Chapter 4: Procedures of Sponsor Business 第四章 保薦業(yè)務(wù)規(guī)程

　　Article 38 A sponsor institution shall establish a sound internal control system for its sponsor business to ensure that persons in charge of its sponsor business, the internal check department and sponsor business department, and the sponsor representatives, project coordinator, and other personnel related to the sponsor business, conduct their due diligence to strictly control risks to improve the overall quality of the sponsor business.

　　第三十八條 保薦機(jī)構(gòu)應(yīng)當(dāng)建立健全保薦工作的內(nèi)部控制體系,切實(shí)保證保薦業(yè)務(wù)負(fù)責(zé)人、內(nèi)核負(fù)責(zé)人、保薦業(yè)務(wù)部門負(fù)責(zé)人、保薦代表人、項(xiàng)目協(xié)辦人及其他保薦業(yè)務(wù)相關(guān)人員勤勉盡責(zé),嚴(yán)格控制風(fēng)險,提高保薦業(yè)務(wù)整體質(zhì)量。

　　Article 39 A sponsor institution shall establish a sound due diligence system, guidance system for the issuance and listing of securities, an internal verification system for application materials of issuing and listing, as well as a system for continuous supervision after listing of the securities.

　　第三十九條 保薦機(jī)構(gòu)應(yīng)當(dāng)建立健全證券發(fā)行上市的盡職調(diào)查制度、輔導(dǎo)制度、對發(fā)行上市申請文件的內(nèi)部核查制度、對發(fā)行人證券上市后的持續(xù)督導(dǎo)制度。

　　Article 40 A sponsor institution shall establish a system to provide continuous training to its sponsor representatives and other sponsor-business related personnel.

　　第四十條 保薦機(jī)構(gòu)應(yīng)當(dāng)建立健全對保薦代表人及其他保薦業(yè)務(wù)相關(guān)人員的持續(xù)培訓(xùn)制度。

　　Article 41 A sponsor institution shall establish a work sheet system through which a sponsor-dedicated work sheet is established for each project.

　　A sponsor representative shall establish due diligence log for every project under his or her responsibility and maintain an archive for the same as part of the sponsor work sheet for future reference. The sponsor institution shall regularly conduct inspection on such due diligence log.

　　The sponsor work sheet shall authentically, accurately, and completely reflect the entire process of the whole sponsor project, and the retention period of such work sheet shall not be less than ten years.

　　第四十一條 保薦機(jī)構(gòu)應(yīng)當(dāng)建立健全工作底稿制度,為每一項(xiàng)目建立獨(dú)立的保薦工作底稿。

　　保薦代表人必須為其具體負(fù)責(zé)的每一項(xiàng)目建立盡職調(diào)查工作日志,作為保薦工作底稿的一部分存檔備查;保薦機(jī)構(gòu)應(yīng)當(dāng)定期對盡職調(diào)查工作日志進(jìn)行檢查。

　　保薦工作底稿應(yīng)當(dāng)真實(shí)、準(zhǔn)確、完整地反映整個保薦工作的全過程,保存期不少于10年。

　　Article 42 Persons in charge of sponsor business and the internal check of a sponsor institution shall be responsible for supervising and implementing various systems established for sponsor business and shall assume corresponding responsibilities.

　　第四十二條 保薦機(jī)構(gòu)的保薦業(yè)務(wù)負(fù)責(zé)人、內(nèi)核負(fù)責(zé)人負(fù)責(zé)監(jiān)督、執(zhí)行保薦業(yè)務(wù)各項(xiàng)制度并承擔(dān)相應(yīng)的責(zé)任。

　　Article 43 Where a sponsor institution and its controlling shareholders, actual controllers and important associated parties together hold more than 7% of the issuer company's shares, or the issuer holds or controls more than 7% of the sponsor's shares, the sponsor institution shall, in recommending such issuer for securities issuance and listing, perform the sponsor responsibilities jointly with one unassociated sponsor institution which shall act as the first sponsor institution.

　　第四十三條 保薦機(jī)構(gòu)及其控股股東、實(shí)際控制人、重要關(guān)聯(lián)方持有發(fā)行人的股份合計超過7%,或者發(fā)行人持有、控制保薦機(jī)構(gòu)的股份超過7%的,保薦機(jī)構(gòu)在推薦發(fā)行人證券發(fā)行上市時,應(yīng)聯(lián)合1家無關(guān)聯(lián)保薦機(jī)構(gòu)共同履行保薦職責(zé),且該無關(guān)聯(lián)保薦機(jī)構(gòu)為第一保薦機(jī)構(gòu)。

　　Article 44 In the event of termination of a sponsor agreement prior to the publication of documents for the issuance of securities and fund raising, the sponsor institution and the issuer shall, within five working days of the termination, respectively, submit a report to the CSRC explaining the reasons for such termination.

　　第四十四條 刊登證券發(fā)行募集文件前終止保薦協(xié)議的,保薦機(jī)構(gòu)和發(fā)行人應(yīng)當(dāng)自終止之日起5個工作日內(nèi)分別向中國證監(jiān)會報告,說明原因。

　　Article 45 Except on reasonable grounds, neither the sponsor institution nor the issuer shall terminate the sponsor agreement during the period between the publication of documents for the issuance of securities and fund raising and the completion of continuous supervision. Where the issuer engages a different sponsor institution in its reapplication for securities issuing, or the sponsor qualification of the sponsor institution is revoked by the CSRC, the sponsor agreement shall be terminated.

　　In the event of termination of the sponsor agreement, the sponsor institution and the issuer shall, within five working days upon the termination, submit a report to the CSRC and the stock exchange explaining the reasons for such termination.

　　第四十五條 刊登證券發(fā)行募集文件以后直至持續(xù)督導(dǎo)工作結(jié)束,保薦機(jī)構(gòu)和發(fā)行人不得終止保薦協(xié)議,但存在合理理由的情形除外。發(fā)行人因再次申請發(fā)行證券另行聘請保薦機(jī)構(gòu)、保薦機(jī)構(gòu)被中國證監(jiān)會撤銷保薦機(jī)構(gòu)資格的,應(yīng)當(dāng)終止保薦協(xié)議。

　　終止保薦協(xié)議的,保薦機(jī)構(gòu)和發(fā)行人應(yīng)當(dāng)自終止之日起5個工作日內(nèi)向中國證監(jiān)會、證券交易所報告,說明原因。

　　Article 46 Where the sponsor institution is deprived of its sponsor qualification during the continuous supervision period, the issuer shall engage another sponsor institution within one month of such deprivation; if the issuer fails to engage another sponsor institution within the prescribed time limit, the CSRC may designate a sponsor institution for the issuer.

