1. Article 1 is amended as: "In order to standardize the supervision of the qualifications of directors, supervisors, senior managers and heads of branches of securities companies, improve their professional qualities, and ensure that securities companies operate in compliance with the law, in accordance with the relevant provisions of the Company Law, the Securities Law, the Administrative Licensing Law and the Regulations on the Supervision and Administration of Securities Companies.
Article 2 is amended as: "These Measures shall apply to the supervision of the qualifications of directors, supervisors, senior managers and heads of branches of securities companies.
"The senior managers of securities companies mentioned in these Measures (hereinafter referred to as senior managers) refer to the general manager, deputy general managers, financial officers, compliance officers, secretary of the board of directors and those who actually perform the above duties.
The members of the management committee, executive committee and similar institutions of securities companies exercising management responsibilities are senior managers.
Three. Article 5 is amended as: "The China Securities Regulatory Commission shall supervise and manage the directors, supervisors, senior managers and heads of branches of securities companies according to law.
"The qualifications of directors, supervisors, senior managers and heads of branches of securities companies shall be approved by the dispatched offices authorized by the China Securities Regulatory Commission (hereinafter referred to as the dispatched offices) according to law."
Article 17 is amended as: "Persons who have been engaged in securities work 10 for more than 8 years, or who have served as the head of a financial institution, may apply for the qualifications of chairman, vice-chairman, independent director, supervisor, senior manager and head of a branch of a securities company, and their academic qualifications may be relaxed to junior college."
Article 20 is amended as: "The securities company to be employed applies for the qualifications of chairman, vice-chairman and chairman of the board of supervisors to the dispatched office of its registered place, and the securities company to be employed applies for the qualifications of manager to the dispatched office of its registered place, and submits the following materials:
(1) An application form;
(2) written recommendation opinions of two referees;
(three) identity, education, degree documents;
(4) Certificate of passing the qualification examination;
(five) the appraisal opinions of the units that have worked in the last three years;
(six) in the last three years as the main person in charge of the unit, it shall submit the outgoing audit report;
(seven) in the last three years, he has worked in a financial institution and has been included in the scope of supervision, and shall submit the supervision opinions of the regulatory authorities;
(eight) other materials required by the China Securities Regulatory Commission.
"To apply for the qualification of a manager, a securities qualification certificate shall also be submitted."
6. Article 25 is amended as: "If a person who has obtained the qualifications of chairman, vice-chairman and chairman of the board of supervisors has gone to another securities company as chairman, vice-chairman or chairman of the board of supervisors within 0/2 months from the date of leaving the original company, and the circumstances specified in Article 7 of these Measures have not occurred, the proposed company shall submit the following application materials to the agency where the company is registered:
(1) An application form;
(2) The outgoing audit report of the original company;
(3) Other materials required by the China Securities Regulatory Commission. "
Seven. Article 26 is amended as: "When a securities company to be employed applies for the post qualification of the head of a branch, it shall apply to the local agency of the branch and submit the following materials:
(1) An application form;
(2) Letter of recommendation from the securities company.
(three) identity, education, degree, securities qualification documents;
(four) the appraisal opinions of the units that have worked in the last three years;
(five) in the last three years, he has worked in a financial institution and has been included in the scope of supervision, and shall submit the supervision opinions of the regulatory authorities;
(six) other materials required by the China Securities Regulatory Commission. "
Eight. Article 29 is amended as: "The dispatched office shall apply for the applicant's post qualification according to Article 32 of the Administrative Licensing Law and the relevant provisions of the Procedures for the Implementation of Administrative Licensing of China Securities Regulatory Commission."
Nine, delete thirtieth, thirty-first.
10. Article 32 is changed to Article 30, which is amended as: "When the agency deems it necessary, it may conduct inspection and talk with the applicant or candidate."
XI。 Article 33 is renumbered as Article 31 and amended as: "If the applicant or candidate is under any of the following circumstances, the agency may make a decision to terminate the examination:
(1) The applicant or candidate dies or loses his capacity for civil conduct;
(2) The applicant terminates according to law;
(3) The applicant voluntarily requests to withdraw the application materials;
(four) the applicant fails to give feedback for further explanation and explanation within the prescribed time limit;
(5) The applicant or the candidate is placed on file for investigation by the administrative organ for suspected violation of laws and regulations;
(six) the applicant has been taken to suspend business for rectification, custody, takeover, business restrictions and other regulatory measures according to law;
(seven) the applicant or the candidate is placed on file for investigation by the judicial organs for suspected crimes;
(eight) other circumstances identified by the China Securities Regulatory Commission. "
12. Article 34 is changed to Article 32 and amended as: "The dispatched office shall make a decision on whether or not to approve the application for the post qualification of directors, supervisors, senior managers and heads of branches of a securities company within the prescribed time limit. If it is not approved, it shall explain the reasons. "
Thirteen. Article 35 is renumbered as Article 33 and amended as: "A securities company shall, within 30 days from the date when the proposed directors and supervisors obtain the post-holding qualifications, go through the post-holding procedures for the above-mentioned personnel in accordance with the articles of association and other relevant regulations. Within 30 days from the date of obtaining the qualification, if the above-mentioned personnel do not work in a securities company or fail to perform relevant duties, their qualifications will automatically become invalid unless there are justified reasons and approved by relevant institutions. "
14. Article 36 is changed to Article 34 and amended as: "Where a securities company hires or dismisses directors, supervisors, senior managers and heads of branches, it shall, within 5 days from the date of making a decision, announce the changes of relevant personnel and the responsibilities of senior managers in the company, report to the relevant dispatched institutions and submit the following materials:
(a) the appointment and removal decision document;
(2) Resolutions of relevant meetings;
(three) the approval documents of the post qualifications of the relevant personnel;
(four) the letter of commitment signed by the relevant personnel;
(5) Description of the scope of duties of the senior managers;
(6) Other materials as prescribed by the China Securities Regulatory Commission.
