- 中国商业贸易法律法规中英数据库(一) A B C D E F G H I J K L M N O P Q R S T U V W X Y Z
中国商业贸易法律法规中英数据库(一)
- 第五十二条 违反本法规定，电力、石油加工、化工、钢铁、有色金属和建材等企业未在规定的范围或者期限内停止使用不符合国家规定的燃油发电机组或者燃油锅炉的，由县级以上地方人民政府循环经济发展综合管理部门责令限期改正；逾期不改正的，责令拆除该燃油发电机组或者燃油锅炉，并处五万元以上五十万元以下的罚款。 Article 52 Where any enterprise engaging in power, oil processing, chemical, steel, non-ferrous metals and building materials etc. violates provisions herein by failing to stop using any oil generating set and oil-fired boiler which does not comply with provisions of the State within the scope and time limit, the general administration for promoting circular economy under the people’s government above county level shall order it/him to make corrections; if it/he does not make any correction within the time limit, the said administration shall order it to dismantle the oil generating set or oil-fired boiler and impose a fine of RMB50, 000 up to RMB500, 000.
- 第五十二条 上市公司董事、监事和高级管理人员在重大资产重组中，未履行诚实守信、勤勉尽责义务，导致重组方案损害上市公司利益的，责令改正，采取监管谈话、出具警示函等监管措施；情节严重的，处以警告、罚款，并可以采取市场禁入的措施；涉嫌犯罪的，依法移送司法机关追究刑事责任。 Article 52 Where the directors , supervisors and senior managers of the listed company fail to perform the obligation of being honest, credible, diligent and dutiful during the material assets reorganization, causing the reorganization scheme to damage the interests of the listed company, correction is demanded, and regulatory measures such as regulatory talks or presentation of the letter of warning shall be taken; if the circumstances are serious, warning and a penalty shall apply, and relevant measures for banning the entry into the securities market against the relevant liable persons can be adopted; where a crime is suspected, the offender shall be handed over to the judicial organs where he shall be pursued for criminal liability according to the law.
- 第五十二条 被处置证券公司以及其分支机构所在地人民政府，应当按照国家有关规定配合证券公司风险处置工作，制订维护社会稳定的预案，排查、预防和化解不稳定因素，维护被处置证券公司正常的营业秩序。 Article 52 Local government of the handled securities firm as well as its branch should cooperation risk management work of the securities firm according to related national regulation, develop pre-proposal to maintain social stability, check, prevent and eliminate unstable factors, and maintain normal business order of the handled securities firm
- 第五十三条 客户证券担保账户内的证券和客户资金担保账户内的资金为信托财产。证券公司不得违背受托义务侵占客户担保账户内的证券或者资金。除本条例第五十四条规定的情形或者证券公司和客户依法另有约定的情形外，证券公司不得动用客户担保账户内的证券或者资金。 Article 53 Securities in the customer securities guarantee account and fund in the customer fund guarantee account are trust assets. The securities firm shall not breach the trustee obligation and misappropriate the securities or fund in the customer guarantee accounts. Except for circumstances prescribed in Article 54 of this Regulation or other agreements reached by the securities firm and customers according to law, the securities firm shall not use the securities or fund in the customer guarantee accounts.
- 第五十三条 公司应按如下要求披露诉讼和仲裁事项： Article 53 The Company shall make disclosure of litigation and arbitration events according to the following requirements:
- 第五十三条 非金融机构经营结汇、售汇业务，应当由国务院外汇管理部门批准，具体管理办法由国务院外汇管理部门另行制定。 Article 53 Where a non-financial institution engages in business of the settlement and sale of foreign exchange, it shall be approved by the administration of foreign exchange under the State Council. Specific administrative measures shall be formulated by the administration of foreign exchange under the State Council separately.
- 第五十三条 违反本法规定，矿山企业未达到经依法审查确定的开采回采率、采矿贫化率、选矿回收率、矿山水循环利用率和土地复垦率等指标的，由县级以上人民政府地质矿产主管部门责令限期改正，处五万元以上五十万元以下的罚款；逾期不改正的，由采矿许可证颁发机关依法吊销采矿许可证。 Article 53 Where any mining enterprise violates the provisions herein by failing to meet the indicators concerning mining recovery rate, dilution rate, recovery of ore dressing, water cycle utilization rate of the mine and land reclamation rate etc., the department of geology and mineral resources under the people’s government above county level shall order it/him to make corrections within a time limit and impose a fine of RMB50,000 up to RMB500,000; if it/he does not make any correction within the time limit, the exploitation license issuing agency shall revoke its/his exploitation license by law.