　　第四十六條 持續(xù)督導(dǎo)期間,保薦機(jī)構(gòu)被撤銷保薦機(jī)構(gòu)資格的,發(fā)行人應(yīng)當(dāng)在1個月內(nèi)另行聘請保薦機(jī)構(gòu),未在規(guī)定期限內(nèi)另行聘請的,中國證監(jiān)會可以為其指定保薦機(jī)構(gòu)。

　　Article 47 The sponsor institution so engaged shall complete the unfinished continuous supervision of the original sponsor institution.

　　In the event of engagement of another sponsor institution due to revocation of the sponsor qualification of the original sponsor institution, the continuous supervision conducted by such other sponsor institution shall last for at least one full fiscal year.

　　The other sponsor institution engaged shall, commencing from the date of execution of the sponsor agreement, conduct its sponsor duties and perform its responsibilities. If the original sponsor fails to act with due diligence during its performance, its responsibilities shall not be discharged or terminated due to replacement of the sponsor institution.

　　第四十七條 另行聘請的保薦機(jī)構(gòu)應(yīng)當(dāng)完成原保薦機(jī)構(gòu)未完成的持續(xù)督導(dǎo)工作。

　　因原保薦機(jī)構(gòu)被撤銷保薦機(jī)構(gòu)資格而另行聘請保薦機(jī)構(gòu)的,另行聘請的保薦機(jī)構(gòu)持續(xù)督導(dǎo)的時間不得少于1個完整的會計年度。

　　另行聘請的保薦機(jī)構(gòu)應(yīng)當(dāng)自保薦協(xié)議簽訂之日起開展保薦工作并承擔(dān)相應(yīng)的責(zé)任。原保薦機(jī)構(gòu)在履行保薦職責(zé)期間未勤勉盡責(zé)的,其責(zé)任不因保薦機(jī)構(gòu)的更換而免除或者終止。

　　Article 48 A sponsor institution shall designate two sponsor representatives to be specifically responsible for the sponsor of one issuer, shall produce the special power of attorney as signed by the legal representative, and shall ensure the effective coordination and collaboration among relevant departments of the sponsor institution. The sponsor institution may designate a project coordinator.

　　第四十八條 保薦機(jī)構(gòu)應(yīng)當(dāng)指定2名保薦代表人具體負(fù)責(zé)1家發(fā)行人的保薦工作,出具由法定代表人簽字的專項(xiàng)授權(quán)書,并確保保薦機(jī)構(gòu)有關(guān)部門和人員有效分工協(xié)作。保薦機(jī)構(gòu)可以指定1名項(xiàng)目協(xié)辦人。

　　Article 49 After issuance of securities, the sponsor institution shall not replace its sponsor representatives. In the event that a sponsor representative resigns or is deprived of qualification as a sponsor representative, such sponsor representative shall be replaced.

　　If replacing its sponsor representative, the sponsor institution shall notify the issuer, and report to the CSRC and the stock exchange within five working days, the replacement and the cause thereof. If the original sponsor representative fails to act with due diligence in its performance, its responsibilities will not be discharged or terminated due to the replacement of the sponsor representative.

　　第四十九條 證券發(fā)行后,保薦機(jī)構(gòu)不得更換保薦代表人,但因保薦代表人離職或者被撤銷保薦代表人資格的,應(yīng)當(dāng)更換保薦代表人。

　　保薦機(jī)構(gòu)更換保薦代表人的,應(yīng)當(dāng)通知發(fā)行人,并在5個工作日內(nèi)向中國證監(jiān)會、證券交易所報告,說明原因。原保薦代表人在具體負(fù)責(zé)保薦工作期間未勤勉盡責(zé)的,其責(zé)任不因保薦代表人的更換而免除或者終止。

　　Article 50 The legal representative, the persons in charge of the sponsor business and the internal check, sponsor representative, and project coordinator of the sponsor institution shall sign the sponsor letter for issuance. The legal representative of the sponsor institution, and sponsor representative shall both sign the documents for the issuance of securities and fund raising.

　　第五十條 保薦機(jī)構(gòu)法定代表人、保薦業(yè)務(wù)負(fù)責(zé)人、內(nèi)核負(fù)責(zé)人、保薦代表人和項(xiàng)目協(xié)辦人應(yīng)當(dāng)在發(fā)行保薦書上簽字,保薦機(jī)構(gòu)法定代表人、保薦代表人應(yīng)同時在證券發(fā)行募集文件上簽字。

　　Article 51 The sponsor institution shall notify the issuer of its opinions expressed in the performance of the sponsor responsibilities on a timely basis, and maintain such opinions in the sponsor work sheet, and may report to the CSRC or the stock exchange or announce the same in accordance with these Measures.

　　第五十一條 保薦機(jī)構(gòu)應(yīng)將履行保薦職責(zé)時發(fā)表的意見及時告知發(fā)行人,同時在保薦工作底稿中保存,并可依照本辦法規(guī)定公開發(fā)表聲明、向中國證監(jiān)會或者證券交易所報告。

　　Article 52 After completion of the continuous supervision, a sponsor institution shall, within ten working days from the date when the issuer announces its annual statement, submit to the CSRC and stock exchange, the sponsor summary report. The legal representative and sponsor representative of the sponsor institution shall sign the sponsor summary report, which shall include the following:

　　(1) The basic information of the issuer;

　　(2) Sponsor performance summary;

　　(3) Major events that occurred in the period for performance of sponsor responsibilities and their solution;

　　(4) Description and evaluation of the issuer's cooperation with the sponsor work;

　　(5) Description and evaluation of the participation of the securities service institution in the work related to the issuance and listing of securities;

　　(6) Other matters as required by the CSRC.

