù)責(zé)腦人和內(nèi)核小很組成員名單復(fù)及其簡歷;爺

（炕十三）證券割公司指定聯(lián)益絡(luò)人的說明桌;濫

（呈十四）證券幟公司對申請穩(wěn)文件真實(shí)性稠、準(zhǔn)確性、載完整性承擔(dān)立責(zé)任的承諾旱函，并應(yīng)由合其全體董事描簽字;蹄

（備十五）中國說證監(jiān)會(huì)要求躬的其他材料俗。螺Artic鵝le11綁蜜

In搞appl掏ying廈fort裹hequ燈alifi孤catio異nof腦aspo合nsor遺repre英senta舅tive,多ani蔽ndivi嘆dual能shall邀meet臂the振follo確wing淹condi釋tions淚:韻(1)T嫌hein盒divid圣uals濱hall曠have次over歐three蘋year砍sof罷exper指ience飛ins參ponso按r-rel辮ated院busin裕ess;池(2)T膽hein叫divid吧uals輩hall段have吼worke屠das票proje塞ctco莖ordin此ator無ford祝omest改icse匙curit折iesi爬ssuan各ceas磨pres氣cribe焦din能Artic籌le2桐ofth繡eseM懇easur后esin裙the偵immed錘iatel垃ypre唯cedin程gthr快eeye擴(kuò)ars;尼(3)T奶hein汽divid煌uals用hall賽have刊parti搖cipat杠edin暮the塵compe系tence造exam獻(xiàn)inati賭onfo取rspo奉nsor身repre涂senta貴tive狼asap孫prove嶺dby帥theC京SRCa壟ndth救eres騎ultd績eclar泰edhi戶meli向gible釋and誓effec泰tive王fort蛇h(yuǎn)epo鐘sitio助n;萍(4)T初hein驅(qū)divid電uals撞hall敢beho擊nest狠andt宣rustw夸orthy剖with愈outa越nybl贊emish奴edre見cord能asre有g(shù)ards爆his肺chara構(gòu)cter,戀,an忠dsha自llha紐veno想tbee滿nimp刺osed鞏with炒anad演minis薄trati買vepe牙nalty膠byt辱heCS冤RCin睬the貸immed布iatel朝ypre掀cedin蘋gthr吉eeye鍬ars;蛾and酸(5)T示hein偽divid內(nèi)uals糊hall靠noth描avea蘿larg卵eamo拘unto簽fout籃stand瞞ingd挑ebtw普hich強(qiáng)isov孫erdue睬.昌辭第十一條搜

個(gè)人申奪請保薦代表鼓人資格,應(yīng)茫當(dāng)具備下列盒條件:貞

（興一）具備3咬年以上保薦扣相關(guān)業(yè)務(wù)經(jīng)默歷;土

（炕二）最近3董年內(nèi)在本辦材法第二條規(guī)殼定的境內(nèi)證帳券發(fā)行項(xiàng)目才中擔(dān)任過項(xiàng)嬸目協(xié)辦人;蘆

（喉三）參加中熟國證監(jiān)會(huì)認(rèn)得可的保薦代禮表人勝任能贈(zèng)力考試且成惱績合格有效勒;野

（秩四）誠實(shí)守夕信，品行良神好，無不良蠢誠信記錄，壺最近3年未艱受到中國證潔監(jiān)會(huì)的行政裹處罰;密

（豎五）未負(fù)有籍?dāng)?shù)額較大到繳期未清償?shù)臑閭鶆?wù);（六挺）中國證監(jiān)教會(huì)規(guī)定的其驗(yàn)他條件。近Artic勾le12革叔

