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UPDATED: August 29, 2007 NO.34 AUG.23, 2007

境外证券交易所
驻华代表机构管理办法 (3)

Measures for the Administration of Foreign Stock Exchanges' Representative Offices in China

2007年05月20日中国证券监督管理委员会颁布,
自2007年7月1日起施行

Promulgated by the China Securities Regulatory Commission on May 20, 2007 and effective as of July 1, 2007

 
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第六条 申请人只能申请设立一个代表处,申请时应当向中国证监会提交下列材料:

(一)由董事长(理事长)或总经理签署的致中国证监会的申请书;

(二)所在国家或地区金融监管当局出具的同意申请人设立代表处的意见书或其他有关文件;

(三)所在国家或地区有关主管当局核发的、经所在国家或地区有权进行公证、认证的机构公证、认证并经中国驻该国使(领)馆认证的营业执照或合法开业证明的复印件;

(四)交易所章程和主要业务规则;

(五)董事会(理事会)成员名单、管理层人员名单;

(六)最近三年的年报;

(七)代表处设立方案,包括但不限于设立的目的、必要性、工作规划、内部机构设置与人员配备、管理制度及办公场所选址等内容;

(八)由董事长(理事长)或总经理签署的首席代表授权书;

(九)申请人就拟任首席代表没有因重大违法违规行为受到处罚的声明,且该声明经过申请人所在国家或地区公证机构的公证;

(十)拟任首席代表的身份证明、学历证明和简历;

(十一)中国证监会要求提交的其他文件。

Article 6

An applicant can only apply for establishing one representative office, and at the time of application, it shall submit the materials as follows to the CSRC:

(1) An application letter as signed by the board chairman (director-general) or the general manager to the CSRC;

(2) A written opinion or any other related document issued by the financial supervision authority of the country or region where the applicant is located on approval of establishing such a representative office by the applicant;

(3) A copy of the business license or of the attestation on lawfully opening business as issued upon verification by the related competent authority of the country or region where the applicant is located, notarized or certified by a competent notary or certification institution in the country or region where the applicant is located, and certified by the Chinese embassy or consulate accredited to that country;

(4) Articles of association and main business rules of the applicant;

(5) A name list of board of directors (board of governors) and the management personnel;

(6) The annual reports for the latest three years;

(7) A scheme on establishing the representative office, including, but not limited to, the purposes and necessity of the establishment, working plan, setup of internal organs and personnel arrangement, management systems and office site, etc.;

(8) A power of attorney as signed by the board chairman (governor-general) or general manager on appointing the chief representative;

(9) A declaration that the applicant published, which declares the chief representative to-be has no record of penalty due to any serious violation of law or regulation, and which shall be notarized by a notary institution in the country or region where the applicant is located;

(10) The identity certificate, academic credentials and resume of the chief representative to-be; and

(11) Other documents required to be filed by the CSRC.



 
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