Article 2 The term "administrative license" as mentioned in these Provisions refers to the act of authorizing a natural person, legal person or other organization (hereinafter referred to as the applicant) to engage in specific activities in the securities and futures market after being examined by the China Securities Regulatory Commission according to law.
Article 3 These Provisions shall apply to the procedures for the implementation of administrative licensing by China Securities Regulatory Commission.
After the applicant has obtained the administrative license according to law, these Provisions shall apply to the change and extension of the validity period of the administrative license.
Article 4 The China Securities Regulatory Commission shall implement administrative licensing in accordance with the statutory authority, scope, conditions and procedures, and follow the principles of openness, fairness, impartiality and convenience, so as to improve work efficiency and provide quality services.
Where laws and administrative regulations stipulate that the implementation of administrative licensing shall follow the principle of prudent supervision, such provisions shall prevail.
Article 5 The China Securities Regulatory Commission may authorize its dispatched offices to implement administrative licensing according to law. The administrative license authorized for implementation shall be decided in the name of this organ.
Article 6 The China Securities Regulatory Commission shall implement the systems of unified acceptance, unified delivery, one-time notification for correction, explanation of reasons and publicity. Section 1 Acceptance
Article 7 The China Securities Regulatory Commission shall implement the administrative license, and the specialized agency (hereinafter referred to as the accepting department) shall accept the application for administrative license.
Article 8 When the applicant submits the application materials, the accepting department shall require the applicant to show his/her letter of introduction, identity card and other identity documents and check them. Where the applicant entrusts others to submit the application materials, the accepting department shall also require the trustee to submit the applicant's power of attorney and show the identity certificate of the trustee. The accepting department shall keep copies of the identity documents of the applicant and the applicant's client.
When submitting application materials, the applicant shall fill in the application materials registration form.
Article 9 If the accepting department finds that the application matters do not need to obtain administrative license according to law or do not fall within the scope of the China Securities Regulatory Commission, it shall immediately inform the applicant that it will not be accepted and issue a notice of rejection. If the application matters do not fall within the scope of authority of China Securities Regulatory Commission according to law, it shall also inform the applicant to apply to the relevant administrative organ.
Article 10 After receiving the application materials, the accepting department shall go through the registration formalities in time and issue a receipt of the application materials to the applicant.
Article 11 The department responsible for reviewing the application materials (hereinafter referred to as the review department) conducts formal review of the application materials. If the applicant needs to make corrections to the application materials, it shall make a one-time request for all corrections within five working days from the date of issuing the acceptance certificate. The examination department shall not ask the applicant to supplement the application materials many times.
Article 12 Where the applicant needs to make corrections to the application materials, the accepting department shall issue a notice of correction; If the applicant needs to use the submitted application materials to correct the application materials, it shall return the application materials to the applicant and register them.
The applicant shall submit the application materials for correction within 30 working days from the date of issuance of the correction notice.
The accepting department is responsible for receiving and registering the corrected application materials submitted by the applicant as required.
Article 13 Where an applicant requests to withdraw his application before making a decision on acceptance, the accepting department shall examine and save the identity documents (or copies), power of attorney and withdrawal report of the applicant or his client, recover the receipt certificate of the application materials, and return the application materials to the applicant after registration.
If the application materials are returned to the applicant, a copy (or photocopy) of the application materials shall be kept.
Article 14 The application matters fall within the scope of authority of China Securities Regulatory Commission. If the application materials are complete and conform to the statutory form, the acceptance department shall issue a notice of acceptance.
If the applicant decides to accept it, in accordance with the provisions of laws and administrative regulations, the accepting department shall notify the applicant to pay in advance and receive the notice of acceptance with the payment voucher.
Fifteenth the applicant has one of the following circumstances, make a decision not to accept the application:
(a) notify the applicant to correct the application materials, and the applicant fails to submit all the corrected application materials within 30 working days;
(two) the application materials submitted by the applicant within 30 working days are still incomplete or inconsistent with the statutory form;
(3) Other circumstances stipulated by laws, administrative regulations and the China Securities Regulatory Commission.
If it decides not to accept the application, the accepting department shall issue a notice of rejection to inform the applicant or his client to retrieve the application materials. If the applicant or his agent takes back the application materials, the accepting department shall check and keep the identity certificate (or copy) and power of attorney of the applicant or his agent, and return the application materials to the applicant after registration.
Article 16 The decision of acceptance or rejection shall be made within 5 working days from the date of issuing the receipt certificate of the application materials or within 2 working days from the date of receiving all the corrected application materials. Failing to make a decision or inform the applicant to supplement the application materials within the time limit, it shall be accepted as of the date of issuing the receipt certificate of the application materials.
