证券交易所管理办法（二）

systems.

　　Article 70 A stock registration settlement agency may， through the form of conclusion of an agreement， entrust other stock registration settlement agencies as agents of part of the services of registration， deposit safekeeping， settlement and payment acceptance of the listed securities.

　　Article 71 A stock registration settlement agency should conclude a business agreement with the stock exchange and submit the same to CSSCC for the record.

　　Article 72 The settlement position and settlement clearing reserve funds paid and deposited by members of a stock exchange for participating in transactions in the trading market of the stock exchange should be kept as special-purpose deposits by the stock registration settlement agency. The stock registration settlement agency should clearly define the uses and rates of collection of the aforesaid funds in its business rules， and exercise stringent control over the aforesaid funds， strictly forbid overdraft and must not use them for other purposes.

　　A stock registration settlement agency should establish a settlement system risk assurance fund and establish a complete risk control system to guarantee continuity and safety of securities trading and settlement payment acceptance. Clear-cut provisions shall be worked out in the business rules of the stock registration settlement agency on the composition and principle in the use of the settlement system risk assurance fund.

　　Article 73 A stock registration settlement agency should， pursuant to the service contract concluded with the securities issuers， provide the securities issuers with a register of the securities holders and other relevant information at regular or irregular intervals. The securities holders' register provided by a stock registration settlement agency constitutes the valid voucher proving the rights and interests of the securities holders under conditions of paperless issuance and transactions. The stock registration settlement agency should ensure the legitimacy， truthfulness and integrity of the securities holders' register. No agency or individual shall forge， alter， damage or destroy t

he securities holders' register and other relevant information.

　　Article 74 A stock registration settlement agency have the right to refuse any unit or individual in making inquiries about the securities holders' register and its relevant information. However， the following circumstances are exceptions：

　　（1）inquiry by the securities holder himself/herself or by a trustee entrusted through notarization；

　　（2）provision of the securities holders' register and other relevant information for the securities issuers pursuant to Article 73 of these Measures； and

　　（3）inquiries and evidence gathering by CSSCC and its authorized departments， people's courts， people's procuratorates and other state organs pursuant to the provisions and procedures of laws and regulations.

　　Article 75 A stock registration settlement agency should， pursuant to the provisions of CSSCC， establish and perfect internal administrative rules and working procedures on business， finance and security precaution etc. and submit the same to CSSCC for the record.

　　A stock registration settlement agency should appropriately keep the original vouchers which come into being insecurities registration， deposit and safekeeping， settlement and payment acceptance businesses， determine the duration of safekeeping in accordance with the requirements and submit it to CSSCC for approval. The duration of safekeeping for important documents should not be less than 20 years. Accounting vouchers and statements shall be handled pursuant to the provisions of the department of finance.

　　Article 76 Implementation of the employment qualifications for the administrators and staff members of stock registration settlement agencies shall be effected with reference to the provisions of Article 28 of these Measures.

　　Article 77 A stock registration settlement agency should， in going through the formalities of application for suspension of business and dissolution according to legal procedures， submit the same to CSSCC for the record.

　　Chapter IX Administration and Supervision

　　Article 78 No stock exchange shall transfer in any form its permits for establishment and business obtained pursuant to these Measures.

　　Article 79 High-ranking managerial personnel of a stock exchange or stock registration settlement agency shall have the obligation of honesty and good faith towards the agency in which he/she is employed.

　　When the general manager of a stock exchange or stock registration settlement agency leaves the post， the board of directors of the exchange should employ the local audit bureau or an accounting firm with qualifications in securities-related business to conduct audit of the departure of the general manager from the office. The audit agency employed by the exchange shall be submitted to CSSCC for confirmation.

　　Article 80 No general manager or deputy general manager（s） of a stock exchange or securities registration settlement agency shall serve concurrently in another position in any profit-making organization， society or agency. Non-member directors and other staff members of a stock exchange must not in any form serve concurrently in another position in a member company of the stock exchange.

　　Article 81 The high-ranking managerial personnel and other staff members of stock exchanges and stock registration settlement agencies must not in any form divulge or exploit inside information and must not in any form gain benefits from members or listed companies of stock exchanges.

　　Article 82 The high-ranking managerial personnel and other staff members of stock exchanges and stock registration settlement agencies should practise avoidance in encountering circumstances involving their own interests or those of their relatives in the performance of duties and responsibilities. Specific avoidance matters shall be stipulated in their articles of association and bus

iness rules.

　　Article 83 All kinds of funds and fees received and collected by stock exchanges and stock registration settlement agencies should be used in strict accordance with the prescribed uses， shall be administered with the formulation of special rules for administration and must not be used for other purposes.

　　Surpluses of revenues and expenditures of stock exchanges must not be distributed to members.

　　The rates and modes of collection of the a fore-said fees should be submitted to the competent departments of fee collection for the record.

　　Article 84 Stock exchanges and stock registration settlement agencies should fulfil the following reporting obligations：

　　（1）to submit a financial report audited by an accounting firm with qualifications for securities operations to CSSCC within three months after the end of every fiscal year.

　　（2）to submit a quarterly work report and an annual work report on the status of business and the status of implementation of relevant state laws， regulations， rules and policies to CSSCC within 15 days after the end of every quarter and within 30 days after the end of every year. A copy of the annual work report shall be submitted to the people's government of the locality wherein the stock exchange is located.

　　（3）matters to be reported pursuant to the provisions of other relevant state laws， regulations， rules， policies and other articles of these Measures.

　　（4）other matters to be reported pursuant to the requirements of CSSCC.

　　Article 85 In the event of major matters， a stock exchange should submit a report to CSSCC at any time.

　　The major matters referred to in the preceding paragraph include；

　　（1）uncovering of the existence or possible existence of acts in serious violation of relevant state laws， regulations， rules and policies by members， the listed companies， securities investors of the stock registration settlement agency or the stock exchange and staff members of the stock exchange；

　　（2）uncovering in the securities market of the existence of potential risks of occurence of acts in serious violation of relevant state laws， regulations， rules and policies；

　　（3）occurence in the securities market of matters without clear-cut provisions in relevant state laws， regulations， rules and policies which however will produce major impacts on the securities market；

　　（4）matters that require the stock exchange to make major decisions in the process of implementation of relevant state laws， regulations， rules and policies；

　　（5）other matters the stock exchange deems it necessary to report； and

　　（6）other matters prescribed by CSSCC.

　　Article 86 In the event of the following matters， a stock exchange should submit a report to CSSCC at any time， simultaneously submit a copy of the report to the people's government of the locality wherein the stock exchange is located， and inform the members of the exchange and securities investors in an appropriate way：

　　（1）occurence of circumstances affecting the safe operations of the stock exchange； and

　　（2）suspension of market in the stock exchange due to force majeure or adoption of technical measures for the suspension of market for the maintenance of normal securities trading order.

　　Article 87 Stock exchanges and stock registration settlement agencies should， in accordance with the requirements of CSSCC， provide securities market information， business documents and other relevant data and materials to CSSCC.

　　Article 88 CSSCC has the power to ask sto

┨网页设计特效库┠ http://www。z┗co⊙l。com/网页特效/