In僻apply椒ingf傲orqu拌alifi艇catio賽nof戚spons櫻orre漫prese葉ntati眉ve,a側(cè)nind項(xiàng)ividu墓alsh搜a(bǔ)llh命avet污hefo冷llowi挨ngma劍teria給lsub先mitte估dto愈theC杯SRCb桐ythe破spon皮sori嗽nstit煮ution它he/s介hewo嶼rksf見or:相(1)A澆pplic低ation侵repo牙rt;單(2)R贊esume噴,ide馳ntify穗docu抹ment,橫and粘acade肢micc冬ertif指icate儲(chǔ)s;佳(3)C冊ertif曬icati朋onof建elig責(zé)ible帥resul闊tsin攝secu礦ritie娘spra深ctiti早oner'去squa雷lifyi垃ngex交amina圍tion督andc蠻ompet與ence浙exami娘natio寧nfor增spon逝sorr損epres糊entat偽ive;幫(4)S端ecuri雁ties諒pract模icing名cert摔ifica冒te;

貢(5)D堂etail單edde付scrip膽tion捷ofen業(yè)gagem叮enti渠nspo葵nsor-駱relat燦edbu發(fā)sines壯s,an者dan傻overv發(fā)iewo康fthe襖work凡perf石ormed恩ast擴(kuò)heco袋ordin全ator析ofdo派mesti詳csec敢uriti牲esis舞suanc膠epro朱ject,垮asp味rescr頑ibed隆inAr蜜ticle粘2of孫thes培eMea亦sures孩,in聾thei究mmedi頁ately俘prec燕eding昆thre襖eyea傷rs;窗(6)R鋪ecomm扒endat聚ionl捎etter肝asp傷roduc巨edby男the蜂spons綠orin伸stitu識tion,咽whic擺hsha誕llsp透ecify同the桑appli駐cant'飲scom熱plian叔cewi帥thla蹈wsan多ddis京cipli嗓nes,收compe桐tence怖,org米aniza已tion廈capac河itya罰ndsk捆ills,斗etc.侵;里(7)T許heco抓mmitm規(guī)entl誤etter斑spec似ifyin腳gtha叢tthe朵spon范sori只nstit貪ution舉shal絡(luò)lbe增respo困nsibl快efor唐the潛authe龍ntici蝕ty,a虜ccura困cy,a艷ndco孤mplet總eness孟oft無heap哲plica支tion寇docum爽ents,潔shal折lbe顫signe聲dby魯theb資oard償chair影mano串rgen縫eral杜manag掙erof因the愉spons鏟or;a政nd稍(8)O燃ther獄mater攔ials窯asre止quire威dby江theC赴SRC.楊鳳第十二條獵

個(gè)人申姑請保薦代表透人資格,應(yīng)偉當(dāng)通過所任暑職的保薦機(jī)鞠構(gòu)向中國證閥監(jiān)會(huì)提交下分列材料:君

（憐一）申請報(bào)專告;禁

（我二）個(gè)人簡尚歷、身份證圓明文件和學(xué)變歷學(xué)位證書劣;載

（除三）證券業(yè)批從業(yè)人員資來格考試、保壘薦代表人勝娘任能力考試宿成績合格的圖證明;無

（旗四）證券業(yè)勺執(zhí)業(yè)證書;本

（臺五）從事保蒼薦相關(guān)業(yè)務(wù)第的詳細(xì)情況毀說明，以及叔最近3年內(nèi)圾擔(dān)任本辦法嬸第二條規(guī)定閑的境內(nèi)證券未發(fā)行項(xiàng)目協(xié)惑辦人的工作鵲情況說明;邪

（尸六）保薦機(jī)叛構(gòu)出具的推戶薦函，其中撫應(yīng)當(dāng)說明申字請人遵紀(jì)守映法、業(yè)務(wù)水布平、組織能個(gè)力等情況;維

（浙七）保薦機(jī)學(xué)構(gòu)對申請文劈件真實(shí)性、濕準(zhǔn)確性、完五整性承擔(dān)責(zé)種任的承諾函揉，并應(yīng)由其慮董事長或者監(jiān)總經(jīng)理簽字績;罩

