【中英文对照版】证券公司风险处置条例(2023修订).docx

证券公司风险处置条例（2008年4月23日中华人民共和 国国务院令第523号公布根据 2016年2月6日国务院关于修改 部分行政法规的决定第一次修订 根据2023年7月20日国务院关 于修改和废止部分行政法规的决 定第二次修订）第一章总 则证券公司风险处置条例(2023修订)RegulationontheRiskDisposalofSecuritiesCompanies(2023Revision)制定机关：国务院发文字号：中华人民共和国国务院令第764号公布日期：2023.07.20施行日期：2023.07.20效力位阶：行政法规法规类别：证券综合规定IssuingAuthority：StateCouncilDocumentNumber：OrderNo.764oftheStateCouncilofthePeople'sRepublicofChinaDateIssued：07-20-2023EffectiveDate：07-20-20231.evelofAuthority：AdministrativeRegulationsAreaofLaw：GeneralProvisionsonSecuritiesRegulationontheRiskDisposalofSecuritiesCompanies(PromulgatedbyOrderNo.523oftheStateCouncilofthePeople'sRepublicofChinaonApril23,2008;revisedforthefirsttimeinaccordancewiththeDecisionoftheStateCouncilonAmendingSomeAdministrativeRegulationsonFebruary6,2016;andrevisedforthesecondtimeinaccordancewiththeDecisionoftheStateCounciltoAmendandRepealCertainAdministrativeRegulationsonJuly20,2023)ChapterIGeneralProvisionsArticle1Tocontrolandeliminatetherisksofsecuritiescompanies,protectinvestors'legitimaterightsandinterestsandpublicinterests,andsafeguardthehealthydevelopmentofthesecuritiesindustry,thisRegulationisformulatedinaccordancewiththeSecuritiesLawofthePeople,sRepublicofChina(hereinafterreferredtoasSecuritiesLaw)andtheEnterpriseBankruptcyLawofthePeople,sRepublicofChina(hereinafterreferredtoasEnterpriseBankruptcyLaw).Article2ThesecuritiesregulatoryagencyundertheStateCouncilshallbeinchargeoforganizing,coordinatingandsupervisingthedisposalofrisksofsecuritiescompanies.Article3ThesecuritiesregulatoryagencyundertheStateCouncilshallsetupacoordination,cooperationandquickresponsemechanismfordisposingtherisksofsecuritiescompaniestogetherwiththePeople'sBankofChina,thepublicfinancedepartmentundertheStateCouncil,thepublicsecuritydepartmentundertheStateCouncil,otherfinancialregulatoryagenciesundertheStateCouncilandthepeople'sgovernmentsattheprovinciallevel.Article 4 Inthecourseofdisposingtherisksofsecuritiescompanies,therelatedlocalpeople'sgovernmentsshalltakeeffectivestepstomaintainsocialstability.第一条 为了控制和化解证券 公司风险，保护投资者合法权益和 社会公共利益，保障证券业健康发 展，根据中华人民共和国证券 法（以下简称证券法）、 中华人民共和国企业破产法 （以下简称企业破产法），制 定本条例。第二条国务院证券监督管理 机构依法对处置证券公司风险工作 进行组织、协调和监督。第三条国务院证券监督管理 机构应当会同中国人民银行、国务 院财政部门、国务院公安部门、国 务院其他金融监督管理机构以及省 级人民政府建立处置证券公司风险 的协调配合与快速反应机制。第四条 处置证券公司风险过 程中，有关地方人民政府应当采取 有效措施维护社会稳定。第五条 处置证券公司风险过 程中，应当保障证券经纪业务正常 进行。Article 5 Itisrequiredtoguaranteethenormalproceedingofthestockbrokeragebusinessinthecourseofdisposingtherisksofsecuritiescompanies.ChapterIlStoppingBusinessforRectification,Custody,Taking-overandAdministrativeRestructuringArticle6WherethesecuritiesregulatoryagencyundertheStateCouncilfindsoutthatthereareseriouspotentialrisksinasecuritiescompany,itmaysendtheriskmonitoringonsiteworkinggrouptomakeaspecial-purposeinspectiononthesecuritiescompany,keepmonitoringoverthetransferoffunds,disposalofassets,dispatchofpersonnel,useofseals,conclusionandperformanceofcontractandotheroperationandmanagementactivitiesofthesecuritiescompany,andreporttherelevantinformationtotherelatedlocalpeople'sgovernmentbetimes.Article7Whereasecuritiescompanyfailstoreachtherelevantstandardsinriskcontrolindicatorsandfailstofinishrectificationwithinaprescribedtimelimit,thesecuritiesregulatoryagencyundertheStateCouncilmayorderittostoppartorallbusinessforrectificationforaperiodofnomorethanthreemonths.Ifitsstockbrokeragebusinessisorderedtobestoppedforrectification,thesecuritiescompanymay,withinaprescribedtimelimit,entrustthebusinesstoasecuritiescompanyrecognizedbythesecuritiesregulatoryagencyundertheStateCouncilortransferitsclientstoothersecuritiescompany.Ifitfailstodosowithintheprescribedtimelimit,thesecuritiesregulatoryagencyundertheStateCouncilW川transferitsclientstoothersecuritiescompany.第二章停业整顿、托管、接管、 行政重组第六条国务院证券监督管理 机构发现证券公司存在重大风险隐 患，可以派出风险监控现场工作组 对证券公司进行专项检查，对证券 公司划拨资金、处置资产、调配人 员、使用印章、订立以及履行合同 等经营、管理活动进行监控，并及 时向有关地方人民政府通报情况。第七条 证券公司风险控制指 标不符合有关规定，在规定期限内 未能完成整改的，国务院证券监督 管理机构可以责令证券公司停止部 分或者全部业务进行整顿。停业整 顿的期限不超过3个月。证券经纪业务被责令停业整顿的， 证券公司在规定的期限内可以将其 证券经纪业务委托给国务院证券监 督管理机构认可的证券公司管理， 或者将客户转移到其他证券公司。 证券公司逾期未按照要求委托证券 经纪业务或者未转移客户的，国务 院证券监督管理机构应当将客户转 移到其他证券公司。第八条证券公司有下列情形Article8Whereasecuritiescompanyfallsunderanyofthefollowingcircumstances,thesecuritiesregulatoryagencyundertheStateCouncilmaykeepcustodyofitsstockbrokeragebusinessandotherbusinessinvolvingclients,and,ifthecircumstancesareserious,takeoverthecompany:1. Itsgovernanceisinchaosanditsmanagementisoutofcontrol.之一的，国务院证券监督管理机构 可以对其证券经纪等涉及客户的业 务进行托管；情节严重的，可以对 该证券公司进行接管：（一）治理混乱，管理失控;二）挪用客户资产并且不能自行2. Ithasembezzledtheassetsofclientsandcannotmakethemupwithitsownfund.弥补;3. Ithasdefaultedindeliveryinsecuritiestransactionsettlementformanytimes,ortheamountinvolvedinitsdefaultisrelativelyhuge.4. Itfailstoreachtherelevantstandardsintermsofriskcontrolindicators,oritishavingaseriousfinancialcrisis.5. Othercircumstanceswhichmayaffectthecontinuousoperationofthecompany.Article9IfthesecuritiesregulatoryagencyundertheStateCouncildeci