Where a securities company fails to fulfill its obligation of announcement and reporting as required, the relevant personnel shall report to the relevant dispatched office within 2 days.
15. Article 39 is renumbered as Article 37 and amended as: "Senior managers and heads of branches of a securities company may concurrently serve as directors and supervisors in at most two companies in which the securities company shares, but they may not concurrently hold positions other than directors and supervisors in the above-mentioned companies, nor may they concurrently hold positions in other profit-making institutions or engage in other business activities.
"Senior managers of securities companies who work part-time in wholly-owned or holding subsidiaries of securities companies are not subject to the above restrictions, but shall abide by the relevant provisions of the China Securities Regulatory Commission.
"The person in charge of a branch of a securities company shall not concurrently be the person in charge of other similar branches.
"Anyone can be an independent director in two securities companies at most.
"Where the directors, supervisors, senior managers and heads of branches of a securities company hold part-time jobs, they shall report to the relevant agencies within 5 days from the date of the relevant situation."
16. Article 40 is changed to Article 38, and it is amended as: "If a person who has obtained the qualification of a manager holds a post other than an independent director, it is not necessary to re-apply for the qualification. The securities company to be employed shall go through the employment formalities in accordance with the provisions.
"If a person who has obtained the post qualification of the person in charge of a branch is changed to the person in charge of another branch of the same company or the person in charge of another branch of the company, there is no need to re-apply for the post qualification, and the securities company to be employed shall go through the post formalities in accordance with the regulations."
Seventeen. Article 41 is renumbered as Article 39 and amended as: "If a director or supervisor of a securities company leaves his post, his post-holding qualification will automatically become invalid from the date of leaving his post.
"In any of the following circumstances, it shall not be subject to the restrictions prescribed in the preceding paragraph:
(1) Directors (excluding independent directors) and supervisors of a securities company change their positions in the same company;
(2) The chairman, vice-chairman and chairman of the board of supervisors of a securities company are changed to other directors and supervisors of the same company except independent directors. "
Eighteen. Article 44 is renumbered as Article 42 and amended as: "Where the division of responsibilities of senior executives is adjusted, the securities company shall make an announcement to the company within 5 days and report to the relevant dispatched offices. At the same time, the securities company shall promptly inform the relevant senior executives of the above matters. If the securities company fails to fulfill its announcement and reporting obligations as required, the relevant senior executives shall report to the relevant dispatched institutions within 2 days. "
Nineteen. Article 47 is renumbered as Article 45 and amended as: "The China Securities Regulatory Commission shall conduct annual qualification inspection for those who have obtained the qualification of managers but have not held the post of manager in securities companies.
"The China Securities Regulatory Commission shall conduct an annual qualification inspection on the personnel who have obtained the qualifications of the person in charge of the branch but have not held the positions of the person in charge of the branch in the securities company.
"The above-mentioned personnel shall submit the annual inspection registration form signed by the person in charge of the unit or the recommender to the dispatched office in the first quarter of each year from the year after obtaining the post qualification."
20. Article 48 is renumbered as Article 46, which is amended as: "A person who has obtained the qualification of manager and has not held the position of manager in a securities company, fails to participate in the annual qualification examination as required, or fails to hold the position in a securities company for five consecutive years since he obtained the qualification, shall reapply for the qualification of manager before taking office.
"If a person who has obtained the qualification of the head of a branch office but has not held the post of the head of a branch office in a securities company fails to participate in the annual qualification inspection as required, or fails to pass the annual qualification inspection, or has not worked in a securities company for five consecutive years, he shall re-apply for the qualification of the head of a branch office before taking office."
2 1. Article 50 is changed into Article 48, which is amended as: "Persons who have obtained the qualifications of directors, supervisors and managers shall attend 1 business training recognized by China Securities Regulatory Commission at least every three years and obtain training certificates.