（表八）中國證驚監(jiān)會(huì)要求的腔其他材料。豎誘Artic湯le13奉溫

Th口esec悄uriti技esco董mpany偏ort刃hein臂divid炊uals聲hall舟ensur易ethe第auth版entic繞ity,嗽accur莫acy,眠andc蒸omple承tenes乘sof彈thea笛pplic吼ation稻docu蘋ments瓦.In素thee手vent帽ofan壩ysig賊nific虛antc鐵hange爸int靈heco余ntent耗oft宇heap害plica持tion湖docum氏ents摔durin湖gthe茅peri集odof篩appl菠icati扎on,t甩hese喜curit先iesc微ompan顆yor赤thei妖ndivi舞dual期shall毅,wit金hint相wowo脾rking茶days夾from霸the萄date洽ofsu池chch財(cái)anges撐,sub娘mitt稈heup弓dated環(huán)mate測rial嘴toth夫eCSR莊C.盜率奔第十三條繳

證券公配司和個(gè)人應(yīng)跌當(dāng)保證申請義文件真實(shí)、坊準(zhǔn)確、完整宏。申請期間收,申請文件獲內(nèi)容發(fā)生重偵大變化的,貼應(yīng)當(dāng)自變化葵之日起2個(gè)芒工作日內(nèi)向霞中國證監(jiān)會(huì)牢提交更新資姨料。沾Artic箭le14群

T灑heCS閱RCsh掛alla芹ccept強(qiáng)and淹verif恢ythe監(jiān)appl固icati詞ondo老cumen鼓tsac躁cordi府ngto嘩law,紀(jì)and飼make跨writt冬ende撓cisio庫napp親rovin凱gor服disap客provi畝ngth沒eapp僻licat搏ionf呼orqu家alifi誠catio妖nof沿aspo檢nsor冠insti峽tutio惹nwit蠅hin4牧5wor鑰king螺days艙from遮thed臨ateo恭facc演eptan騰ceth統(tǒng)ereof必,and裙make隸ade腔cisio谷nof環(huán)appro芬valo守rdis蠟appro大vali博nwri遼ting,不for校thea繳pplic蘇ation原for駐quali精ficat溝iono介fspo奉nsor醫(yī)repre譯senta蠅tive累withi逐n20情worki院ngda紙ysfr說omth乏edat育eof臂accep項(xiàng)tance廁ther腹eof.個(gè)虧羅第十四條補(bǔ)

中國證繭監(jiān)會(huì)依法受潑理、審查申層請文件。對幻保薦機(jī)構(gòu)資療格的申請,受自受理之日公起45個(gè)工鄰作日內(nèi)做出乏核準(zhǔn)或者不略予核準(zhǔn)的書匯面決定;對捕保薦代表人申資格的申請岡,自受理之宴日起20個(gè)喚工作日內(nèi)做眠出核準(zhǔn)或者告不予核準(zhǔn)的咬書面決定。騎川Artic彎le15奮按

Aft橡erob鼻taini荒ngth幸espo瓶nsor滾insti抵tutio處nqua棍lific舟ation捏,as搏ecuri狹ties混compa殃nysh揀allc菊ontin橫ueto銜meet仙the歪condi互tions盜asp箱rescr市ibed博inAr雜ticle久9of稀thes峰e(cuò)Mea謎sures賣.Whe洞rea慰spons擱orin哄stitu迫tion反issu孝bject壤toa曉nadm標(biāo)inist昌rativ圈epen述alty噸duet斃oam辮ateri堅(jiān)alvi皺olati鹿onof斑laws勤and遣regul襯ation悉s,th鄭eCSR羨Cmay佳revo樓keth煤equa蠅lific姥a(bǔ)tion至asa嗓spon撇sori務(wù)nstit它ution痕;or距ifth櫻espo姓nsor移insti荷tutio遵ncea置sest隨ocom死plyw悲itht盼heot餓herc節(jié)ondit腐ions圖aspr液escri槳bedi針nArt留icle卡9her食eof,產(chǎn)theC抬SRCm眨ayor瘦deri熱t(yī)to撈make杯corre皮ction緩swit再hint償hepr蘆escri巴bedt名imel蠢imit,咱and盲inca出seof獅the秋spons材orin真stitu伏tion'謠sfai踐lure映tome牲etth微ereq我uirem象ents化withi儲(chǔ)nsuc杯h(huán)tim輝elim錘it,t橫heCS墻RCma皮yrev萄okei蟻tsqu版alifi糟catio偶nas蔬aspo表nsor細(xì)insti語tutio孟n.亂勉揉第十五條圾

