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Decision of China Securities Regulatory Commission on Amending the Measures for the Administration of Securities Registration and Settlement and Other Seven Regulations
1. Delete Item 2 and Item 3 of Article 10 of the Measures for the Administration of Securities Registration and Settlement.

Two items are added as items 10 and 11 of Article 11:

"(ten) major international cooperation and exchange activities, major Hong Kong, Macao and Taiwan affairs;

"(eleven) to formulate or adjust the main charging items and standards related to securities registration and settlement". 2. Article 10 of the Interim Measures for the Administration of the National Small and Medium-sized Enterprise Share Transfer System Co., Ltd. is amended as: "The new securities listed in the National Share Transfer System shall be reported to the China Securities Regulatory Commission, and the new transfer method shall be reported to the China Securities Regulatory Commission for approval."

"It shall be reported to the China Securities Regulatory Commission for approval" in Article 16 is amended as "It shall be reported to the China Securities Regulatory Commission for approval". Three. "It shall be approved by the China Securities Regulatory Commission" in Article 11 of the Trial Measures for the Supervision and Administration of Refinancing Business is amended as "It shall be reported to the China Securities Regulatory Commission for the record".

In Articles 23, 37 and 48, "implemented after being approved by the China Securities Regulatory Commission" is amended as "implemented after being reported to the China Securities Regulatory Commission for the record". Four. Item 9 of Article 10 of the Administrative Measures for Sponsorship of Securities Issuance and Listing is amended as: "(9) The latest net capital calculation table, risk capital reserve calculation table and risk control indicator supervision report that meet the requirements".

Item 6 of Article 11 is amended as: "(6) Other conditions stipulated by China Securities Association".

Delete Article 12.

Delete "an application for the qualification of a sponsor representative shall be approved or disapproved in writing within 20 working days from the date of acceptance" in Article 14.

Delete Article 16.

Delete the "sponsor representative" in Article 17.

Delete Article 19.

Delete the "sponsor representative" in Article 20.

Delete Article 21.

Article 63 is amended as: "The China Securities Regulatory Commission shall continuously and dynamically track and manage the sponsor institutions and their related personnel, and record their business qualifications, practice, illegal and irregular behaviors, other bad behaviors and regulatory measures taken against them. The sponsor's credit record is open to the public. "

Delete the second paragraph of article 65.

Delete article 81. V Article 6 of the Measures for the Administration of Futures Exchanges is amended as: "The establishment of a futures exchange shall be subject to the examination and approval of the China Securities Regulatory Commission. Without the approval of the State Council or China Securities Regulatory Commission, no unit or individual may set up a futures trading place or organize futures trading and related activities in any form. "

"It shall be approved by the China Securities Regulatory Commission" in Article 13 is amended as "It shall be reported to the China Securities Regulatory Commission in advance".

Paragraph 1 of Article 14 is amended as: "The merger, division or change of organizational form of a futures exchange shall be reported to the China Securities Regulatory Commission in advance."

"Approved by the China Securities Regulatory Commission" in the second paragraph of Article 17 is amended as "It shall report to the China Securities Regulatory Commission in advance".

"It shall be reported to the China Securities Regulatory Commission for approval" in the second paragraph of Article 18 is amended as "It shall be reported to the China Securities Regulatory Commission for approval in advance".

Article 61 is amended as: "Where a futures exchange implements a full settlement system or a hierarchical settlement system for its members, it shall report to the China Securities Regulatory Commission in advance."

Delete article 67.

Article 93 is amended as: "The formulation or amendment of articles of association and trading rules, listing, suspension, cancellation or resumption of trading varieties of a futures exchange shall be approved by the China Securities Regulatory Commission. When a futures exchange goes public, changes or terminates a contract, it shall report to the China Securities Regulatory Commission in advance. "

In the first paragraph of Article 94, "and report to the China Securities Regulatory Commission for approval" is amended as "and report to the China Securities Regulatory Commission in advance".

Article 95 is amended as: "A futures exchange shall report to the China Securities Regulatory Commission in advance when formulating or amending trading rules."

"It shall be approved by the China Securities Regulatory Commission" in Article 98 is amended as "It shall be reported in advance in accordance with the relevant provisions of the China Securities Regulatory Commission".

Article 68 of Article 110 of the Regulations on the Administration of Futures Trading is amended as Article 64 of the Regulations on the Administration of Futures Trading.

Article 69 of Article 111 of the Regulations on the Administration of Futures Trading is amended as Article 65 of the Regulations on the Administration of Futures Trading. The first item is amended as: "(1) change of name or undeclared registered capital".

Article 112 and Article 82 of the Regulations on the Administration of Futures Trading are amended as Article 78 of the Regulations on the Administration of Futures Trading. The intransitive verb changes "Article 56, paragraph 2 and Article 57 of the Regulations on the Administration of Futures Trading" in Item 6 of Article 14 of the Measures for the Supervision and Administration of Futures Companies to "Article 55, paragraph 2 and Article 56 of the Regulations on the Administration of Futures Trading".

Article 20 is amended as: "Where a futures company changes its legal representative, the legal representative to be appointed shall meet the post requirements. The futures company shall, within 5 working days from the date of completing the relevant industrial and commercial change registration, submit the following filing materials to the dispatched office of the China Securities Regulatory Commission:

"(a) Submission of reports;

"(2) A copy of the changed business license;

"(3) company resolution documents;

"(four) the legal representative of the futures business qualification certificate, qualification certificate;

"(five) the original and copy of the futures business license of the futures company;

"(6) Other documents required by the China Securities Regulatory Commission."