　　第五十二條 持續(xù)督導(dǎo)工作結(jié)束后,保薦機(jī)構(gòu)應(yīng)當(dāng)在發(fā)行人公告年度報告之日起的10個工作日內(nèi)向中國證監(jiān)會、證券交易所報送保薦總結(jié)報告書。保薦機(jī)構(gòu)法定代表人和保薦代表人應(yīng)當(dāng)在保薦總結(jié)報告書上簽字。保薦總結(jié)報告書應(yīng)當(dāng)包括下列內(nèi)容:

　　(一)發(fā)行人的基本情況;

　　(二)保薦工作概述;

　　(三)履行保薦職責(zé)期間發(fā)生的重大事項(xiàng)及處理情況;

　　(四)對發(fā)行人配合保薦工作情況的說明及評價;

　　(五)對證券服務(wù)機(jī)構(gòu)參與證券發(fā)行上市相關(guān)工作情況的說明及評價;

　　(六)中國證監(jiān)會要求的其他事項(xiàng)。

　　Article 53 The sponsor representatives and other sponsor business related personnel, who are insiders of inside information, shall comply with laws and administrative regulations, and provisions of the CSRC, and shall not employ the inside information to seek direct or indirect illegal interests for the sponsor institution, themselves, or others.

　　第五十三條 保薦代表人及其他保薦業(yè)務(wù)相關(guān)人員屬于內(nèi)幕信息的知情人員,應(yīng)當(dāng)遵守法律、行政法規(guī)和中國證監(jiān)會的規(guī)定,不得利用內(nèi)幕信息直接或者間接為保薦機(jī)構(gòu)、本人或者他人謀取不正當(dāng)利益。

　　Chapter 5: Coordination of Sponsor Business 第五章 保薦業(yè)務(wù)協(xié)調(diào)

　　Article 54 In performing the sponsorship responsibilities, the sponsor institution and the sponsor representative may:

　　(1) Require the issuer to promptly notify information in accordance with provisions of these Measures and in the manner as stipulated in the sponsor agreement;

　　(2) Pay a return visit to the issuer on a regular basis or from time to time, or review the issuer's materials as required for the sponsor work;

　　(3) Sit on the general meeting of shareholders, meeting of the board of directors, and meeting of the board of supervisors of the issuer;

　　(4) Conduct prior review of the information disclosure documents of the issuer, and other documents submitted by the issuer to the CSRC and stock exchange;

　　(5) Conduct verification of the relevant matters of the issuer to which the relevant authorities pay attention, and if necessary, engage the relevant securities service institution to cooperate;

　　(6) Issue a public statement on illegal matters committed by the issuer in accordance with provisions of the CSRC and the stock exchange on information disclosure; and

　　(7) Enjoy other rights as specified by the CSRC and as stipulated in the sponsor agreement.

　　第五十四條 保薦機(jī)構(gòu)及其保薦代表人履行保薦職責(zé)可對發(fā)行人行使下列權(quán)利:

　　(一)要求發(fā)行人按照本辦法規(guī)定和保薦協(xié)議約定的方式，及時通報信息;

　　(二)定期或者不定期對發(fā)行人進(jìn)行回訪，查閱保薦工作需要的發(fā)行人材料;

　　(三)列席發(fā)行人的股東大會、董事會和監(jiān)事會;

　　(四)對發(fā)行人的信息披露文件及向中國證監(jiān)會、證券交易所提交的其他文件進(jìn)行事前審閱;

　　(五)對有關(guān)部門關(guān)注的發(fā)行人相關(guān)事項(xiàng)進(jìn)行核查，必要時可聘請相關(guān)證券服務(wù)機(jī)構(gòu)配合;

　　(六)按照中國證監(jiān)會、證券交易所信息披露規(guī)定，對發(fā)行人違法違規(guī)的事項(xiàng)發(fā)表公開聲明;

　　(七)中國證監(jiān)會規(guī)定或者保薦協(xié)議約定的其他權(quán)利。

　　Article 55 The issuer shall notify or consult with the sponsor, in a timely manner, and submit to the sponsor the relevant documents in case the issuer does any of the following acts:

　　(1) Change the commitment on raising capital and investment;

　　(2) Provide security for others, conduct associated transaction, etc.;

　　(3) Perform information disclosure obligations, and report the relevant matters to the CSRC or the stock exchange;

　　(4) Commit illegal acts or other material events; and

　　(5) Commit other matters as prescribed by the CSRC or stipulated in the sponsor agreement.

　　第五十五條 發(fā)行人有下列情形之一的,應(yīng)當(dāng)及時通知或者咨詢保薦機(jī)構(gòu),并將相關(guān)文件送交保薦機(jī)構(gòu):

　　(一)變更募集資金及投資項(xiàng)目等承諾事項(xiàng);

　　(二)發(fā)生關(guān)聯(lián)交易、為他人提供擔(dān)保等事項(xiàng);

　　(三)履行信息披露義務(wù)或者向中國證監(jiān)會、證券交易所報告有關(guān)事項(xiàng);

　　(四)發(fā)生違法違規(guī)行為或者其他重大事項(xiàng);

　　(五)中國證監(jiān)會規(guī)定或者保薦協(xié)議約定的其他事項(xiàng)。

　　Article 56 If the issuer does not cooperate with the sponsor institution in performance of the sponsor responsibilities before issuance of the securities, the sponsor institution shall express its reservation, and specify the same in the sponsor letter for issuance; if the situation is serious, the sponsor institution shall not recommend the issuer, where the issuer has already been recommended, such recommendation shall be cancelled.

　　第五十六條 證券發(fā)行前,發(fā)行人不配合保薦機(jī)構(gòu)履行保薦職責(zé)的,保薦機(jī)構(gòu)應(yīng)當(dāng)發(fā)表保留意見,并在發(fā)行保薦書中予以說明;情節(jié)嚴(yán)重的,應(yīng)當(dāng)不予保薦,已保薦的應(yīng)當(dāng)撤銷保薦。

　　Article 57 If, after issuance of securities, the sponsor institution has substantial grounds to believe that the issuer has committed any illegal or improper acts, the sponsor institution shall urge the issuer to make statement and rectification within the prescribed time; if the circumstance is serious, the sponsor institution shall report the matter to the CSRC and the stock exchange.

　　第五十七條 證券發(fā)行后,保薦機(jī)構(gòu)有充分理由確信發(fā)行人可能存在違法違規(guī)行為以及其他不當(dāng)行為的,應(yīng)當(dāng)督促發(fā)行人做出說明并限期糾正;情節(jié)嚴(yán)重的,應(yīng)當(dāng)向中國證監(jiān)會、證券交易所報告。

　　Article 58 The sponsor institution shall organize and coordinate the securities service institution and the signatory thereof to participate in the work in connection with the issuance and listing of securities.