證券公肚司取得保薦控機(jī)構(gòu)資格后銀,應(yīng)當(dāng)持續(xù)循符合本辦法逗第九條規(guī)定插的條件。保理薦機(jī)構(gòu)因重樹大違法違規(guī)區(qū)行為受到行口政處罰的,孔中國證監(jiān)會(huì)些撤銷其保薦谷機(jī)構(gòu)資格;條不再具備第勉九條規(guī)定其攀他條件的,勢中國證監(jiān)會(huì)默可責(zé)令其限依期整改,逾嚇期仍然不符裝合要求的,牌中國證監(jiān)會(huì)蘇撤銷其保薦艇機(jī)構(gòu)資格。臣代Artic驢le16戲董

Af士tero叮btain墾ingt掙hequ戰(zhàn)alifi送catio興nof回aspo慎nsor欠repre羞senta半tive,車ani啊ndivi鼓dual泥shall煤cont忍inue背tome棟etth委econ潑ditio塌nsas屬pres石cribe鴿din拔sub-p格aragr汽aph(赴4),(票5),a挑nd(6咐)of削Artic憐le11縫oft挨hese競Measu仆res.滲Where談the碌secur暖ities員prac茂ticin探gcer史tific捧ateo欣fas拳ponso庸rrep確resen隨tativ給eis員revok定edor糟canc芒elled丘,or勉thes卵ponso鵲rrep習(xí)resen葬t(yī)ativ靈eis默impos雄edwi皮than悶admi村nistr戶ative留pena甩ltyo卻fthe刃CSRC倡,th痛eCSR裙Cwil薪lrev份oket求hequ原alifi括catio妖nof拋spons嚼orre詳prese歲ntati桃veof票the至indiv戀idual飲;or灰ifth餐eind職ividu鋼aldo虛esno斥tmee忌tthe緞othe揀rcon狂ditio艇ns,t櫻heCS題RCma棕yord亦ersu崇chin溫divid發(fā)ualt臣o(jì)mak緒ecor凱recti粉onsw困ithin祝the逃presc螞ribed狗peri床od,a疲ndwh駛eret架hein火divid千uals哥till錫fails炕tom獵eett故here翠quire餐ments毫beyo類ndth錯(cuò)etim寒elim燥it,t筐heCS爽RCwi脅llre聾voke殖such衛(wèi)perso告n'sq迅ualif剖icati槐onof也spon質(zhì)sorr衫epres蜜entat閱ive.正After岡pass僑ingt防hroug奶hthe稅comp綠etenc涂eexa多minat跟ionf信orsp瑞onsor刮repr垃esent炊ative芬asa案pprov般edby膝the挪CSRC擴(kuò)orob柏taini玩ngqu尸alifi腦catio調(diào)nof礙spons煮orre盯prese計(jì)ntati辛ve,a桿nind附ividu紋alsh靈allp奪artic密ipate客int牽heye瞎arly伯busin臘esst隙raini亡ngfo賠rspo烘nsor蠟repre允senta怕tive寧ona右regul悅arba燭sis,足asis踏cond販ucted肌bya權(quán)nins添titut挨iona趁pprov扎edby貴the夫Secur腥ities附Asso侮ciati究onof肺Chin牌aor直theC章SRC.灶Shoul秘das梅ponso申rrep臘resen罰tativ早efai偵lto噸parti餓cipat晶ein悠ther舊equis危itey洋early黑busi唉ness授train醉ingf四orsp這onsor懼repr趕esent踢ative塞,the剝CSRC保shal撤lrev天okes眾uchi械ndivi扶dual'脾squa豈lific曾ation州ofs烏ponso給rrep欠resen擴(kuò)tativ赤e.Sh元ould擇anin構(gòu)divid糖ualw金hoha菊spas周sedt財(cái)hroug帝hthe研comp目etenc不eexa傳minat鼠ionf臺orsp蛙onsor淡repr剖esent鄙ative缺,but詠has郊noto逝btain薯edth惹equa包lific插ation絡(luò)ofs殖ponso拌rrep撲resen琴tativ辨e,fa縣ilto會(huì)part碎icipa季tein堂the祝yearl竊ybus訓(xùn)iness紗trai詢ning混fors扇ponso蹈rrep蜘resen裳tativ飼e,th蹄eres迫ulti頌ncom策peten頭ceex樹amina軍tion盡fors躍ponso堆rrep鼻resen兩tativ貸eof絕thei譜ndivi弄dual漁shall義bei甲nvali銳d.遷亂第十六條原

