中华人民共和国证券法中英文对照.docx

1、中华人民共和国证券法中英文对照中华人民共和国证券法(2005年修订)SECURITIES LAW OF THE PEOPLES REPUBLIC OF CHINA (revised in 2005)（1998年12月29日第九届全国人民代表大会常务委员会第六次会议通过根据2004年8月28日第十届全国人民代表大会常务委员会第十一次会议关于修改中华人民共和国证券法的决定修正2005年10月27日第十届全国人民代表大会常务委员会第十八次会议修订） (Adopted at the 6th Meeting of the Standing Committee of the 9th National Pe

2、oples Congress on December 29, 1998, revised at the 18th Meeting of the Standing Committee of the Tenth National Peoples Congress of the Peoples Republic of China on October 27, 2005 according to the Decision on Revising the Securities Law of the Peoples Republic of China as made at the 11th meeting

3、 of the Standing Committee of the 10th Peoples Congress on August 28, 2004) 第一章总则 3Chapter I General Provisions 3第二章 证券发行 4Chapter II Issuance of Securities 4第三章 证券交易 16Chapter III Trading of Securities 16第一节一般规定 16Section I General Provisions 16第二节证券上市 19Section II Listing of Securities 19第三节持续信息公开

4、 25Section III On-going Information Disclosure 25第四节 禁止的交易行为 30Section IV Prohibited Trading Acts 30第四章 上市公司的收购 35Chapter IV Acquisition of Listed Companies 35第五章证券交易所 40Chapter V Stock Exchanges 40第六章 证券公司 45Chapter VI Securities Companies 45第七章 证券登记结算机构 59Chapter VII Securities Registration and Cl

5、earing Institutions 59第八章证券服务机构 63Chapter VIII Securities Trading Service Institutions 63第九章证券业协会 65Chapter IX Securities Industry Association 65第十章 证券监督管理机构 66Chapter X Securities Regulatory Bodies 67第十一章法律责任 71Chapter XI Legal Liabilities 71第十二章附则 89Chapter XII Supplementary Articles 89第一章总则Chapte

6、r I General Provisions 第一条为了规范证券发行和交易行为，保护投资者的合法权益，维护社会经济秩序和社会公共利益，促进社会主义市场经济的发展，制定本法。 Article 1 The present Law is formulated for the purpose of regulating the issuance and transaction of securities, protecting the lawful rights and interests of investors, safeguarding the economic order and public

7、 interests of the society and promoting the growth of the socialist market economy. 第二条在中华人民共和国境内，股票、公司债券和国务院依法认定的其他证券的发行和交易，适用本法；本法未规定的，适用中华人民共和国公司法和其他法律、行政法规的规定。政府债券、证券投资基金份额的上市交易，适用本法；其他法律、行政法规另有规定的，适用其规定。证券衍生品种发行、交易的管理办法，由国务院依照本法的原则规定。 Article 2 The present Law shall be applied to the issuance a

8、nd transaction of stocks, corporate bonds as well as any other securities as lawfully recognized by the State Council within the territory of the Peoples Republic of China. Where there is no such provision in the present Law, the provisions of the Corporation Law of the Peoples Republic of China and

9、 other relevant laws and administrative regulations shall be applied. Any listed trading of government bonds and share of securities investment funds shall be governed by the present Law. Where there is any special provision in any other law or administrative regulation, the special provision shall

10、prevail. The measures for the administration of issuance and transaction of securities derivatives shall be prescribed by the State Council according to the principles of the present Law. 第三条证券的发行、交易活动，必须实行公开、公平、公正的原则。 Article 3 The issuance and transaction of securities shall adhere to the principl

11、es of openness, fairness and impartiality. 第四条证券发行、交易活动的当事人具有平等的法律地位，应当遵守自愿、有偿、诚实信用的原则。 Article 4 The parties involved in any issuance or transaction of securities shall have equal legal status and shall persist in the principles of free will, compensation and integrity and creditworthy. 第五条证券的发行、交易

12、活动，必须遵守法律、行政法规；禁止欺诈、内幕交易和操纵证券市场的行为。Article 5 The issuance and transaction of securities shall observe laws and administrative regulations. No fraud, insider trading or manipulation of the securities market may be permitted. 第六条证券业和银行业、信托业、保险业实行分业经营、分业管理，证券公司与银行、信托、保险业务机构分别设立。国家另有规定的除外。 Article 6 The

13、 divided operation and management shall be adopted by the industries of securities, banking, trust as well as insurance. The securities companies and the business organs of banks, trust and insurance shall be established separately, unless otherwise provided for by the state. 第七条国务院证券监督管理机构依法对全国证券市场

14、实行集中统一监督管理。国务院证券监督管理机构根据需要可以设立派出机构，按照授权履行监督管理职责。 Article 7 The securities regulatory authority under the State Council shall adopt a centralized and unified supervision and administration of the national securities market. The securities regulatory authority under the State Council may, in light of

15、the relevant requirements, establish dispatched offices, which shall perform their duties and functions of supervision and administration upon the authorization. 第八条在国家对证券发行、交易活动实行集中统一监督管理的前提下，依法设立证券业协会，实行自律性管理。 Article 8 Under the centralized and unified supervision and administration of the state

16、regarding the issuance and transaction of securities, a securities industrial association shall be lawfully established, which shall adopt the self-regulating administration. 第九条国家审计机关依法对证券交易所、证券公司、证券登记结算机构、证券监督管理机构进行审计监督。 Article 9 The auditing organ of the state shall carry out auditing supervision of stock exchanges, securities companies,