　　If the sponsor institution has sound reasons to believe that the accounting firm, law firm, asset appraisal institution, and other securities service institution as employed by the issuer for issuance and listing of securities have obvious defects in their professional competence, the sponsor may suggest the issuer to make a replacement thereof.

　　第五十八條 保薦機(jī)構(gòu)應(yīng)當(dāng)組織協(xié)調(diào)證券服務(wù)機(jī)構(gòu)及其簽字人員參與證券發(fā)行上市的相關(guān)工作。

　　發(fā)行人為證券發(fā)行上市聘用的會計師事務(wù)所、律師事務(wù)所、資產(chǎn)評估機(jī)構(gòu)以及其他證券服務(wù)機(jī)構(gòu),保薦機(jī)構(gòu)有充分理由認(rèn)為其專業(yè)能力存在明顯缺陷的,可以向發(fā)行人建議更換。

　　Article 59 If the sponsor institution has any doubt about the professional opinions as produced by the securities service institution and the signatory thereof, it shall take initiative to consult with the securities service institution and require the same to make statement or produce evidence.

　　第五十九條 保薦機(jī)構(gòu)對證券服務(wù)機(jī)構(gòu)及其簽字人員出具的專業(yè)意見存有疑義的,應(yīng)當(dāng)主動與證券服務(wù)機(jī)構(gòu)進(jìn)行協(xié)商,并可要求其做出解釋或者出具依據(jù)。

　　Article 60 Where the sponsor institution has sufficient grounds to believe that there may be circumstance of violation of laws and regulations such as false records, misleading statements or material omissions, or other improper circumstances in the professional opinions as produced by the securities service institution and the signatory thereof, the sponsor shall express its opinions, and if the circumstances are serious, the sponsor institution shall report to the CSRC and the stock exchange.

　　第六十條 保薦機(jī)構(gòu)有充分理由確信證券服務(wù)機(jī)構(gòu)及其簽字人員出具的專業(yè)意見可能存在虛假記載、誤導(dǎo)性陳述或重大遺漏等違法違規(guī)情形或者其他不當(dāng)情形的,應(yīng)當(dāng)及時發(fā)表意見;情節(jié)嚴(yán)重的,應(yīng)當(dāng)向中國證監(jiān)會、證券交易所報告。

　　Article 61 The securities service institution and its signatory shall maintain their professional independence, prudently conduct review and form their judgment on any doubt or opinion raised by the sponsor institution, and express its opinions in a timely manner to the sponsor institution and the issuer.

　　第六十一條 證券服務(wù)機(jī)構(gòu)及其簽字人員應(yīng)當(dāng)保持專業(yè)獨(dú)立性,對保薦機(jī)構(gòu)提出的疑義或者意見進(jìn)行審慎的復(fù)核判斷,并向保薦機(jī)構(gòu)、發(fā)行人及時發(fā)表意見。

　　Chapter 6: Regulatory Measures and Legal Responsibilities 第六章 監(jiān)管措施和法律責(zé)任

　　Article 62 The CSRC may conduct on-site inspection of the sponsor business regularly or from time to time as engaged by the sponsor institution and its sponsor representatives, who shall be cooperative in such inspection, truthfully providing the relevant information, not refusing, obstructing, or eluding the inspection, nor misrepresenting, concealing, or destroying the relevant evidence material.

　　第六十二條 中國證監(jiān)會可以對保薦機(jī)構(gòu)及其保薦代表人從事保薦業(yè)務(wù)的情況進(jìn)行定期或者不定期現(xiàn)場檢查,保薦機(jī)構(gòu)及其保薦代表人應(yīng)當(dāng)積極配合檢查,如實(shí)提供有關(guān)資料,不得拒絕、阻撓、逃避檢查,不得謊報、隱匿、銷毀相關(guān)證據(jù)材料。

　　Article 63 The CSRC will establish the sponsorship credit monitoring system for its continuous and dynamic registration management of the sponsor institutions and sponsor representatives, recording the situation of their practice, acts of violation of laws and regulations, and any other improper behavior, and the regulatory measures taken against them, and if necessary, the CSRC may make the records public.

　　第六十三條 中國證監(jiān)會建立保薦信用監(jiān)管系統(tǒng),對保薦機(jī)構(gòu)和保薦代表人進(jìn)行持續(xù)動態(tài)的注冊登記管理,記錄其執(zhí)業(yè)情況、違法違規(guī)行為、其他不良行為以及對其采取的監(jiān)管措施等,必要時可以將記錄予以公布。

　　Article 64 A sponsor institution and its sponsor representatives shall assume the corresponding responsibilities from the date on which the sponsor institution submits the sponsor documents to the CSRC.

　　第六十四條 自保薦機(jī)構(gòu)向中國證監(jiān)會提交保薦文件之日起,保薦機(jī)構(gòu)及其保薦代表人承擔(dān)相應(yīng)的責(zé)任。

　　Article 65 Where the sponsor institution's documents for qualification application contain false records, misleading statements or material omissions, the CSRC shall not approve the said documents; where the said documents have been approved, the sponsor institution shall be revoked of its sponsor qualification.

　　Where the sponsor representatives' documents for qualification application contain false records, misleading statements, or material omissions, the CSRC will not approve the said documents; where the said documents have been approved, the sponsor representatives shall be revoked of their qualification. As for the sponsor institution that submitted such application documents, the CSRC will, within six months from the date of the revocation thereof, not accept qualification applications as recommended by the sponsor institution.

　　第六十五條 保薦機(jī)構(gòu)資格申請文件存在虛假記載、誤導(dǎo)性陳述或者重大遺漏的,中國證監(jiān)會不予核準(zhǔn);已核準(zhǔn)的,撤銷其保薦機(jī)構(gòu)資格。

　　保薦代表人資格申請文件存在虛假記載、誤導(dǎo)性陳述或者重大遺漏的,中國證監(jiān)會不予核準(zhǔn);已核準(zhǔn)的,撤銷其保薦代表人資格。對提交該申請文件的保薦機(jī)構(gòu),中國證監(jiān)會自撤銷之日起6個月內(nèi)不再受理該保薦機(jī)構(gòu)推薦的保薦代表人資格申請。

　　Article 66 Where the sponsor institution, its sponsor representatives, person-in-charge of the sponsor business, or person-in-charge of the internal check fail to perform their relevant obligations faithfully and diligently in accordance with these Measures, the CSRC may order them to make correction, and take regulatory measures against them such as talking with them, paying special attention, ordering them to study business, issuing warning letter, ordering them to issue a public statement, identifying them as inappropriate candidates; where it is necessary to impose an administrative penalty, such administrative penalty shall be imposed in accordance with the relevant provisions; if the circumstance is serious and they are suspected of committing crimes, then such persons shall be handed over to the judicial authorities and criminal liability shall be imposed in accordance with the law.