Section 2 Inspection and Investigation
Seventeenth review department in the process of reviewing the application materials, that the applicant needs to make a written explanation, explanation, in principle, should be summarized into written feedback. The applicant shall submit a written reply within the time limit prescribed by the examination department; If there are difficulties, you can submit a written extension reply report and explain the reasons.
If it is really necessary for the applicant to further explain and explain, the examination department may submit a second written feedback and require the applicant to submit a written reply within 30 working days from the date of sending the written feedback.
The applicant's written reply is not clear and the situation is complicated, so it is difficult for the examination department to make an accurate judgment. With the approval of the person in charge of the China Securities Regulatory Commission, the number of written feedback can be increased, and the applicant is required to submit a written reply within 30 working days from the date of issuing written feedback.
Written feedback shall be informed by the accepting department and delivered to the applicant. The written reply submitted by the applicant shall be received and registered by the accepting department.
The staff of the review department responsible for reviewing the application materials shall not take the initiative to contact the applicant or its client on the application matters before the first written feedback is informed and delivered to the applicant.
Article 18 If the applicant needs to explain and explain the written reply submitted by himself, the examination department shall assign two or more staff members to talk with the applicant, the intermediary agency hired by the applicant or the client of the applicant in the office. Involving major issues, the examination department shall make minutes of the meeting, which shall be signed and confirmed by the staff of the examination department, the applicant attending the meeting, the intermediary agency hired by the applicant or the client of the applicant.
If the written reply submitted by the applicant needs to be explained, if the matter is simple, the staff of the examination department can handle it by telephone, fax or email, and make and save relevant telephone records, faxes or emails.
Nineteenth in the process of examining the application materials, according to the statutory conditions and procedures, the examination department may directly or entrust an agency to conduct on-the-spot verification of the relevant contents of the application materials.
The relevant report materials, the China Securities Regulatory Commission and its dispatched offices can be verified by the following ways:
(a) require the applicant to make a written explanation;
(two) require the relevant intermediary agencies with legal responsibilities to make a written explanation;
(3) Entrusting relevant intermediaries to conduct on-the-spot verification;
(4) Direct on-site verification;
(5) Other verification methods stipulated by laws, administrative regulations and China Securities Regulatory Commission.
Where on-site verification is required, the China Securities Regulatory Commission and its dispatched offices shall assign two or more staff members to conduct verification.
Section III Decisions
Twentieth in the process of examination of application materials, the applicant has one of the following circumstances, it shall make a decision to terminate the examination and notify the applicant:
(a) the applicant voluntarily requests to withdraw the application;
(2) The applicant is a natural person, and the natural person has died or lost his capacity for civil conduct;
(3) The applicant is a legal person or other organization, and the legal person or other organization is terminated according to law;
(four) the applicant fails to submit a written reply within the prescribed time limit, nor does it submit an extension reply report, or submits an extension reply report, but does not explain the reasons or the reasons are insufficient;
(five) the applicant fails to submit a written reply within 30 working days as stipulated in the second and third paragraphs of Article 17 of these Provisions.
Article 21 Where an applicant voluntarily requests to withdraw his application, he shall submit a written report to the accepting department, which shall issue a notice of termination of examination, check and save the identity certificate (or photocopy) and power of attorney of the applicant or his client, keep a copy of the application materials, and return the application materials to the applicant after registration.
Twenty-second in the process of examining the application materials, in any of the following circumstances, it shall make a decision to suspend the examination and notify the applicant:
(a) the applicant is investigated by the administrative organ for suspected violation of laws and regulations, or by the judicial organ, and the case has not been closed, which has a great impact on its administrative licensing matters;
(2) The applicant has been taken by the China Securities Regulatory Commission to restrict business activities, order it to suspend business for rectification, designate other institutions for custody, take over and other regulatory measures according to law, and has not been lifted;
(three) the provisions of the relevant laws, administrative regulations and rules need to be further clarified, requiring the relevant authorities to make an explanation;
(4) The applicant voluntarily requests to suspend the examination, and the reason is justified.
Where laws, administrative regulations and rules provide otherwise for the circumstances mentioned in the preceding paragraph, such provisions shall prevail.
Article 23 If the examination is suspended due to the circumstances specified in Items (1) to (3) of Paragraph 1 of Article 22 of these Provisions, the China Securities Regulatory Commission will resume the examination after the circumstances disappear and notify the applicant.
Where the applicant voluntarily requests to suspend the examination, it shall submit a written application to the accepting department. Agree to suspend the review, the accepting department shall issue a notice of suspension of the review. The applicant who applies for resuming the examination shall submit a written application to the accepting department. Agree to resume the review, the accepting department shall issue a notice of resumption of the review.
Article 24 The China Securities Regulatory Commission shall decide whether to approve or disapprove the administrative license according to whether the applicant's application meets the statutory conditions and standards.