個(gè)人取泳得保薦代表援人資格后,社應(yīng)當(dāng)持續(xù)符爹合本辦法第禿十一條第(紫四)項(xiàng)、第底(五)項(xiàng)和奪第(六)項(xiàng)恒規(guī)定的條件煩。保薦代表蛙人被吊銷、私注銷證券業(yè)城執(zhí)業(yè)證書,?；蛘呤艿街谢饑C監(jiān)會(huì)行會(huì)政處罰的,混中國證監(jiān)會(huì)痕撤銷其保薦冷代表人資格找;不再符合順其他條件的歪,中國證監(jiān)夜會(huì)責(zé)令其限貼期整改,逾稱期仍然不符固合要求的,岸中國證監(jiān)會(huì)輝撤銷其保薦固代表人資格災(zāi)。覆

個(gè)對人通過中國至證監(jiān)會(huì)認(rèn)可亮的保薦代表掃人勝任能力蹤考試或者取福得保薦代表鳳人資格后,躬應(yīng)當(dāng)定期參安加中國證券瞧業(yè)協(xié)會(huì)或者半中國證監(jiān)會(huì)載認(rèn)可的其他廟機(jī)構(gòu)組織的殼保薦代表人禍年度業(yè)務(wù)培政訓(xùn)。保薦代貿(mào)表人未按要慧求參加保薦槍代表人年度軍業(yè)務(wù)培訓(xùn)的犬,中國證監(jiān)金會(huì)撤銷其保輔薦代表人資廊格;通過保呀薦代表人勝贈(zèng)任能力考試浩而未取得保赴薦代表人資浴格的個(gè)人,伏未按要求參卸加保薦代表展人年度業(yè)務(wù)呈培訓(xùn)的,其雙保薦代表人烏勝任能力考唉試成績不再赤有效。女Artic滲le17昏屯The潛CSRC鬼condu撈ctsr屑egist襪ratio童nman緩ageme斯ntfo部rthe縱spon我sori孝nstit漸ution蔽sand算spon音sorr神epres建entat哈ives句inac攀corda資ncew趨ithl博aws.撈冰匪第十七條躬

中國證內(nèi)監(jiān)會(huì)依法對徹保薦機(jī)構(gòu)、驕保薦代表人折進(jìn)行注冊登扣記管理。輩Artic泰le18秒

R蔬egist策ered出items吃ofa你spon麗sori真nstit銅ution毒shal企linc虜lude:而會(huì)(1)N肥ameo賺fthe醬spon鼻sori提nstit搬ution壯,tim俘eof尊itse然stabl境ishme舊nt,r律egist孫ered餃capit矛al,r蒸egist趕ered夾addre牢ss,p競rinci刮palp爺lace暴ofbu黨sines按s,an策dleg恒alre和prese喘ntati娛ve;拋(2)P生rinci網(wǎng)pals品hareh滅older董sof兆thes允ponso膊rins塘titut夸ion;坦(3)D避irect正ors,液super唱visor風(fēng)s,an扛dsen號ioro殲ffice謝rsof埋the抖spons抽or;雷(4)P蠢erson展inc句harge羨oft棉hesp瓦onsor高busi歲ness毯andp凝erson腔inc址harge足ofi漿ntern奸alch饑ecko憐fthe唯spon饒sori篇nstit辰ution企;途(5)P梢erson凍inc黨harge鹽ofs上ponso橡rbus哪iness防depa摧rtmen制tof脖thes唱ponso衡rins鄰titut映ion;效(6)O委rgani處zatio盈nof年thes萍truct政uring瞧,wor燒kdiv菌ision禾,and講staf撥fing搜ofth百espo控nsor頓busin蛇essd燒epart購ment阻ofth承espo炕nsor廊insti晚tutio篇n;弱(7)P徹racti她sing糧exper拌ience泛sof宋thes獸ponso嘩rins益titut煙ion;渣and蛾(8)O飲ther允matte惡rsas元requ蹄ired粘byth悄eCSR挖C.鑒烘悶第十八條繞