　　第六十六條 保薦機(jī)構(gòu)、保薦代表人、保薦業(yè)務(wù)負(fù)責(zé)人和內(nèi)核負(fù)責(zé)人違反本辦法,未誠實(shí)守信、勤勉盡責(zé)地履行相關(guān)義務(wù)的,中國證監(jiān)會責(zé)令改正,并對其采取監(jiān)管談話、重點(diǎn)關(guān)注、責(zé)令進(jìn)行業(yè)務(wù)學(xué)習(xí)、出具警示函、責(zé)令公開說明、認(rèn)定為不適當(dāng)人選等監(jiān)管措施;依法應(yīng)給予行政處罰的,依照有關(guān)規(guī)定進(jìn)行處罰;情節(jié)嚴(yán)重涉嫌犯罪的,依法移送司法機(jī)關(guān),追究其刑事責(zé)任。

　　Article 67 In case any of the following circumstances of the sponsor institution, the CSRC may suspend its sponsor qualification for three months from the date of confirmation; if the circumstance is serious, the CSRC may extend the suspension of the qualification of the sponsor institution to six months, and order the sponsor institution to replace its person-in-charge of sponsor business and person-in-charge of internal check; if the circumstances are particularly serious, the CSRC may revoke the qualification of the sponsor institution:

　　(1) The documents in relation to the sponsorship work as submitted to the CSRC and stock exchange contain false records, misleading statements, or material omissions;

　　(2) Failure to effectively implement the internal control system;

　　(3) Failure to effectively implement the due diligence system, internal check system, continuous supervision system, and sponsorship work sheet system;

　　(4) The sponsorship work sheet contains false records, misleading statements, or material omissions;

　　(5) Instigate, insist or cooperate with the issuer and securities service institution in providing such documents containing false records, misleading statements, or material omissions;

　　(6) Instigate, insist, or cooperate with the issuer in interference with the audit work conducted by the CSRC and the issuance examination committee;

　　(7) Seek improper interests by engaging in sponsor business; or

　　(8) Other circumstances of severe violation of the obligations of integrity and due diligence.

　　第六十七條 保薦機(jī)構(gòu)出現(xiàn)下列情形之一的,中國證監(jiān)會自確認(rèn)之日起暫停其保薦機(jī)構(gòu)資格3個月;情節(jié)嚴(yán)重的,暫停其保薦機(jī)構(gòu)資格6個月,并可以責(zé)令保薦機(jī)構(gòu)更換保薦業(yè)務(wù)負(fù)責(zé)人、內(nèi)核負(fù)責(zé)人;情節(jié)特別嚴(yán)重的,撤銷其保薦機(jī)構(gòu)資格:

　　(一)向中國證監(jiān)會、證券交易所提交的與保薦工作相關(guān)的文件存在虛假記載、誤導(dǎo)性陳述或者重大遺漏;

　　(二)內(nèi)部控制制度未有效執(zhí)行;

　　(三)盡職調(diào)查制度、內(nèi)部核查制度、持續(xù)督導(dǎo)制度、保薦工作底稿制度未有效執(zhí)行;

　　(四)保薦工作底稿存在虛假記載、誤導(dǎo)性陳述或者重大遺漏;

　　(五)唆使、協(xié)助或者參與發(fā)行人及證券服務(wù)機(jī)構(gòu)提供存在虛假記載、誤導(dǎo)性陳述或者重大遺漏的文件;

　　(六)唆使、協(xié)助或者參與發(fā)行人干擾中國證監(jiān)會及其發(fā)行審核委員會的審核工作;

　　(七)通過從事保薦業(yè)務(wù)謀取不正當(dāng)利益;

　　(八)嚴(yán)重違反誠實(shí)守信、勤勉盡責(zé)義務(wù)的其他情形。

　　Article 68 In case of existence of any of the following circumstances of the sponsor representative, the CSRC may not accept the recommendation made by the relevant sponsor representative for a period extending between three to twelve months from the date of the confirmation in accordance with the seriousness of the case; if the circumstances are serious, the CSRC may revoke the qualification of the sponsor representative:

　　(1) The sponsor representative causes the due diligence work log to go missing or omits details, or conceals important matters;

　　(2) The sponsor representative fails to complete or participate in the guidance work;

　　(3) The sponsor representative fails to participate in continuous supervision or act with due diligence in the continuous supervision;

　　(4) The issuer is criticized publicly by the stock exchange and the Securities Association of China during the sponsorship period on account of the sponsor business and the sponsorship work the issuer is specifically responsible for;

　　(5) Instigate, insist, or cooperate with the issuer in interference with the audit work conducted by the CSRC and the issuance examination committee;

　　(6) Other circumstance in serious violation of the obligations of being honest, faithful, and diligent.

　　第六十八條 保薦代表人出現(xiàn)下列情形之一的,中國證監(jiān)會可根據(jù)情節(jié)輕重,自確認(rèn)之日起3個月到12個月內(nèi)不受理相關(guān)保薦代表人具體負(fù)責(zé)的推薦;情節(jié)特別嚴(yán)重的,撤銷其保薦代表人資格:

　　(一)盡職調(diào)查工作日志缺失或者遺漏、隱瞞重要問題;

　　(二)未完成或者未參加輔導(dǎo)工作;

　　(三)未參加持續(xù)督導(dǎo)工作，或者持續(xù)督導(dǎo)工作未勤勉盡責(zé);

　　(四)因保薦業(yè)務(wù)或其具體負(fù)責(zé)保薦工作的發(fā)行人在保薦期間內(nèi)受到證券交易所、中國證券業(yè)協(xié)會公開譴責(zé);

　　(五)唆使、協(xié)助或者參與發(fā)行人干擾中國證監(jiān)會及其發(fā)行審核委員會的審核工作;

　　(六)嚴(yán)重違反誠實(shí)守信、勤勉盡責(zé)義務(wù)的其他情形。

　　Article 69 In case of the existence of any of the following circumstances of the sponsor representative, the CSRC may revoke the qualification of the sponsor representative; if the circumstance is serious, the CSRC may adopt the measure of prohibiting the sponsor representative from entering into the securities market:

　　(1) The sponsor representative signs the documents in connection with the sponsorship work and makes a recommendation to issue and list the securities of the issuer, but fails to participate in the due diligence thereof, or the due diligence is not thoroughly carried out, or is inadequate, or obviously inconsistent with the rules of business and industry norms;

　　(2) The sponsor representative seeks improper interests through engaging in sponsor business;

　　(3) The sponsor representative and his/her spouse hold shares in the issuer;

　　(4) Instigate, assist or cooperate with the issuer and securities service institution in providing such documents containing false records, misleading statements, or material omissions;

　　(5) The sponsorship work-related documents containing false records, misleading statements or major omissions, in the preparation of which the sponsor representative has participated.

