Measures for the Administration of Securities Registration and Clearing (2018 Amendment) Revised
- Document Number：Order No. 147 of the China Securities Regulatory Commission
Area of Law： Securities Regulatory Institutions and Market Supervision and Management Securities Registration and Clearing Institutions and Business ManagementLevel of Authority： Departmental RulesDate Issued：08-15-2018Effective Date：09-15-2018Issuing Authority： China Securities Regulatory CommissionStatus： RevisedTopic： FinanceCollapseRevision History
Measures for the Administration of Securities Registration and Clearing (2018 Amendment)
Measures for the Administration of Securities Registration and Clearing
- (Promulgated on April 7, 2006, and revised in accordance with the Decision of the China Securities Regulatory Commission to Amend the Measures for the Administration of Securities Registration and Clearing on November 20, 2009, December 7, 2017 and August 15, 2018)
- （2006年4月7日发布 根据2009年11月20日、2017年12月7日、2018年8月15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》修正）
- Chapter I General Provisions
- 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.
- 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.
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