- 第五十三条 为重大资产重组出具财务顾问报告、审计报告、法律意见、资产评估报告及其他专业文件的证券服务机构及其从业人员未履行诚实守信、勤勉尽责义务，违反行业规范、业务规则，或者未依法履行报告和公告义务、持续督导义务的，责令改正，采取监管谈话、出具警示函等监管措施；情节严重的，依照《证券法》第二百二十六条予以处罚。 Article 53 Where securities service organs and their employees that issue report of the financial consultants, the audit report, legal opinions, assets evaluation report and other professional documents for the material assets reorganization fail to perform the obligation of being honest, credible, diligent and dutiful, and violate industrial norms and business rules, or fail to perform the obligations of reporting, public announcement and continuous supervision, correction is demanded, and regulatory measures such as regulatory talks or presentation of the letter of warning shall be taken; if the circumstances are serious, a penalty shall be imposed according to Article 223 of the Securities Law.
- 第五十三条 证券投资者保护基金管理机构应当按照国家规定，收购债权、弥补客户的交易结算资金。 Article 53 Protection fund regulatory institute for securities investors should acquire creditor's right and make up transaction settlement fund of customers according to national regulation.
- 第五十四条 应披露被清算基金的名称、基金合同终止的原因、摘要披露清算报告内容，包括清算费用、基金财产清算后剩余资产金额、基金财产清算后剩余资产扣除基金财产清算费用后的余额（如有）、余额的分配等。 Article 54 The Company shall make disclosure of the name of each liquidated fund, reasons for the termination of the fund contract and summary of the liquidation report contents, including the liquidation expense, the amount of the residual assets after liquidation, the balance (if any) of the residual assets after deducting the liquidation expense, and the distribution of such balance, etc.
- 第五十四条 本条例自公布之日起施行。 Article 54 The Regulations shall enter into force as of the date of promulgation.
- 第五十四条 证券公司应当逐日计算客户担保物价值与其债务的比例。 Article 54 The securities firm shall calculate day by day the ratio of the value of the customer’s collaterals and its debts.
- 第五十四条 违反本法规定，在国务院或者省、自治区、直辖市人民政府规定禁止生产、销售、使用粘土砖的期限或者区域内生产、销售或者使用粘土砖的，由县级以上地方人民政府指定的部门责令限期改正；有违法所得的，没收违法所得；逾期继续生产、销售的，由地方人民政府工商行政管理部门依法吊销营业执照。 Article 54 Where any entity or individual violates the provisions herein to produce, sell or use clay bricks within the time limit or place when or where the production, sale and use of clay brick are prohibited by the State Council or people’s governments of provinces, autonomous regions and municipalities directly under the Central Government, the department designated by the people’s government above county level shall order it/him to make corrections and confiscate its/his illegal proceedings if any. If it/he continues to produce or sell clay bricks over the time limit, the administration for industry and commerce under the local government shall revoke it/his business license by law.
- 第五十四条 重大资产重组实施完毕后，凡不属于上市公司管理层事前无法获知且事后无法控制的原因，上市公司或者购买资产实现的利润未达到盈利预测报告或者资产评估报告预测金额的80%，或者实际运营情况与重大资产重组报告书中管理层讨论与分析部分存在较大差距的，上市公司的董事长、总经理以及对此承担相应责任的会计师事务所、财务顾问、资产评估机构及其从业人员应当在上市公司披露年度报告的同时，在同一报刊上作出解释，并向投资者公开道歉； Article 54 After the completion of the execution of the material assets reorganization, if for reasons that the management of the listed company cannot know beforehand and cannot control afterwards, the profit realized by the listed company and the assets purchased fail to reach 80% of the forecasted amount in the profit forecast report of the assets evaluation report, or there is relatively big variance between the actual operation and the section of Discussion and Analysis by the Management of the material assets reorganization report, the chairman and the general manager of the listed company and the accounting firms, financial consultants, assets evaluation organs and their employees that should bear corresponding responsibilities shall, at the same time when the listed company discloses the annual report, provide explanation in the same press and publicly apologize to the investors;
- 第五十四条 被处置证券公司的股东、实际控制人、债权人以及与被处置证券公司有关的机构和人员，应当配合证券公司风险处置工作。 Article 54 Shareholder, actual controller and creditor of the handled securities firm and related party as well as personnel of the handled securities firm should cooperate on risk management work of the securities firm.
- 第五十五条 应披露在前述章节中尚未涉及的可能影响其财务状况和经营成果的主要表外项目的总额及有关情况。 Article 55 The Company shall make disclosure of the total sum and related situation of all major off-sheet items which are not mentioned above but may affect the financial status and business performance of the Company.
- 第五十五条 客户依照本条例第五十二条第一款规定交存保证金的比例，由国务院证券监督管理机构授权的单位规定。 Article 55 The percentage of the deposit to be paid by the customer according to Item 1 of Article 52 of this Regulation shall be determined by units that are authorized by the securities regulatory agency under the State Council.