　　第六十九條 保薦代表人出現(xiàn)下列情形之一的,中國證監(jiān)會撤銷其保薦代表人資格;情節(jié)嚴(yán)重的,對其采取證券市場禁入的措施:

　　(一)在與保薦工作相關(guān)文件上簽字推薦發(fā)行人證券發(fā)行上市，但未參加盡職調(diào)查工作，或者盡職調(diào)查工作不徹底、不充分，明顯不符合業(yè)務(wù)規(guī)則和行業(yè)規(guī)范;

　　(二)通過從事保薦業(yè)務(wù)謀取不正當(dāng)利益;

　　(三)本人及其配偶持有發(fā)行人的股份;

　　(四)唆使、協(xié)助或者參與發(fā)行人及證券服務(wù)機(jī)構(gòu)提供存在虛假記載、誤導(dǎo)性陳述或者重大遺漏的文件;

　　(五)參與組織編制的與保薦工作相關(guān)文件存在虛假記載、誤導(dǎo)性陳述或者重大遺漏。

　　Article 70 Where the sponsor institution and sponsor representative are subject to an investigation as a result of alleged violations of laws and regulations, the CSRC will temporarily not accept recommendations of the sponsor institution, nor accept recommendations of the relevant sponsor representative.

　　第七十條 保薦機(jī)構(gòu)、保薦代表人因保薦業(yè)務(wù)涉嫌違法違規(guī)處于立案調(diào)查期間的,中國證監(jiān)會暫不受理該保薦機(jī)構(gòu)的推薦;暫不受理相關(guān)保薦代表人具體負(fù)責(zé)的推薦。

　　Article 71 In case any of the existence of any of the following circumstances for the issuer, the CSRC shall, from the date of the confirmation, suspend the qualification of the sponsor institution for three months, and revoke the qualification of the sponsor representative of the relevant personnel;

　　(1) Application documents such as documents for the issuance of securities and fund raising contain false records, misleading statements or major omissions;

　　(2) Suffer a loss in the year in which the securities are publicly issued and listed;

　　(3) Information disclosure documents during the continuous supervision period contain false records, misleading statements, or major omissions.

　　第七十一條 發(fā)行人出現(xiàn)下列情形之一的,中國證監(jiān)會自確認(rèn)之日起暫停保薦機(jī)構(gòu)的保薦機(jī)構(gòu)資格3個月,撤銷相關(guān)人員的保薦代表人資格:

　　(一)證券發(fā)行募集文件等申請文件存在虛假記載、誤導(dǎo)性陳述或者重大遺漏;

　　(二)公開發(fā)行證券上市當(dāng)年即虧損;

　　(三)持續(xù)督導(dǎo)期間信息披露文件存在虛假記載、誤導(dǎo)性陳述或者重大遺漏。

　　Article 72 In case of the existence of any of the following circumstances for the issuer during the continuous supervision period, the CSRC may, in accordance with the seriousness of the case, cease the acceptance of the recommendation of the relevant sponsor representative within three to twelve months; If the circumstance is particularly serious, the CSRC may revoke the qualification of the sponsor representative of the relevant personnel.

　　(1) The appropriation and use of 50% or more of the raised funds in the year in which the securities are listed is inconsistent with the commitment;

　　(2) The operation profit in the year in which the securities are publicly issued and listed on the main board declines by 50 percent or more;

　　(3) The controlling shareholders or the actual controllers change within 12 months from the date of the initial public offering and listing of stock;

　　(4) An accumulative 50% or above assets or primary business is subject to restructuring within 12 months from the date of the initial pubic offering and listing of stock;

　　(5) An accumulative 50% or above assets or primary business is subject to restructuring within 12 months from the date of the public offering of new stock and convertible bonds by the listed company, and such restructuring is not disclosed in the documents for the issuance of securities and fund raising;

　　(6) The actual profit is lower by a margin of 20% or more as compared to the profit forecast;

　　(7) The associated transaction, which involves a larger amount of money, is obviously unfair or violates procedural provisions;

　　(8) The controlling shareholders, actual controllers, or other related parties take up resources of the issuer in violation of provisions, and the amount involved is relatively large;

　　(9) Providing security for others in violation of provisions, and the amount involved is relatively large;

　　(10) Purchasing or selling assets, making loans, or entrusting asset management in violation of provisions, and the amount involved is relatively large;

　　(11) The directors, supervisors, and senior management personnel encroach upon the interests of the issuer, and are subject to administrative penalty or criminal liability;

　　(12) Violating the relevant laws and regulations governing standard operation and information disclosure of the listed company;

　　(13) Other circumstances as prescribed by the CSRC.

　　第七十二條 發(fā)行人在持續(xù)督導(dǎo)期間出現(xiàn)下列情形之一的,中國證監(jiān)會可根據(jù)情節(jié)輕重,自確認(rèn)之日起3個月到12個月內(nèi)不受理相關(guān)保薦代表人具體負(fù)責(zé)的推薦;情節(jié)特別嚴(yán)重的,撤銷相關(guān)人員的保薦代表人資格:

　　(一)證券上市當(dāng)年累計50%以上募集資金的用途與承諾不符;

　　(二)公開發(fā)行證券并在主板上市當(dāng)年?duì)I業(yè)利潤比上年下滑50%以上;

　　(三)首次公開發(fā)行股票并上市之日起12個月內(nèi)控股股東或者實(shí)際控制人發(fā)生變更;

　　(四)首次公開發(fā)行股票并上市之日起12個月內(nèi)累計50%以上資產(chǎn)或者主營業(yè)務(wù)發(fā)生重組;