保薦機(jī)宴構(gòu)的注冊登勁記事項(xiàng)包括看:懂

（盞一）保薦機(jī)欠構(gòu)名稱、成趴立時(shí)間、注檔冊資本、注況冊地址、主墳要辦公地址褲和法定代表殘人;拖

（今二）保薦機(jī)地構(gòu)的主要股瘋東情況;漢

（凱三）保薦機(jī)杜構(gòu)的董事、候監(jiān)事和高級床管理人員情末況;乘

（千四）保薦機(jī)罩構(gòu)的保薦業(yè)么務(wù)負(fù)責(zé)人、喂內(nèi)核負(fù)責(zé)人鮮情況;時(shí)

（靠五）保薦機(jī)豪構(gòu)的保薦業(yè)爐務(wù)部門負(fù)責(zé)屈人情況;鄭

（棕六）保薦機(jī)乓構(gòu)的保薦業(yè)星務(wù)部門機(jī)構(gòu)糖設(shè)置、分工呀及人員配置勸情況;懇

（繼七）保薦機(jī)蝴構(gòu)的執(zhí)業(yè)情岸況;霧

（燕八）中國證登監(jiān)會(huì)要求的努其他事項(xiàng)。個(gè)程Artic決le19敞童

Re貌giste焦redi隱tems洪ofa犬spons趴orre詞prese時(shí)ntati莫vesh真alli斃nclud防e:瞧(1)N遍ame,甩gende吐r,da鼓teof玩birt壇h,an灣dID誤No.o鑒fthe交spon狐sorr窯epres般entat淡ive;站(2)C暮ontac梅tpho舞nenu乞mber役anda僑ddres勸sof瓜thes培ponso墳rrep陜r(jià)esen問tativ貪e;覽(3)S糕ervic佩e(cuò)dep炭artme覺ntan從dpos召ition葵oft章hesp贈(zèng)onsor竟repr宅esent巴ative紅;燥(4)E嘉ducat指iona慘ndwo榮rkex悅perie捷nceo圈fthe給spon蝶sorr甲epres蓋entat互ive;影(5)P跳racti鑼cing羨areas丹oft閘hesp痰onsor惕repr獻(xiàn)esent仙ative游;and須旦(6)O法ther拘matte愛rsas秀requ鋸ired丘byth萬eCSR油C.也廚詢第十九條知

保薦代劃表人的注冊艇登記事項(xiàng)包冷括:拘

（都一）保薦代侵表人的姓名匹、性別、出幣生日期、身悠份證號碼;翠

（呢二）保薦代狼表人的聯(lián)系護(hù)、通訊監(jiān)地址;肚

（廁三）保薦代陵表人的任職孕機(jī)構(gòu)、職務(wù)碼;澤

（扒四）保薦代肥表人的學(xué)習(xí)拋和工作經(jīng)歷嚷;宣

（圖五）保薦代奶表人的執(zhí)業(yè)薪情況;退

（蜻六）中國證永監(jiān)會(huì)要求的孫其他事項(xiàng)。乎注Artic中l(wèi)e20伶表

In況the李event室ofa怕nych心ange捷inth堪ereg頓ister賢edit閱emso蝶fthe墻spon流sori艇nstit漸ution仇ort折hesp輩onsor氧repr譜esent食ative纖,the舟spon滑sors歪hall,艷with番infi句vewo量rking因days血from皆the堤date彩ofth挎echa蛇nge,懲make扮awri向tten蔑repor律tto滲theC押SRCf豎orre肺gistr鬼ation潑ofs頑uchc星hange影.德董第二十條干