If it decides not to grant an administrative license, it shall explain the reasons in the decision, and inform the applicant of the right to apply for administrative reconsideration or bring an administrative lawsuit according to law.
Twenty-fifth to make a decision to grant an administrative license, an administrative license certificate must be issued, and the following administrative license certificates must be issued to the applicant:
(a) the approval documents of the China Securities Regulatory Commission;
(2) Qualification certificate, qualification certificate or other qualification certificate;
(3) License, license or other license certificates;
(four) other administrative licensing documents as prescribed by laws and administrative regulations. Article 26 The provisions of this chapter shall apply to the implementation procedures of administrative license with simple matters, clear examination standards and standardized application materials.
The administrative licensing matters applying summary procedure shall be announced by the China Securities Regulatory Commission.
Article 27 For an administrative license applying summary procedure, the accepting department shall conduct formal examination on the spot, and directly make a decision on whether to accept or request correction of the application materials. If there are errors in the application materials that can be corrected on the spot, the accepting department shall allow the applicant to correct them on the spot.
Twenty-eighth in the process of applying the summary procedure to examine the application for administrative license, the examination department may orally put forward the problems existing in the application materials to the applicant, ask the applicant to explain and explain, and shall make relevant records and sign them for preservation. If written feedback is really necessary, it shall be handled in accordance with the provisions of Article 17 of these Provisions.
Twenty-ninth administrative licensing procedures, by the examination department in accordance with the authorization of the person in charge of the China Securities Regulatory Commission, make a decision to approve or disapprove the administrative license, and affix the seal of the China Securities Regulatory Commission. Thirtieth agencies to conduct a preliminary examination, the China Securities Regulatory Commission to review and make a decision on administrative licensing, the agency shall receive and register the application materials in accordance with the provisions of the first section of Chapter II, make a decision on whether to accept and serve it on the applicant.
China Securities Regulatory Commission shall, according to the review and the preliminary examination opinions of the dispatched offices, make a decision on whether to approve or disapprove the administrative license.
Article 31 The China Securities Regulatory Commission shall examine the administrative license issued by the dispatched office and issue written opinions, and its acceptance shall be handled in accordance with the provisions of Section 1 of Chapter II of these Provisions.
The China Securities Regulatory Commission shall make a decision on whether to grant an administrative license according to the review and the opinions of the dispatched offices.
Article 32 The administrative license jointly decided by the China Securities Regulatory Commission and other administrative organs according to law shall be hosted by the China Securities Regulatory Commission, and its acceptance matters shall be handled in accordance with the provisions of Section 1 of Chapter II of these Provisions.
China Securities Regulatory Commission put forward audit opinions and forwarded the application materials to relevant administrative organs for audit and countersignature. After the relevant administrative organs review the countersignature, the China Securities Regulatory Commission will make a decision on whether to approve or disapprove the administrative license according to the countersignature.
Article 33 Where an administrative license is jointly decided by the China Securities Regulatory Commission and other administrative organs according to law and sponsored by other administrative organs, the accepting department shall receive and register the application materials.
After being audited and countersigned by China Securities Regulatory Commission, it shall be returned to the host administrative organ or transferred to other administrative organs that need countersigned. Article 34 Except for the administrative license preliminarily examined by the dispatched office and the administrative license jointly decided by the China Securities Regulatory Commission and other administrative organs as stipulated in Chapter IV of these Provisions, the China Securities Regulatory Commission shall make a decision on the administrative license within 20 working days from the date of accepting the application. If an administrative licensing decision cannot be made within 20 working days, it may be extended by 10 working days with the approval of the person in charge of the China Securities Regulatory Commission, and the accepting department will inform the applicant of the reasons for the extension. However, if there are other provisions in laws and administrative regulations, those provisions shall prevail.
Article 35 After an agency conducts a preliminary examination, and the China Securities Regulatory Commission makes a decision on administrative license, the agency shall complete the examination within 20 working days from the date of accepting the application for administrative license, and submit the preliminary examination opinions and all application materials to the China Securities Regulatory Commission. China Securities Regulatory Commission shall make a decision on administrative license within 20 working days from the date of receiving the above materials. However, if there are other provisions in laws and administrative regulations, those provisions shall prevail.
Article 36 Where the applicant is required to explain and explain the problems existing in the application materials, the time from the date of sending the written feedback to the date of receiving the written reply from the applicant shall not be counted in the time limit specified in this chapter.
Article 37 Where it is necessary to conduct on-the-spot verification of an application for administrative license or verify relevant report materials, the time from the date of making the verification decision to the end of the verification shall not be counted in the time limit specified in this chapter.
Article 38 For an administrative license that requires expert review according to law, the time from the date when the experts are notified in writing to attend the review meeting to the end of the review meeting shall not be counted in the time limit specified in this chapter. The acceptance department shall indicate the time required for the expert review meeting in the acceptance notice.