　　(五)上市公司公開發(fā)行新股、可轉(zhuǎn)換公司債券之日起12個月內(nèi)累計50%以上資產(chǎn)或者主營業(yè)務(wù)發(fā)生重組，且未在證券發(fā)行募集文件中披露;

　　(六)實(shí)際盈利低于盈利預(yù)測達(dá)20%以上;

　　(七)關(guān)聯(lián)交易顯失公允或者程序違規(guī)，涉及金額較大;

　　(八)控股股東、實(shí)際控制人或其他關(guān)聯(lián)方違規(guī)占用發(fā)行人資源，涉及金額較大;

　　(九)違規(guī)為他人提供擔(dān)保，涉及金額較大;

　　(十)違規(guī)購買或出售資產(chǎn)、借款、委托資產(chǎn)管理等，涉及金額較大;

　　(十一)董事、監(jiān)事、高級管理人員侵占發(fā)行人利益受到行政處罰或者被追究刑事責(zé)任;

　　(十二)違反上市公司規(guī)范運(yùn)作和信息披露等有關(guān)法律法規(guī)，情節(jié)嚴(yán)重的;

　　(十三)中國證監(jiān)會規(guī)定的其他情形。

　　Article 73 Where the recommendation for which the sponsor representative is responsible is temporarily refused or the sponsor representative is revoked of his/her qualification, the person-in-charge of the internal check shall assume the corresponding liabilities; With respect to any accepted recommendation for which the said sponsor representative is responsible, the sponsor institution shall withdraw the recommendation; if the circumstance is serious, the sponsor institution may be ordered to correct its various sponsor business systems and replace the person-in-charge of the sponsor business and person-in-charge of the internal check within the prescribed period; otherwise, the sponsor institution shall be revoked of its sponsor qualification.

　　第七十三條 保薦代表人被暫不受理具體負(fù)責(zé)的推薦或者被撤銷保薦代表人資格的,保薦業(yè)務(wù)負(fù)責(zé)人、內(nèi)核負(fù)責(zé)人應(yīng)承擔(dān)相應(yīng)的責(zé)任,對已受理的該保薦代表人具體負(fù)責(zé)推薦的項(xiàng)目,保薦機(jī)構(gòu)應(yīng)當(dāng)撤回推薦;情節(jié)嚴(yán)重的,責(zé)令保薦機(jī)構(gòu)就各項(xiàng)保薦業(yè)務(wù)制度限期整改,責(zé)令保薦機(jī)構(gòu)更換保薦業(yè)務(wù)負(fù)責(zé)人、內(nèi)核負(fù)責(zé)人,逾期仍然不符合要求的,撤銷其保薦機(jī)構(gòu)資格。

　　Article 74 Where the regulatory measures as prescribed in Article 66 of these Measures are adopted against the sponsor institution, person in charge of the sponsor business, or person in charge of the internal check, within one year for an accumulative five or more times, the CSRC may suspend the sponsor qualification of the sponsor institution for three months, and order the sponsor institution to replace such person-in-charge of the sponsor business, and person-in-charge of the internal check.

　　Where regulatory measures as prescribed in Article 66 of these Measures are adopted against the sponsor representative within two years for an accumulative two or more times, the CSRC may not accept the recommendation for which the said sponsor representative is specifically responsible for a period of six months.

　　第七十四條 保薦機(jī)構(gòu)、保薦業(yè)務(wù)負(fù)責(zé)人或者內(nèi)核負(fù)責(zé)人在1個自然年度內(nèi)被采取本辦法第六十六條規(guī)定監(jiān)管措施累計5次以上,中國證監(jiān)會可暫停保薦機(jī)構(gòu)的保薦機(jī)構(gòu)資格3個月,責(zé)令保薦機(jī)構(gòu)更換保薦業(yè)務(wù)負(fù)責(zé)人、內(nèi)核負(fù)責(zé)人。

　　保薦代表人在2個自然年度內(nèi)被采取本辦法第六十六條規(guī)定監(jiān)管措施累計2次以上,中國證監(jiān)會可6個月內(nèi)不受理相關(guān)保薦代表人具體負(fù)責(zé)的推薦。

　　Article 75 If the sponsor institution and its sponsor representatives defend themselves against the regulatory measure taken by the CSRC, and there is sufficiently well-established evidence proving the following facts, the CSRC shall accept the said defense:

　　(1) The issuer or its directors, supervisors, senior management personnel deliberately conceal important facts, but the sponsor institution and its sponsor representatives have performed their due diligence obligations;

　　(2) The issuer has made special note in the documents for the issuance of securities and fund raising, and the sponsor institution and its sponsor representatives have performed their due diligence obligations;

　　(3) The issuer suffers abnormality in its performance, application of raised funds, etc., or fails to fulfill its commitment due to force majeure events;

　　(4) The issuer and its directors, supervisors, and senior management personnel intentionally violate laws and regulations during the continuous supervision period, but the sponsor institution and the sponsor representatives have revealed the violation on their initiative and performed their due diligence obligation.

　　(5) Other circumstances in which the sponsor institution and its sponsor representatives have performed their due diligence obligations.

　　第七十五條 對中國證監(jiān)會采取的監(jiān)管措施,保薦機(jī)構(gòu)及其保薦代表人提出申辯的,如有充分證據(jù)證明下列事實(shí)且理由成立,中國證監(jiān)會予以采納:

　　(一)發(fā)行人或其董事、監(jiān)事、高級管理人員故意隱瞞重大事實(shí)，保薦機(jī)構(gòu)和保薦代表人已履行勤勉盡責(zé)義務(wù);

　　(二)發(fā)行人已在證券發(fā)行募集文件中做出特別提示，保薦機(jī)構(gòu)和保薦代表人已履行勤勉盡責(zé)義務(wù);

　　(三)發(fā)行人因不可抗力致使業(yè)績、募集資金運(yùn)用等出現(xiàn)異?；蛘呶茨苈男谐兄Z;

　　(四)發(fā)行人及其董事、監(jiān)事、高級管理人員在持續(xù)督導(dǎo)期間故意違法違規(guī)，保薦機(jī)構(gòu)和保薦代表人主動予以揭示，已履行勤勉盡責(zé)義務(wù);

　　(五)保薦機(jī)構(gòu)、保薦代表人已履行勤勉盡責(zé)義務(wù)的其他情形。

　　Article 76 Where the issuer and its directors, supervisors, and senior management personnel violate the provisions of these Measures, fail to engage another sponsor institution after changing the sponsor institution, violate laws and regulations during the continuous supervision period and refuse to make correction, fail to promptly notify the sponsor of the occurrence of significant matters, or do not cooperate in the sponsorship work, the CSRC may order them to make correction, make the case public, or adopt the following regulatory measures in light of the seriousness of the case:

　　(1) Require the issuer to report the situation of its acceptance of the sponsor institution's supervision to the CSRC;

　　(2) Require the issuer to disclose the monthly financial reports and other relevant information;

　　(3) Designate a securities service institution to conduct verification and inspection;

　　(4) Require the stock exchange to make special note on the transaction of the issuer's securities;

　　(5) Not accept the application of the issuer for issuance of securities within 36 months; and

　　(6) Identify the directly responsible directors and other responsible persons whose functions have been inappropriate.

