Article 75 The China Securities Regulatory Commission regards the governance of securities companies as the basic condition for its market access and the evaluation basis for its daily supervision.
Article 76 The China Securities Regulatory Commission may entrust the securities industry self-regulatory organizations or intermediaries to evaluate the governance of securities companies and publish the evaluation results in an appropriate manner.
Article 77 Interpretation:
(1) Equity refers to the capital contribution of shareholders of a limited liability company and the shares of a joint stock limited company.
(2) The shareholders' meeting refers to the shareholders' meeting of a limited liability company and the shareholders' meeting of a joint stock limited company.
(3) Related parties and related party transactions refer to related parties and related party transactions defined in Accounting Standards for Enterprises No.36-Related Party Disclosure of the Ministry of Finance.
(4) The main person in charge of operation and management refers to the general manager of the company, or the person in charge of the management committee, executive committee and other institutions exercising the functions and powers of the general manager.
(5) Internal directors refer to directors who hold other positions in securities companies at the same time; External directors refer to directors who do not hold other positions in securities companies at the same time; Independent directors refer to external directors who have no relationship with securities companies and their shareholders that may hinder their independent and objective judgment.
Article 78 The China Securities Regulatory Commission shall be responsible for the interpretation of these Standards.
Article 79 These Standards shall come into force as of 20 13 10. On June 5438+February 65438+February 5, 2003, the China Securities Regulatory Commission promulgated the Guidelines on the Governance of Securities Companies (for Trial Implementation) (Zheng Jian Fa [2003] No.259), which was abolished at the same time.