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UPDATED: August 29, 2007 NO.34 AUG.23, 2007

境外证券交易所
驻华代表机构管理办法 (2)

Measures for the Administration of Foreign Stock Exchanges' Representative Offices in China

2007年05月20日中国证券监督管理委员会颁布,
自2007年7月1日起施行Promulgated by the China Securities Regulatory Commission on May 20, 2007 and effective as of July 1, 2007

 
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第二章 申请与设立

第五条 申请设立代表处的境外证券交易所(以下简称申请人),应当具备下列条件:

(一)申请人所在国家或地区具有完善的金融监管法律、法规;

(二)申请人所在国家或地区的金融监管当局与中国证监会签订了监管合作谅解备忘录,并保持着良好的合作关系;

(三)申请人由其所在国家或地区金融监管当局批准设立或认可;

(四)申请人设立二十年以上,运作稳健规范,财务状况良好;

(五)中国证监会提出的其他审慎性条件。

Chapter II Application and Establishment

Article 5 A foreign stock exchange applying for establishment of a representative office (hereinafter referred to as the applicant) shall be subject to the requirements as follows:

(1) The country or region where the applicant is located has perfect laws and regulations on financial supervision;

(2) The financial supervision authority in the country or region where the applicant is located has concluded a memorandum of understanding on supervisory cooperation with the CSRC, and keeps good cooperation with the CSRC;

(3) The applicant is a financial institution established under the approval or ratification of the financial supervision authority of the country or region where it is located;

(4) The applicant has been established for more than 20 years, it has stable and standardized operation and its financial situation is well; and

(5) Other prudential conditions put forward by the CSRC.



 
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