　　第七十六條 發(fā)行人及其董事、監(jiān)事、高級管理人員違反本辦法規(guī)定,變更保薦機(jī)構(gòu)后未另行聘請保薦機(jī)構(gòu),持續(xù)督導(dǎo)期間違法違規(guī)且拒不糾正,發(fā)生重大事項(xiàng)未及時通知保薦機(jī)構(gòu),或者發(fā)生其他嚴(yán)重不配合保薦工作情形的,中國證監(jiān)會可以責(zé)令改正,予以公布并可根據(jù)情節(jié)輕重采取下列監(jiān)管措施:

　　(一)要求發(fā)行人每月向中國證監(jiān)會報告接受保薦機(jī)構(gòu)督導(dǎo)的情況;

　　(二)要求發(fā)行人披露月度財務(wù)報告、相關(guān)資料;

　　(三)指定證券服務(wù)機(jī)構(gòu)進(jìn)行核查;

　　(四)要求證券交易所對發(fā)行人證券的交易實(shí)行特別提示;

　　(五)36個月內(nèi)不受理其發(fā)行證券申請;

　　(六)將直接負(fù)責(zé)的主管人員和其他責(zé)任人員認(rèn)定為不適當(dāng)人選。

　　Article 77 Where the securities service institution and its signatory violate provisions of these Measures, the CSRC may order them to make correction, and adopt regulatory measures such as talking with them, paying special attention, issuing warning letter, ordering them to issue a public statement or identify them as inappropriate candidates.

　　第七十七條 證券服務(wù)機(jī)構(gòu)及其簽字人員違反本辦法規(guī)定的,中國證監(jiān)會責(zé)令改正,并對相關(guān)機(jī)構(gòu)和責(zé)任人員采取監(jiān)管談話、重點(diǎn)關(guān)注、出具警示函、責(zé)令公開說明、認(rèn)定為不適當(dāng)人選等監(jiān)管措施。

　　Article 78 Where the professional opinions as produced by the securities service institution and its signatory contain false records, misleading statements, or major omissions, or the securities service institution and its signatory fail to cooperate in the sponsorship work, thus causing serious repercussions, the CSRC will not accept their documents within six to thirty-six months from the date of confirmation, and will make the result of settlement public.

　　第七十八條 證券服務(wù)機(jī)構(gòu)及其簽字人員出具的專業(yè)意見存在虛假記載、誤導(dǎo)性陳述或重大遺漏,或者因不配合保薦工作而導(dǎo)致嚴(yán)重后果的,中國證監(jiān)會自確認(rèn)之日起6個月到36個月內(nèi)不受理其文件,并將處理結(jié)果予以公布。

　　Article 79 Where the issuer or its directors, supervisors, senior management personnel, securities service institution or its signatory violate the laws or administrative regulations, they shall be subject to administrative penalty in accordance with laws, the penalty shall be imposed pursuant to the relevant provisions; In the event any of the said persons is suspected of having committed a crime, such person shall be handed over to the judicial authorities for imposition of criminal liability in accordance with the law.

　　第七十九條 發(fā)行人及其董事、監(jiān)事、高級管理人員、證券服務(wù)機(jī)構(gòu)及其簽字人員違反法律、行政法規(guī),依法應(yīng)予行政處罰的,依照有關(guān)規(guī)定進(jìn)行處罰;涉嫌犯罪的,依法移送司法機(jī)關(guān),追究其刑事責(zé)任。

　　Chapter 7: Supplementary Provisions 第七章 附則

　　Article 80 For the purpose of these Measures, the "sponsor institution" shall refer to the "sponsor" stated in Article 11 of the Securities Law.

　　第八十條 本辦法所稱"保薦機(jī)構(gòu)",是指《證券法》第十一條所指"保薦人"。

　　Article 81 Securities Association of China or another institution as approved by the CSRC, may organize the competence examination for the sponsor representatives.

　　第八十一條 中國證券業(yè)協(xié)會或者經(jīng)中國證監(jiān)會認(rèn)可的其他機(jī)構(gòu),可以組織保薦代表人勝任能力考試。

　　Article 82 Sponsor institutions that have engaged in sponsor business for securities issuance and listing before implementation of these Measures and are not fully in line with provisions of these Measures shall, within three months from the date of effectiveness of these Measures, meet the requirements as stipulated in these Measures, and shall be subject to the examination and approval of the CSRC. If a sponsor institution fails to meet the requirements hereof within the said time limit, the CSRC will cancel its qualification as a sponsor institution.

　　第八十二條 本辦法實(shí)施前從事證券發(fā)行上市保薦業(yè)務(wù)的保薦機(jī)構(gòu),不完全符合本辦法規(guī)定的,應(yīng)當(dāng)在本辦法實(shí)施之日起3個月內(nèi)達(dá)到本辦法規(guī)定的要求,并由中國證監(jiān)會組織驗(yàn)收。逾期仍然不符合要求的,中國證監(jiān)會撤銷其保薦機(jī)構(gòu)資格。

　　Article 83 These Measures shall become effective from December 1, 2008, and the Interim Measures for Stock Issuing and Listing Sponsor System (No. 18 Order of the CSRC), and the Measures for Guidance on the Initial Public Offering of Stocks (Zheng Jian Fa [2001] No. 125) shall be concurrently superseded.

　　第八十三條 本辦法自2008年12月1日起施行,《證券發(fā)行上市保薦制度暫行辦法》(證監(jiān)會令第18號)、《首次公開發(fā)行股票輔導(dǎo)工作辦法》(證監(jiān)發(fā)[2001]125號)同時廢止。