- 第五十五条 违反本法规定，电网企业拒不收购企业利用余热、余压、煤层气以及煤矸石、煤泥、垃圾等低热值燃料生产的电力的，由国家电力监管机构责令限期改正；造成企业损失的，依法承担赔偿责任。 Article 55 Where any power grid enterprise violates provisions herein by refusing to purchase the power generated by any enterprise by utilizing remaining heat and pressure, coalbed gas, and low-calorie fuels including gangue, slime and garbage etc., the national power regulatory organ shall order it to make corrections within a time limit; if there is any loss to the latter enterprise arising from the refusal, the power grid enterprise shall bear compensation liabilities by law.
- 第五十五条 任何知悉重大资产重组信息的人员在相关信息依法公开前，泄露该信息、买卖或者建议他人买卖相关上市公司证券、利用重大资产重组散布虚假信息、操纵证券市场或者进行欺诈活动的，依照《证券法》第二百零二条、第二百零三条、第二百零七条予以处罚；涉嫌犯罪的，依法移送司法机关追究刑事责任。 Article 55 Where any persons who are aware of the information of the material assets reorganization, if before the relevant information is disclosed according to the law, leak the information, buy or sell or suggest other people to buy or sell securities related to the listed company, make use of the material assets reorganization to spread false information, manipulate the securities market or conduct fraudulent activities, penalty shall be imposed pursuant to Articles 202, 203 and 207 of the Securities Law; where a crime is suspected, the offender shall be handed over to the judicial organs where he shall be pursued for criminal liability according to the law.
- 第五十五条 被处置证券公司的董事、监事、高级管理人员以及其他有关人员应当妥善保管其使用和管理的证券公司财产、印章和账簿、文书等资料以及其他物品，按照要求向托管组、接管组、行政清理组或者管理人移交，并配合风险处置现场工作组、托管组、接管组、行政清理组的调查工作。 Article 55 Board of director, supervisor, senior management and other related person of the handled securities firm should properly keep property, chop, account book, document and other substance of the securities firm, which are used or managed. They should hand them over to custody group, takeover group, administrative liquidation group or manager and cooperate with spot risk management group, custody group, takeover group and administrative liquidation group on the investigation.
- 第五十六条 应披露公司本年度被处罚情况，包括公司和董事、监事和高级管理人员被证监会、证券业协会、证券交易所处罚或公开谴责，以及被财政、税务、外汇和审计等部门做出重大处罚的记录等。 Article 56 The Company shall make disclosure of the punishments received in the current year, including the punishments and public condemnations imposed by the CSRC, the Securities Association of China and securities exchanges on the Company and its directors, supervisors and senior managers, and records of gross punishments imposed by departments in charge of public finance, taxation, foreign exchange and auditing, etc.
- 第五十六条 证券公司从事融资融券业务，自有资金或者证券不足的，可以向证券金融公司借入。证券金融公司的设立和解散由国务院决定。 Article 56 Where a securities firm carries out securities lending and borrowing but does not have sufficient funds or securities, it can borrow from the securities financial companies. The establishment and dismissal of securities financial companies shall be determined by the State Council.
- 第五十六条 违反本法规定，有下列行为之一的，由地方人民政府工商行政管理部门责令限期改正，可以处五千元以上五万元以下的罚款；逾期不改正的，依法吊销营业执照；造成损失的，依法承担赔偿责任： Article 56 Where any entity or individual has any of the following acts, the administrations for industry and commerce under the people’s governments above county level shall order it/him to make corrections within a time limit and may impose a fine of RMB5, 000 up to RMB50, 000; if it/he does not make any correction within the time limit, the said administration shall revoke its/his business license by law; if there is any loss due to such acts, it/he shall bear compensation liabilities:
- 第五十六条 本办法自2008年5月18日起施行。中国证监会发布的《关于上市公司重大购买、出售、置换资产若干问题的通知》（证监公司字〔2001〕105号）同时废止。 Article 56 The Measures will come into force as of May 18, 2008. The Notice of the China Securities Regulatory Commission on Several Issues Concerning Major Purchases, Sales and Exchanges of Assets by Listed Companies (No.105 [2001] of the China Securities Regulatory Commission) will be repealed at the same time.
- 第五十六条 托管组、接管组、行政清理组以及被责令停业整顿、托管和行政重组的证券公司，应当按照规定向国务院证券监督管理机构报告工作情况。 Article 56 Custody group, takeover group, administrative liquidation group and securities firm that is ordered to close business for rectification, be held custody or administrative restructuring should report working status to securities regulatory authority under the State Council according to regulation.
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