中国商业贸易法律法规中英数据库(二)
第一百三十四条证券公司自营业务必须以自己的名义进行，不得假借他人名义或者以个人名义进行。 Article 134. Securities companies' proprietary business shall be conducted in the names of the securities companies themselves and not in other's names or in the names of individuals.第一百三十五条 违反本法规定，擅自设立保险公司或者非法从事商业保险业务活动的，依法追究刑事责任，并由金融监督管理部门予以取缔。情节轻微，不构成犯罪的，给予行政处罚。 Article 135 Anyone who violates the provisions of this Law and establishes an insurance company without approval, or illegally transacts commercial insurance activities, shall be subject to criminal proceedings in accordance with laws, and the action by the financial supervision and regulation department. If the circumstances are not material enough to constitute a crime, administrative sanctions shall be imposed.第一百三十五条出卖人应当履行向买受人交付标的物或者交付提取标的物的单证，并转移标的物所有权的义务。 Article 135 Seller's Obligations with Respect to Title Transfer The seller shall perform the obligations of delivering to the buyer the subject matter or the document for taking delivery thereof, as well as transferring title to the subject matter.第一百三十五条：国务院可以对公司发行本法规定的股票以外的其他种类的股票，另行作出规定。 Article 135 The State Council may make separate stipulations relating to a company's issuance of shares of classes other than those prescribed herein.第一百三十五条证券公司依法享有自主经营的权利，其合法经营不受干涉。 Article 135. Securities companies shall have the right to operate independently in accordance with the law, and their legitimate operations shall not be interfered.第一百三十六条 违反本法规定，超出核定的业务范围从事保险业务的，由金融监督管理部门责令改正，责令退还收取的保险费，有违法所得的，没收违法所得，并处以违法所得一倍以上五倍以下的罚款；没有违法所得的，处以十万元以上五十万元以下的罚款；逾期不改正或者造成严重后果的，责令停业整顿或者吊销经营保险业务许可证。 Article 136 Anyone who violates the provisions of this Law, and transacts insurance business beyond the scope of business approved, shall be subject to the direction of the financial supervision and regulation department to correct the conduct and return the premiums collected; if there are any illegal gains derived therefrom, they shall be confiscated, and a fine shall be imposed of not less than one, nor more than five times the illegal gains; in the event that there are no illegal gains, he/she will be subject to a fine of not less than Renminbi one hundred thousand yuan (RMB 100,000) nor more than Renminbi five hundred thousand yuan (RMB 500,000). In the event that the company fails to carry out the required correction within a prescribed period of time or where severe circumstances result, the financial supervision and regulation department shall direct that all operations shall cease and shall be corrected, or the company's insurance business license shall be revoked.第一百三十六条出卖人应当按照约定或者交易习惯向买受人交付提取标的物单证以外的有关单证和资料。 Article 136 Delivery of Related Materials by Seller In addition to the document for taking delivery, the seller shall deliver to the buyer documents and materials related to the subject matter in accordance with the contract or in accordance with the relevant usage.第一百三十六条：股份有限公司登记成立后，即向股东正式交付股票。公司登记成立前不得向股东交付股票。 Article 136 Upon registration and establishment, a joint stock limited company shall promptly deliver the share certificates to its shareholders officially. Prior to registration and establishment, the company may not deliver any share certificate to its shareholders.第一百三十六条证券公司注册资本低于本法规定的从事相应业务要求的，由国务院证券监督管理机构撤销对其有关业务范围的核定。 Article 136. Where a securities company's registered capital is less than what is required for operating business in a given field as provided for under this law, the State Council securities regulatory body shall withdraw the approval of its right to operate business in that field.第一百三十七条 违反本法规定，未经批准，擅自变更保险公司的名称、章程、注册资本、公司或者分支机构的营业场所等事项的，由金融监督管理部门责令改正，并处以一万元以上十万元以下的罚款。 Article 137 Anyone who violates the provisions of this Law and changes the information and details such as the name of the insurance company, Articles of Association, registered capital, business premises of the insurance company or its branches without approval, shall be subject to the direction of the financial supervision and regulation department for correction and a fine of not less than Renminbi ten thousand yuan (RMB 10,000), nor more than Renminbi one hundred thousand yuan (RMB 100,000).