证券发行与承销管理办法 英文版是什么？.doc

证券发行与承销管理办法 英文版是什么？ i general provisions;ii inquiry and price-fixing;iii securities offering;iv securities underwriting;v information disclosure。 证券发行不是说上市就可以上市的，公司分为上市公司、有限责任公司等，我国对证券发行是有着严格的规定的，成立证券监督委员会的意义也是在此。有些读者需要相关的英文内容，那么证券发行与承销管理办法 英文版是什么?下面请随小编一起来了解一下。证券发行与承销管理办法 英文版是什么?chapter 1: general provisions第一章 总则article 1 these measures are formulated in accordance with the securities law, the decision of the state council on application of administrative approval to programs requiring administrative review and approval that need to be reserved (order no. 412 of the state council) and other applicable laws and regulations to regulate securities issuing and listing sponsor business, improve the quality of listed companies and the practice of securities companies and protect the rights and interests of investors.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。article 2 an issuer shall engage a securities company with sponsor qualification to act as the sponsor institution for any of the following matters:(1) initial public offering and listing;(2) issuing new stocks or convertible corporate bonds by a listed company;(3) other circumstances specified by china securities regulatory commission (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。 证券发行与承销管理办法 英文版第三条 article 3 a securities company that engages in the issuance of securities and listing sponsor business shall apply to the csrc for qualification of sponsor institution.a sponsor institution shall appoint individuals who have obtained the qualification for a sponsor representative in accordance with these measures for the purpose of performing sponsor duties and to be in charge of sponsor business.no institution or individual shall engage in sponsor business without prior approval from the csrc.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。article 4 a sponsor institution and its sponsor representatives shall abide by the laws and administrative regulations as well as the csrcs relevant rules, shall observe its business rules and the code of the industry, be honest, faithful and diligent in sponsoring the issuance of securities and listing, conduct continuous supervision to ensure the issuers performance of the obligations of standardized operation, integrity and information disclosure.neither the sponsor institution nor the sponsor representative may seek unlawful interests through its sponsor business.第四条 保荐机构及其保荐代表人应当遵守法律、行政法规和中国证监会的相关规定,恪守业务规则和行业规范,诚实守信,勤勉尽责,尽职推荐发行人证券发行上市,持续督导发行人履行规范运作、信守承诺、信息披露等义务。保荐机构及其保荐代表人不得通过从事保荐业务谋取任何不正当利益。article 5 a sponsor representative shall abide by the code of professional ethics, cherish and protect the professional reputation of the sponsor representative, function with due professional caution, and maintain and continually improve upon its competency levels.the sponsor representative shall safeguard the interests and rights of the issuer and maintain confidentiality regarding the information about the issuer obtained through its sponsor business. the sponsor representative shall adhere to the principle of independent performance, shall not sacrifice its objective and impartial position to impropriate requests of the issuer, and shall not deceive the issuer or its securities service institution to engage in illegal or fraudulent activities, or participate in such activities.the sponsor representative or his/her spouse shall not hold the stocks of the issuer through any account or in any other way.第五条 保荐代表人应当遵守职业道德准则,珍视和维护保荐代表人职业声誉,保持应有的职业谨慎,保持和提高专业胜任能力。保荐代表人应当维护发行人的合法利益,对从事保荐业务过程中获知的发行人信息保密。保荐代表