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Measures for the Administration of Securities Registration and Clearing (2009 Revision) Revised

证券登记结算管理办法(2009修订)

  • Measures for the Administration of Securities Registration and Clearing
  • 证券登记结算管理办法

  • (Promulgated by the Order No. 29 of the China Securities Regulatory Commission on April 7, 2006, and revised for the Decision of the China Securities Regulatory Commission on Amending the Measures for the Administration of Securities Registration and Clearing by the Order No. 65 of the China Securities Regulatory Commission on November 20, 2009)
  • (2006年4月7日中国证券监督管理委员会令第29号公布,根据2009年11月20日中国证券监督管理委员会《关于修改<证券登记结算管理办法>的决定》修订)

  • Chapter I General Provisions
  • 第一章 总则

  • Article 1 These Measures are formulated according to the Securities Law, the Company Law and other laws and administrative regulations for the purpose of regulating the securities registration and clearing activities, protecting the lawful rights and interests of investors, maintaining the securities registration and clearing order, guarding against the securities registration and clearing risks and safeguarding the safe and efficient operation of the securities market.
  •   第一条 为了规范证券登记结算行为,保护投资者的合法权益,维护证券登记结算秩序,防范证券登记结算风险,保障证券市场安全高效运行,根据《证券法》、《公司法》等法律、行政法规的规定,制定本办法。
  • Article 2 The registration and clearing of stocks, bonds, shares of securities investment funds, as well as other securities and securities derivatives (hereinafter referred to as the securities) listed in the stock exchanges shall be governed by these Measures.
  •   第二条 在证券交易所上市的股票、债券、证券投资基金份额等证券及证券衍生品种(以下统称证券)的登记结算,适用本办法。
  • The registration and clearing business related to the non-listed securities shall be governed by these Measures by analogy.
  • 非上市证券的登记结算业务,参照本办法执行。
  • Where there are separate provisions in the laws, administrative regulations or of China Securities Regulatory Commission (hereinafter referred to as CSRC) about the registration and clearing business related to the foreign capital stocks listed in China, such provisions shall prevail.
  • 境内上市外资股的登记结算业务,法律、行政法规、中国证券监督管理委员会(以下简称中国证监会)另有规定的,从其规定。
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