Thirty-ninth in accordance with the provisions of the suspension of the examination of administrative licensing applications, the time from the date of written notice to suspend the examination to the date of written notice to resume the examination shall not be counted in the time limit stipulated in this chapter.
Article 40 Where a decision is made to approve or disapprove the administrative license, the applicant shall be served with the administrative license certificate specified in Article 25 of these Provisions or a written decision to approve or disapprove the administrative license within 10 working days from the date of making the decision.
Article 41 In the process of accepting and reviewing the administrative license, the application materials receipt voucher, notice of correction, notice of acceptance, notice of rejection, written feedback and other administrative license documents shall be stamped with the special seal for administrative license of China Securities Regulatory Commission.
For the administrative license of the first instance of the dispatched office, the relevant administrative license documents issued by the dispatched office in the acceptance link shall use the letter stamped with the special seal for administrative license of China Securities Regulatory Commission.
Notice of suspension of examination, notice of resumption of examination, notice of termination of examination, certificate of administrative license as stipulated in Article 25 of these Provisions, and decision of disapproval of administrative license, etc. The administrative licensing decision link shall be stamped with the seal of China Securities Regulatory Commission.
Article 42 Administrative licensing documents such as rectification notice, acceptance notice, rejection notice, written feedback notice, suspension notice, resumption notice, termination notice, administrative license certificate, decision not to grant administrative license as stipulated in Article 25 of these Provisions. The acceptance department shall inform and serve the applicant in a unified way according to the contact information and delivery method selected by the applicant, and the acceptance department shall record and file the delivery.
The administrative licensing decision made in accordance with Articles 30 and 31 of these Provisions shall also be copied to the relevant authorities.
Forty-third administrative licensing documents can be sent to the applicant by mail, and the applicant can collect them, and the applicant can entrust others to collect them and make an announcement.
Article 44 Where an applicant requests to mail an administrative license document, the accepting department shall send it by registered mail or express mail, with a receipt attached, and the name of the administrative license document shall be written on the cover of the registered mail or express mail. The accepting department shall promptly ask the postal department for a receipt from the postal department to prove the applicant's receipt.
Forty-fifth when the applicant obtains the certificate of administrative license, the accepting department shall require the applicant to show the letter of introduction, identity card and other identity documents and sign for it. If the applicant entrusts others to collect it, the accepting department shall require the trustee to show the applicant's power of attorney and the identity certificate of the trustee and sign for it. The accepting department shall keep copies of the identity documents of the applicant and the applicant's client.
Article 46 If the applicant fails to receive the administrative license documents within five working days after receiving the notice, and the accepting department cannot deliver them by mail or other means, it may announce the delivery. 60 days after the date of announcement, it shall be deemed to have been delivered. Article 47 The matters, basis, conditions, quantity, procedures and time limit of administrative license, as well as the catalogue of all application materials and the model text of the application form that the applicant needs to submit shall be publicized for the convenience of the applicant.
National examinations should be held according to law to give citizens specific qualifications to engage in securities and futures business. The qualification examination registration conditions, registration methods, examination subjects and examination outline should be publicized in advance.
Article 48 The China Securities Regulatory Commission shall make publicity in the following ways:
(1) Published on the website of China Securities Regulatory Commission;
(two) printed administrative licensing manual, and placed in the office;
(three) posted in the office;
(4) Other effective and convenient publicity methods.
Article 49 Where the applicant requests to explain and explain the contents of the publicity, the examination department shall explain and explain.
Article 50 A decision on whether to grant or not to grant an administrative license shall be published on the Internet website of China Securities Regulatory Commission within 20 working days from the date of making the decision; Except those involving state secrets, business secrets and personal privacy.
The China Securities Regulatory Commission regularly issues announcements, including the decisions made by the China Securities Regulatory Commission and its dispatched offices to approve or disapprove the administrative license. Article 51 Where there are other provisions in laws and administrative regulations on the procedures for implementing administrative licensing, those provisions shall prevail.
These regulations are principled. China Securities Regulatory Commission rules and regulatory documents have specific procedures, in accordance with the specific procedures.
The provisions of Chapter II shall apply to other procedures not specified in Chapters III and IV of these Provisions.
Fifty-second China Securities Regulatory Commission acceptance department, examination department, agencies and their staff in violation of these provisions in the implementation of administrative licensing activities, in accordance with the provisions of the relevant administrative licensing law enforcement supervision.
Article 53 These Provisions shall come into force on February 1 day, 2065. The Provisions of China Securities Regulatory Commission on the Procedures for the Implementation of Administrative Licensing (Trial) (Jian Zheng Fa [2004] No.62) shall be abolished at the same time.