"A person who has obtained the qualification of the head of a branch office shall attend the 1 business training recognized by the local agency at least once every three years and obtain a training certificate."
22. Article 53 is renumbered as Article 51 and amended as: "Under any of the following circumstances, the dispatched office shall conduct supervision talks with the directors, supervisors, senior managers and heads of branches who are directly responsible or responsible for leadership:
(1) The securities company or himself is suspected of violating laws, administrative regulations or the provisions of the China Securities Regulatory Commission;
(2) There are major hidden dangers in the corporate governance structure and internal control of the securities company;
(3) The financial indicators of the securities company do not meet the risk control indicators stipulated by the China Securities Regulatory Commission;
(4) A securities company, in violation of the provisions of these Measures, employs unqualified personnel as directors, supervisors, senior managers and heads of branches, or authorizes unqualified personnel to actually perform the above duties;
(five) in violation of the provisions of article thirty-fourth, article forty-second, did not fulfill the obligation of announcement;
(6) Directors, supervisors, senior managers and heads of branches fail to abide by their commitments;
(seven) in violation of the provisions of article forty-first, article forty-third, article forty-eighth and article fiftieth;
(8) The recommended person is deemed as inappropriate or disqualified within 1 year from the date of signing the recommendation;
(nine) issued a false recommendation;
(10) Concealing illegal acts that are not reported to the Company and its shareholders, other directors, supervisors, senior managers and heads of branches;
(eleven) failing to audit the outgoing personnel in accordance with the provisions;
(twelve) other circumstances identified by the China Securities Regulatory Commission according to the principle of prudent supervision. "
Twenty-three, Article 55 is changed to Article 53, which is amended as: "If the directors, supervisors, senior managers and heads of branches of a securities company have any of the following circumstances during their tenure, the China Securities Regulatory Commission and the relevant agencies may consider them as inappropriate candidates:
(1) Providing false information to the securities regulatory body and concealing important matters;
(two) refused to cooperate with the securities regulatory agencies to perform their supervisory duties according to law;
(3) AWOL;
(four) 1 year by the securities regulatory agency in accordance with the provisions of Article 51 of these measures for three times;
(5) Being disciplined by a self-regulatory organization for 3 times;
(6) Being responsible for the company's cumulative administrative punishment for three times;
(7) Being responsible for the company's disciplinary action for a total of 5 times;
(eight) other circumstances identified by the China Securities Regulatory Commission according to the principle of prudent supervision. "
24. Article 57 is renumbered as Article 55 and amended as: "If the directors, supervisors and senior managers of a securities company fail to perform their duties diligently, resulting in major violations of laws and regulations or major risks in the securities company, the China Securities Regulatory Commission and the relevant dispatched offices may revoke the qualifications of the relevant personnel and order the company to replace the directors, supervisors and senior managers within a time limit.
"If the person in charge of the branch fails to perform his duties diligently, resulting in major violations of laws and regulations or major risks of the securities company, it shall be handled in accordance with relevant regulations."
25. Article 59 is renumbered as Article 57 and amended as: "If the legal representative, senior managers and heads of branches resign, or are dismissed due to unsuitable candidates, or their qualifications are revoked, the securities company shall conduct the resignation audit in accordance with the regulations, and report the audit report to the relevant dispatched institutions for filing within 2 months from the date of resignation."
Article 60 is renumbered as Article 58 and amended as: "After the legal representative, senior managers and heads of branches leave their posts, they may not serve as directors, supervisors, senior managers and heads of branches in other securities companies during the audit period."
Article 65 is renumbered as Article 63 and amended as: "Under any of the following circumstances, it shall be ordered to make corrections, and the securities company and its responsible personnel shall be punished in accordance with the provisions of laws, regulations and departmental rules:
(1) Violating the provisions of Articles 37, 44 and 49;
(2) The company fails to handle the regulatory requirements put forward by the China Securities Regulatory Commission in accordance with the provisions of Articles 35 and 54 of these Measures;
(3) Securities companies and related personnel fail to fulfill their reporting obligations in accordance with regulations or the materials submitted contain false records, misleading statements or major omissions. "
Article 66 is renumbered as Article 64 and amended as: "The person-in-charge of a branch as mentioned in these Measures refers to the manager of a branch of a securities company, the securities business department and other unincorporated institutions that can engage in business activities as stipulated by the China Securities Regulatory Commission, and the personnel who actually perform the duties of the manager."
29. The words "directors, supervisors and senior managers" in Articles 3, 4, 6, 7, 8, 18, 19, 37, 43, 45, 46, 52, 54, 56 and 61 are amended as "directors, supervisors, senior managers and"
This decision shall come into force as of the date of promulgation.
The Measures for the Supervision of the Qualifications of Directors, Supervisors and Senior Managers of Securities Companies shall be revised according to this decision, and the order of the provisions shall be adjusted accordingly and re-promulgated.