Article 1 In order to regulate the behavior of law firms and lawyers engaged in securities legal business, ensure service quality, and clarify professional responsibilities, in accordance with the "Lawyers Law of the People's Republic of China", The Securities Law of the People's Republic of China and the State, the Code of Professional Ethics and Practice Discipline for Lawyers, as well as the provisions of relevant laws, regulations and normative documents of the securities regulatory agencies on the management of lawyers' securities legal business, formulate this Code. "Standards of Professional Ethics and Practice Discipline for Lawyers" and relevant laws, regulations and normative documents of securities regulatory agencies on the management of lawyers' engagement in securities legal business, and formulated this standard.
The term "securities legal business" as mentioned in these two standards refers to the securities legal business. Law firms are legally entrusted to provide legal services for securities issuance, listing or trading and related businesses, or other securities legal services that should be handled by lawyers in accordance with relevant laws, regulations and relevant departments.
Third. Article 4: Law firms and lawyers engaged in securities legal business shall accept the guidance and supervision of lawyer regulatory agencies, and shall accept the supervision and management of securities regulatory agencies.
Article 4 Law firms and lawyers engaged in securities legal business, except In addition to complying with national laws and regulations, they must also abide by these norms
Chapter 2 Basic Norms
Article 5 Lawyers engaged in securities legal services must adhere to facts and law. As a guideline, consciously abide by the relevant regulations of the securities regulatory authorities, abide by the professional ethics and professional disciplines of lawyers, be honest and trustworthy, be cautious and diligent, and perform their duties diligently and conscientiously.
Article 6: Lawyers engage in securities legal business. Lawyers shall be entrusted to perform their duties in accordance with the law within the scope of the law, protect the legitimate rights and interests of clients and investors, and maintain the normal order of the securities market.
Article 7 Lawyers engaged in securities legal business shall have the necessary qualifications. The client's professional ability to provide corresponding services, including necessary legal professional qualities and basic knowledge of company operations, financial accounting, financial securities, etc.
Article 8 If a law firm accepts a securities legal business entrustment, Professionals who do not have the ability to handle securities legal business shall not be assigned. Paralegals shall not handle securities legal business independently, but may assist lawyers in completing relevant auxiliary work.
Article 9 Lawyers shall ensure that they are engaged in securities legal business. Have enough time and energy to undertake specific business, so that the quality of legal services conforms to the provisions of national laws, regulations and relevant normative documents, as well as the requirements of lawyer specialization and industry practice.
Article 10: Lawyers engage in securities. Legal business must maintain its independence, perform duties in accordance with the law within the scope of entrustment, and be free from influence and interference from other units or individuals.
Article 11 Lawyers must always adhere to the principle of independence when engaging in securities legal business. The principle of good faith and compliance with the following requirements: 1. You shall not suggest or assist the client to engage in illegal activities or perform fictitious acts, but you may assist the client in conducting legal analysis and proposing legal solutions to the legal issues that the client requires to be resolved; 2. .Shall not provide any form of legal services to the client. If the services requested by the client violate laws, regulations, lawyers' professional ethics and professional disciplines, they shall be refused and the situation shall be explained to the client; 3. The client shall not be assisted or induced to make false statements or forge or alter relevant documents. , information, and shall not defraud, forge or alter relevant certification documents on their own for the benefit of the client or their own interests; 4. shall not provide securities regulatory agencies, stock exchanges or other institutions with documents that the lawyer reasonably and carefully suspects are forged or false. and information; 5. Shall not assist any institution or individual to commit illegal acts related to securities business.
Article 12 Lawyers shall assist and urge clients to fulfill their legal obligations of information disclosure. Information disclosure documents shall meet the requirements of authenticity, accuracy, and completeness, and shall not assist or support clients in disclosing false information or deliberately concealing information. , omit important information or make false statements.
Article 13 Unless expressly stipulated by laws and regulations, securities regulatory agencies or judicial organs in accordance with the law, or with the consent of the client, business secrets learned by lawyers and their assistants in the securities legal business shall be kept confidential and shall not be used for their own purposes. or others seeking benefit.
Article 14 Lawyers engaged in securities legal business shall cooperate closely with sponsors, lead underwriters, certified public accountants, asset appraisers and other intermediaries, and through professional division of labor and sufficient business communication, *** To ensure the smooth progress of the entrusted securities legal business.
Article 15 Lawyers shall not influence the staff of securities regulatory agencies in a manner that violates laws, regulations and lawyers' practice standards.
Article 16 Law firms shall establish and improve project management systems, internal review systems for legal document production, and other systems related to internal quality assurance and risk control of securities legal business.
Article 17 Lawyers engaged in securities legal business shall record the work process in a timely, accurate, truthful and complete manner, and prepare working papers for relevant documents, meeting minutes, conversation records and other materials during work.
Article 18 Lawyers shall save and make written backups of important emails and electronic legal documents in the process of engaging in securities legal business.
Article 19 Law firms shall establish a complete custody system for securities legal business files to ensure the safety and integrity of securities legal business files. Securities legal business files shall be kept for at least ten years from the date of completion of the project. Law firm mergers, divisions, cancellations, and lawyer transfers, etc., where securities legal business is being handled or securities legal business files have been handled, shall be in accordance with the regulations of the lawyer regulatory agency. Proper arrangements will be made for relevant regulations.