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

驻华代表机构管理办法 (3)

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


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


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:












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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