Article 21 "Where a futures company changes its domicile, it shall properly handle its clients' assets, and the domicile to be moved in and the facilities to be used shall meet the business needs" is amended as "Where a futures company changes its domicile or business premises, it shall properly handle its clients' assets, and the domicile to be moved in and the facilities to be used shall meet the business needs, and it shall report to the dispatched office of China Securities Regulatory Commission within 5 working days from the date of completing the relevant industrial and commercial change registration".

Article 22 is amended as: "Where a futures company changes its domicile or business premises, it shall submit the following filing materials to the dispatched office of China Securities Regulatory Commission where it intends to move:

"(a) Submission of reports;

"(2) A copy of the changed business license;

"(3) company resolution documents;

"(4) the disposition of the customer's assets and the explanation that the changed domicile and facilities meet the needs of futures business;

"(five) the certificate of ownership or use right of the changed residence and the certificate of fire control qualification;

"(6) The opinion issued by the chief risk officer that the company meets the relevant conditions;

"(seven) the original and photocopy of the futures business license of the futures company;

"(eight) other documents required by the China Securities Regulatory Commission.

"When submitting the filing materials, the futures company shall also send a copy of the filing materials to the dispatched office of the China Securities Regulatory Commission where it intends to move out."

The first paragraph of Article 23 is amended as: "When a futures company establishes a domestic branch such as a sales department or a branch, it shall report to the dispatched office of the China Securities Regulatory Commission where the company is domiciled within five working days from the date of completing the registration of relevant industrial and commercial establishment." In the second paragraph, "the futures company applies for establishing a branch" is amended as "the futures company establishes a domestic branch".

Article 24 is amended as: "When establishing a domestic branch, a futures company shall submit the following filing materials to the dispatched office of the China Securities Regulatory Commission where the company is domiciled:

"(a) Submission of reports;

"(two) a copy of the business license of the branch;

"(3) company resolution documents;

"(four) the qualification certificate of the person in charge of the branch;

"(5) the roster of employees of branches and the qualification certificate of futures practice;

"(six) the certificate of ownership or use right of the business premises and the certificate of fire control qualification;

"(7) The opinion that the company meets the relevant conditions issued by the chief risk officer;

"(eight) other documents required by the China Securities Regulatory Commission.

When submitting the filing materials, the futures company shall also send a copy of the filing materials to the dispatched office of the China Securities Regulatory Commission where the branch is to be established.

Article 26 is amended as: "Where a futures company terminates a domestic branch, it shall first properly handle the customer assets of the branch, settle the business of the branch and terminate its business activities, and submit the following filing materials to the dispatched office of the China Securities Regulatory Commission where the branch is located within five working days from the date of completing the above work:

"(a) Submission of reports;

"(2) company resolution documents;

"(3) An explanation of handling the customer assets of the branch, clearing the futures business and terminating the business activities;

"(four) in the newspapers and periodicals designated by the China Securities Regulatory Commission;

"(5) The opinion issued by the chief risk officer that the company meets the relevant conditions;

"(six) other documents required by the China Securities Regulatory Commission.

When submitting the filing materials, the futures company shall also send a copy of the filing materials to the dispatched office of the China Securities Regulatory Commission where the company is domiciled.

Article 27 "A futures company shall meet the following conditions when applying for the establishment, acquisition or equity participation of an overseas futures operating institution" is amended as "A futures company shall meet the following conditions when establishing, acquiring, equity participation or terminating an overseas futures operating institution, and shall report to the China Securities Regulatory Commission within 5 working days from the effective date of the company resolution".

Article 28 is amended as: "A futures company shall, within five working days from the date of obtaining the approval documents from the relevant overseas regulatory authorities, submit the following filing materials to the China Securities Regulatory Commission:

"(a) Submission of reports;

"(2) Articles of association of overseas futures operating institutions;

"(three) the approval documents of the relevant overseas regulatory authorities;

"(4) The regulatory agency of the country or region where the overseas institution to be established, acquired or held shares has signed a memorandum of understanding on regulatory cooperation with the China Securities Regulatory Commission;

"(five) other information required by the China Securities Regulatory Commission.

"Where a futures company changes the registered capital or equity of an overseas futures operating institution, it shall submit the following filing materials to the China Securities Regulatory Commission within 5 working days from the date of obtaining the approval documents from the relevant overseas regulatory authorities:

"(a) Submission of reports;

"(2) The audited financial report for the latest year;

"(3) Other materials required by the China Securities Regulatory Commission."

The first paragraph of Article 30 and Article 21 of the Regulations on the Administration of Futures Trading is amended as the first paragraph of Article 20 of the Regulations on the Administration of Futures Trading.

In the second paragraph of Article 38, "Paragraph 2 and Paragraph 4 of Article 57 of the Regulations on the Administration of Futures Trading" is amended as "Paragraph 2 and Paragraph 4 of Article 56 of the Regulations on the Administration of Futures Trading".

Article 29 of Article 76 of the Regulations on the Administration of Futures Trading is amended as Article 28 of the Regulations on the Administration of Futures Trading.

Article 88 Article 56 of the Regulations on the Administration of Futures Trading is amended as Article 55 of the Regulations on the Administration of Futures Trading.

Article 56 of Paragraph 2 of Article 90 of the Regulations on the Administration of Futures Trading is amended as Article 55 of the Regulations on the Administration of Futures Trading.

Article 93 Article 67 of the Regulations on the Administration of Futures Trading is amended as Article 66 of the Regulations on the Administration of Futures Trading.

Article 94 Article 68 of the Regulations on the Administration of Futures Trading is amended as Article 67 of the Regulations on the Administration of Futures Trading.