保薦機(jī)侄構(gòu)、保薦代妖表人注冊登絕記事項(xiàng)發(fā)生盯變化的,保圣薦機(jī)構(gòu)應(yīng)當(dāng)陸自變化之日費(fèi)起5個(gè)工作仁日內(nèi)向中國隔證監(jiān)會(huì)書面混報(bào)告,由中征國證監(jiān)會(huì)予任以變更登記色。糕Artic欠le21尚屋

Sh鳴ould奮aspo載nsor辟repre棄senta極tive帝resig床nfro伐mthe繪orig揭inal寧spons哨orin攪stitu五tion寨andt網(wǎng)akeu另pemp妻loyme爸ntin凳anot炮hers配ponso富rins撓titut鋸ion,傘ther咸egist做ratio鳳nof旋such團(tuán)chang援esha梨llbe幻hand色ledw采itht船heCS圣RCth埋rough青ana俊pplic點(diǎn)ation阿file講dby父then魚ewsp腰onsor遷inst論ituti膝on,a償ndth異efol場lowin皂gmat屆erial姿sare醉tob胳esub劑mitte鏈d:憤(1)A棒pplic翁ation概repo稻rtfo回rreg鐮istra朗tion充ofth在echa幼nge;鋪(2)S突ecuri胞ties形pract醉icing司cert賞ifica可te;這(3)D鏡escri君ption儉oft堵heha哭ndove寫rof蜻thes晚ponso腳rbus暢iness彎int窩heor需igina孕l(wèi)spo脾nsor崖insti錄tutio怕nas繳produ臺cedb剝ythe碑spon榮sorr菌epres瓶entat頂ive;際(4)A月ccept燕ance帆lette遣ras戰(zhàn)produ嘗cedb拔ythe需new宵spons適orin丹stitu床tion;縮余(5)T請heco剃mmitm漿entl脾etter綠spec亞ifyin強(qiáng)gtha盈tthe劉new半spons繁orin低stitu突tion黨shall煎ber墨espon覆sible猛for鑼thea勻uthen宅ticit季y,ac私curac覆y,an喪dcom罷plete公ness黎ofth所eapp愈licat美iond單ocume呀ntsw悅hich岔shall綢bes怖igned堆byt依hech買airma旺nof勵(lì)theb刺oard沾ofdi輸recto銳rsor北gene圖ralm鑼anage化rof命then逝ewsp域onsor安inst穩(wěn)ituti遮on;a良nd倉(6)O盆ther邁mater若ials如asar最ereq疫uired勉byt鵲heCS本RC.倘鹽友第二十一條卻

保薦代豪表人從原保絨薦機(jī)構(gòu)離職演,調(diào)入其他梨保薦機(jī)構(gòu)的叔,應(yīng)通過新唉任職機(jī)構(gòu)向食中國證監(jiān)會(huì)偷申請變更登械記,并提交冒下列材料:摔杯

（崗一）變更登山記申請報(bào)告配;償

（投二）證券業(yè)隔執(zhí)業(yè)證書;誕

（信三）保薦代印表人出具的火其在原保薦蘋機(jī)構(gòu)保薦業(yè)殘務(wù)交接情況殲的說明;寧

（訴四）新任職尤機(jī)構(gòu)出具的飼接收函;企

（呆五）新任職肚機(jī)構(gòu)對申請派文件真實(shí)性暈、準(zhǔn)確性、熔完整性承擔(dān)滴責(zé)任的承諾項(xiàng)函，并應(yīng)由腿其董事長或莊者總經(jīng)理簽依字;被

（出六）中國證沈監(jiān)會(huì)要求的帆其他材料。擋稠Artic氧le22河撥

As書ponso沖rins旅titut纏ions迫hall膚make案anan敗nual違submi柿ssion籌,in務(wù)April宗,of姐thea潛nnual斷prac努ticin智grep午orti竭nclud脹ingt津hefo朋llowi妨ngco規(guī)ntent北sto恰theC魯SRC:

指瓣(1)D址escri多ption講ofa襖nnual左prac始tice圍ofth噴espo底nsor著insti繼tutio治nand梁spon凳sorr娘epres派entat工ive;獸(2)D吃escri亞ption親ofi處nspec棉tion慮ondu愚edil頁igenc峰e(cuò)wor微klog瞇oft握hesp掃onsor雨repr惹esent踩ative炊byt驕hesp槳onsor衫inst傘ituti臺on;雷(3)A就nnual疊exam番inati澆onan作dass弱essme鐮ntfo盡rthe井spon緣sorr請epres舟entat抖iveb醋ythe值spon庸sori猴nstit躺ution時(shí);扁(4)O邊ther躬impor附tant給matte壇rsof陵the該spons歉orin督stitu架tion填andt法hesp武onsor軟repr顯esent笛a(bǔ)tive疤;居(5)T溉heco的mmitm回entl寸etter披stat且ingt掠hatt院hesp薦onsor迫inst或ituti練onsh安allb龜eres換ponsi組blef抓orth局eaut徒henti雨city,暴accu冊racy,勿and劣compl防etene軟ssof膊the到annua您lpra劇ctisi苦ngre踩port,行whic己hsha更llbe傍sign贊edby苗the鍬gener貌alma慎nager后oft喜hesp臨onsor目inst古ituti福on;a森nd禍(6)O中ther井matte賠rsas陵requ接ired封byth丙eCSR盡C.芒淹木第二十二條運(yùn)

保薦機(jī)賀構(gòu)應(yīng)當(dāng)于每刮年4月份向扮中國證監(jiān)會(huì)穩(wěn)報(bào)送年度執(zhí)買業(yè)報(bào)告。年抵度執(zhí)業(yè)報(bào)告捷應(yīng)當(dāng)包括以叛下內(nèi)容:衫

（符一）保薦機(jī)邪構(gòu)、保薦代誕表人年度執(zhí)裂業(yè)情況的說推明;酸

（枕二）保薦機(jī)露構(gòu)對保薦代粱表人盡職調(diào)將查工作日志鑼檢查情況的拜說明;聲

（瓶三）保薦機(jī)孔構(gòu)對保薦代葵表人的年度鍛考核、評定姑情況;逆

（孔四）保薦機(jī)星構(gòu)、保薦代撫表人其他重容大事項(xiàng)的說油明;爽

（先五）保薦機(jī)傷構(gòu)對年度執(zhí)甲業(yè)報(bào)告真實(shí)惠性、準(zhǔn)確性謊、完整性承憂擔(dān)責(zé)任的承儀諾函，并應(yīng)權(quán)由其法定代旅表人簽字;樹

（律六）中國證卸監(jiān)會(huì)要求的索其他事項(xiàng)。虛花Chapt勿er3:份Resp暈onsib著iliti權(quán)esof抽Spon青sors陰廊

第態(tài)三章

保晚薦職責(zé)鵝度Artic駱le23讓改

A引spons原orin善stitu言tion棋shall予cons津cient物iousl親yrec評ommen膝dthe成secu依ritie呆sof蘋anis穗suer袖tobe碰issu行edan土dlis穴ted.絹Aspo魂nsor并insti舒tutio攏nsha恭llco需ntinu蓄ously醉guid畝eand祖supe它rvise綁over蠢ani滾ssuer營int崇hepe亞rform注ance晨ofob版ligat徹ions勇such短asst丙andar位dizin多gope咬ratio相n,ab化iding量bya訓(xùn)ssura找nces蒙given認(rèn)and科compl閥ying穗with靜infor豎matio盯ndis斷closu惑rere肆quire攪ments違subs疲equen誕tto筒thel指istin躍gof容secur卵ities壩.熟艙聽第二十三條撕

保薦機(jī)斃構(gòu)應(yīng)當(dāng)盡職絞推薦發(fā)行人桌證券發(fā)行上丘市。謊

發(fā)起行人證券上野市后,保薦父機(jī)構(gòu)應(yīng)當(dāng)持作續(xù)督導(dǎo)發(fā)行吳人履行規(guī)范輔運(yùn)作、信守谷承諾、信息哥披露等義務(wù)懸。垂Artic孫le24均