第一百三十七条：公司发行新股，必须具备下列条件： Article 137 Issuance of new shares by a company is subject to the following conditions:第一百三十七条出卖具有知识产权的计算机软件等标的物的，除法律另有规定或者当事人另有约定的以外，该标的物的知识产权不属于买受人。 Article 137 Sales Involving Intellectual Property In a sale of any subject matter which contains intellectual property such as computer software, etc., the intellectual property in the subject matter does not vest in the buyer, except otherwise provided by law or agreed by the parties.第一百三十七条在证券交易中，代理客户买卖证券，从事中介业务的证券公司，为具有法人资格的证券经纪人。 Article 137. A securities company that buys and sells securities on behalf of customers and operates as an intermediary shall be a securities brokerage with the credentials of a legal person.第一百三十八条 违反本法规定，有下列行为之一的，由金融监督管理部门责令改正，并处以五万元以上三十万元以下的罚款；情节严重的，可以限制业务范围、责令停止接受新业务或者吊销经营保险业务许可证： Article 138 Anyone who violates the provisions of this Law, and commits any of the following acts, shall be subject to the direction of the financial supervision and regulation department for correction and a fine of not less than Renminbi fifty thousand yuan (RMB 50,000) nor more than Renminbi three hundred thousand yuan (RMB 300,000); where the circumstances are severe, the financial supervision and regulation department may restrict the scope of business, direct the company to cease accepting new business or revoke the insurance business license:第一百三十八条出卖人应当按照约定的期限交付标的物。约定交付期间的，出卖人可以在该交付期间内的任何时间交付。 Article 138 Time of Delivery The seller shall deliver the subject matter at the prescribed time. Where the contract prescribes a period during which delivery is to take place, the seller may deliver at any time during the delivery period.第一百三十八条：公司发行新股，股东大会应当对下列事项作出决议： Article 138 Where a company is to issue new shares, the shareholder's general committee shall adopt a resolution concerning the following:第一百三十八条证券公司办理经纪业务，必须为客户分别开立证券和资金帐户，并对客户交付的证券和资金按户分帐管理，如实进行交易记录，不得作虚假记载。 Article 138. When operating brokerage business, securities companies shall set up separate securities and money accounts for customers and shall separately manage the securities and money delivered to them by the customers.第一百三十九条当事人没有约定标的物的交付期限或者约定不明确的，适用本法第六十一条、第六十二条第四项的规定。 Article 139 Absence of Provision for Time of Delivery Where the time for delivery of the subject matter was not prescribed or clearly prescribed, Article 61 and Item 4 of Article 62 apply.第一百三十九条 违反本法规定，有下列行为之一的，由金融监督管理部门责令改正，逾期不改正的，处以一万元以上十万元以下的罚款： Article 139 Anyone who violates of the provisions of this Law and commits either of the following acts, shall be subject to the direction of the financial supervision and regulation department to correct the breach, and a fine of not less than Renminbi ten thousand yuan (RMB 10,000), nor more than Renminbi one hundred thousand yuan (RMB 100,000) if he/she fails to correct the breach within a prescribed period of time:第一百三十九条：股东大会作出发行新股的决议后，董事会必须向国务院授权的部门或者省级人民政府申请批准。属于向社会公开募集的，须经国务院证券管理部门批准。 Article 139 Upon adoption of a resolution by the shareholders' general committee to issue new shares, the board of directors shall apply to the department authorized by the State Council or the People's Government at the provincial level for approval. Where the new shares are offered to the public, approval by the securities regulatory authority is required.第一百三十九条证券公司办理经纪业务，应当置备统一制定的证券买卖委托书，供委托人使用。采取其他委托方式的，必须作出委托记录。 Article 139. When operating brokerage business, securities companies shall prepare uniform certificates of authorization for securities transaction for use by the clients. When other forms of authorization are used, records of authorization must be noted.第十三条 禁止具有竞争关系的经营者达成下列垄断协议： Article 13: Any following agreements among the undertakings competed with each other shall be prohibited:第十四条 有限责任公司章程应当包括下列事项： Article 14 The articles of association of the limited-liability company shall include the following items:第十四条营业税的征收管理，依照《中华人民共和国税收征收管理法》及本条例有关规定执行。 Article 14 The collection and administration of Business Tax shall be conducted in accordance with the relevant regulations of the and these Regulations.第十四条 税法第二十一条所说的国家外汇管理机关公布的外汇牌价，是指国家外汇管理局公布的外汇买人价。 Article 14 ""Exchange rate quoted by the State exchange control authorities"" mentioned in Article 21 of the Tax Law refers to the buying rate quoted by the State Administration of Exchange Control.
