证券发行上市业务管理办法中英文版

MeasuresfortheAdministrationoftheSponsorBusinessofSecuritiesIssuanceandListing证券发行上市保荐业务管理办法PromulgatingInstitution:ChinaSecuritiesRegulatoryCommissionDocumentNumber:DecreeNo.63oftheChinaSecuritiesRegulatoryCommissionPromulgatingDate:05/13/2009EffectiveDate:06/14/2009ValidityStatus:Valid颁布机关:中国证券监督管理委员会文号:中国证券监督管理委员会令第63号颁布时间:05/13/2009实施时间:06/14/2009效力状态:有效Text正文(Adoptedatthe235thchairmanofficemeetingoftheChinaSecuritiesRegulatoryCommissiononAugust14,2008andrevisedinaccordancewiththeDecisionoftheChinaSecuritiesRegulatoryCommissiononRevisingtheMeasuresfortheAdministrationoftheSponsorBusinessofSecuritiesIssuanceandListingpromulgatedbytheChinaSecuritiesRegulatoryCommissiononMay13,2009)（2008年8月14日中国证券监督管理委员会第235次主席办公会议审议通过，根据2009年5月13日中国证券监督管理委员会《关于修改〈证券发行上市保荐业务管理办法〉的决定》修订）Chapter1:GeneralProvisionsArticle1TheseMeasuresareformulatedinaccordancewiththeSecuritiesLaw,theDecisionoftheStateCouncilonApplicationofAdministrativeApprovaltoProgramsRequiringAdministrativeReviewandApprovalThatNeedtobeReserved(OrderNo.412oftheStateCouncil)andotherapplicablelawsandregulationstoregulatesecuritiesissuingandlistingsponsorbusiness,improvethequalityoflistedcompaniesandthepracticeofsecuritiescompaniesandprotecttherightsandinterestsofinvestors.第一章总则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。Article2Anissuershallengageasecuritiescompanywithsponsorqualificationtoactasthesponsorinstitutionforanyofthefollowingmatters:(1)Initialpublicofferingandlisting;(2)Issuingnewstocksorconvertiblecorporatebondsbyalistedcompany;(3)OthercircumstancesspecifiedbyChinaSecuritiesRegulatoryCommission(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。Article3AsecuritiescompanythatengagesintheissuanceofsecuritiesandlistingsponsorbusinessshallapplytotheCSRCforqualificationofsponsorinstitution.AsponsorinstitutionshallappointindividualswhohaveobtainedthequalificationforasponsorrepresentativeinaccordancewiththeseMeasuresforthepurposeofperformingsponsordutiesandtobeinchargeofsponsorbusiness.NoinstitutionorindividualshallengageinsponsorbusinesswithoutpriorapprovalfromtheCSRC.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。Article4AsponsorinstitutionanditssponsorrepresentativesshallabidebythelawsandadministrativeregulationsaswellastheCSRC'srelevantrules,shallobserveitsbusinessrulesandthecodeoftheindustry,behonest,faithfulanddiligentinsponsoringtheissuanceofsecuritiesandlisting,conductcontinuoussupervisiontoensuretheissuer'sperformanceoftheobligationsofstandardizedoperation,integrityandinformationdisclosure.Neitherthesponsorinstitutionnorthesponsorrepresentativemayseekunlawfulintereststhroughitssponsorbusiness.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。Article5Asponsorrepresentativeshallabidebythecodeofprofessionalethics,cherishandprotecttheprofessionalreputationofthesponsorrepresentative,functionwithdueprofessionalcaution,andmaintainandcontinuallyimproveuponitscompetencylevels.Thesponsorrepresentativeshallsafeguardtheinterestsandrightsoftheissuerandmaintainconfidentialityregardingtheinformationabouttheissuerobtainedthroughitssponsorbusiness.Thesponsorrepresentativeshalladheretotheprincipleofindependentperformance,shallnotsacrificeitsobjectiveandimpartialpositiontoimpropriaterequestsoftheissuer,andshallnotdeceivetheissueroritssecuritiesserviceinstitutiontoengageinillegalorfraudulentactivities,orparticipateinsuchactivities.Thesponsorrepresentativeorhis/herspouseshallnotholdthestocksoftheissuerthroughanyaccountorinanyotherway.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。保荐代表人应当恪守独立履行职责的原则,不因迎合发行人或者满足发行人的不当要求而丧失客观、公正的立场,不得唆使、协助或者参与发行人及证券服务机构实施非法的或者具有欺诈性的行为。保荐代表人及其配偶不得以任何名义或者方式持有发行人的股份。Article6Forsecuritiesofthesameissuance,theissuingsponsorandlistingsponsorshallbeconductedbythesamesponsorinstitution.Thesponsorshallreviewtheapplicationandthedocumentforsecuritiesissuingandfund-raisingoftheissuer,andsubmititssponsoropinionstotheCSRCandthesecuritiesexchange.Thesponsorshallensuretheauthenticity,accuracyandcompletenessofthedocumentsithasissued.Intheeventtheissuanceofsecuritiesreachesacertainscale,jointsponsorshipisacceptable,providedthatnotmorethantwosponsorinstitutionsmayengageinjointsponsorship.Thesponsorinstitutionmay,individuallyorjointlywithanyothersecuritiescompanyhavingsponsorqualification,serveastheleadunderwriterfortheissuanceofsecurities.第六条同次发行的证券,其发行保荐和上市保荐应当由同一保荐机构承担。保荐机构依法对发行人申请文件、证券发行募集文件进行核查,向中国证监会、证券交易所出具保荐意见。保荐机构应当保证所出具的文件真实、准确、完整。证券发行规模达到一定数量的,可以采用联合保荐,但参与联合保荐的保荐机构不得超过2家。证券发行的主承销商可以由该保荐机构担任,也可以由其他具有保荐机构资格的证券公司与该保荐机构共同担任。Article7Anissueranditsdirectors,supervisorsandseniormanagementpersonnel,aswellassecuritiesserviceinstitutionssuchaslawfirms,accountingfirmsandassetappraisalinstitutionsthatprepareandissuerelevantdocuments,an