中華人民共和國證券法(4)
第六十一條股票或者公司債券上市交易的公司,應(yīng)當(dāng)在每一會計年度結(jié)束之日起四個月內(nèi),向國務(wù)院證券監(jiān)督管理機(jī)構(gòu)和證券交易所提交記載以下內(nèi)容的年度報告,并予公告:
Article 61. A company that has listed its stocks or bonds shall submit an annual report with following information to the securities regulatory body under the State Council and to the stock exchanges within four months after the end of each accounting year. Such documents shall also be published.
(一)公司概況;
(1) The company's general situation;
(二)公司財務(wù)會計報告和經(jīng)營情況;
?(2) The company's financial accounting report and management situation;
(三)董事、監(jiān)事、經(jīng)理及有關(guān)高級管理人員簡介及其持股情況;
(3) The resumes of directors, supervisors, managers, and high?ranking administrators as well as the situation regarding their holding of the company's stocks and bonds;
(四)已發(fā)行的股票、公司債券情況,包括持有公司股份最多的前十名股東名單和持股數(shù)額;
(4) The situation concerning stocks and bonds already issued, including the name list of the top 10 stock holders of the company and the numbers of their stocks;
(五)國務(wù)院證券監(jiān)督管理機(jī)構(gòu)規(guī)定的其他事項。
and (5) Other matters stipulated by the securities regulatory body under the State Council.
第六十二條發(fā)生可能對上市公司股票交易價格產(chǎn)生較大影響、而投資者尚未得知的重大事件時,上市公司應(yīng)當(dāng)立即將有關(guān)該重大事件的情況向國務(wù)院證券監(jiān)督管理機(jī)構(gòu)和證券交易所提交臨時報告,并予公告,說明事件的實質(zhì)。
Article 62. When a major incident occurs that might have a fairly large impact on the price of its listed stocks and the investors have no knowledge of the incident, a listed company shall immediately submit an interim report on the incident to the securities regulatory body under the State Council and the stock exchanges. It shall also publish the report to explain the true facts of the incident.
下列情況為前款所稱重大事件:
The following situation can be termed as major incident stated in the preceding paragraph:
(一)公司的經(jīng)營方針和經(jīng)營范圍的重大變化;
(1) Major changes of a company's management policy and management scope;
(二)公司的重大投資行為和重大的購置財產(chǎn)的決定;
(2) The company's decision concerning its major investment and major property purchase.
(三)公司訂立重要合同,而該合同可能對公司的資產(chǎn)、負(fù)債、權(quán)益和經(jīng)營成果產(chǎn)生重要影響;
(3) Major contracts signed by the company which might have an important influence on the company's assets, liabilities, rights, interests, and management results;
(四)公司發(fā)生重大債務(wù)和未能清償?shù)狡谥卮髠鶆?wù)的違約情況;
(4) The company incurs major debts or fails to repay those debts that have come due in violation of an agreement;
(五)公司發(fā)生重大虧損或者遭受超過凈資產(chǎn)百分之十以上的重大損失;
(5) The company experiences major economic losses or major economic losses which exceed more than 10 percent of its net assets;
(六)公司生產(chǎn)經(jīng)營的外部條件發(fā)生的重大變化;
(6) Major changes occur in the external conditions of the company's production and management;
(七)公司的董事長,三分之一以上的董事,或者經(jīng)理發(fā)生變動;
(7) There is a change in the chairman or more than one third of directors or managers of the company;
(八)持有公司百分之五以上股份的股東,其持有股份情況發(fā)生較大變化;
(8) There is a fairly large change in the holding of stockholders who hold more than 5 percent of the company's stocks;
(九)公司減資、合并、分立、解散及申請破產(chǎn)的決定;
(9) The company's decisions to reduce capital, merge with another company, establish a separate company, disband, and apply for bankruptcy;
(十)涉及公司的重大訴訟,法院依法撤銷股東大會、董事會決議;
(10) Major lawsuits involving the company and the court's canceling in accordance with law the decisions adopted by the general meeting of stockholders and the board of directors;
(十一)法律、行政法規(guī)規(guī)定的其他事項。
and (11) Other matters stipulated by the regulations of laws and administrative rules.
第六十三條發(fā)行人、承銷的證券公司公告招股說明書、公司債券募集辦法、財務(wù)會計報告、上市報告文件、年度報告、中期報告、臨時報告,存在虛假記載、誤導(dǎo)性陳述或者有重大遺漏,致使投資者在證券交易中遭受損失的,發(fā)行人、承銷的證券公司應(yīng)當(dāng)承擔(dān)賠償責(zé)任,發(fā)行人、承銷的證券公司的負(fù)有責(zé)任的董事、監(jiān)事、經(jīng)理應(yīng)當(dāng)承擔(dān)連帶賠償責(zé)任。
Article 63. When the prospectus released by an issuer, or an underwriting securities company, and its corporate bonds placement measures, financial and accounting reports, listed reports, annual reports, interim reports, and provisional reports contain falsified or misleading information or important omissions that result in losses for investors during securities trading, the issuer and the underwriting securities company shall be liable for compensation, and the issuer and the liable board directors, supervisors, and managers of the underwriting securities company shall also be liable for compensation.
第六十四條依照法律、行政法規(guī)規(guī)定必須作出的公告,應(yīng)當(dāng)在國家有關(guān)部門規(guī)定的報刊上或者在專項出版的公報上刊登,同時將其置備于公司住所、證券交易所,供社會公眾查閱。
Article 64. Announcements that must be made by the law or by administrative regulations shall be published in newspapers and magazines authorized by relevant departments of the state, or in special bulletins. These announcements shall also be available at various companies and securities trade centers for the public to read.
第六十五條國務(wù)院證券監(jiān)督管理機(jī)構(gòu)對上市公司年度報告、中期報告、臨時報告以及公告的情況進(jìn)行監(jiān)督,對上市公司分派或者配售新股的情況進(jìn)行監(jiān)督。
Article 65. The securities regulatory body under the State Council shall supervise listed companies' annual reports, interim reports, and provisional reports, as well as the state of the announcements. They shall also supervise the state of listed companies' new stock apportionment and distribution.
證券監(jiān)督管理機(jī)構(gòu)、證券交易所、承銷的證券公司及有關(guān)人員,對公司依照法律、行政法規(guī)規(guī)定必須作出的公告,在公告前不得泄露其內(nèi)容。
Securities regulatory bodies, securities exchanges, and underwriting securities companies and their personnel shall not prematurely leak out the contents of the public announcements which these companies are required to announce by the law and administrative regulations.
第六十六條國務(wù)院證券監(jiān)督管理機(jī)構(gòu)對有重大違法行為或者不具備其他上市條件的上市公司取消其上市資格的,應(yīng)當(dāng)及時作出公告。
Article 66. The securities regulatory body under the State Council shall make timely announcements of the names of those listed companies which have had their listing credentials revoked owing to major lawless conduct, or which are not qualified to operate as listed companies.
證券交易所依照授權(quán)作出前款規(guī)定的決定時,應(yīng)當(dāng)及時作出公告,并報國務(wù)院證券監(jiān)督管理機(jī)構(gòu)備案。
When a security exchange makes the decision mentioned in the paragraph above, it shall promptly make the announcement and report the announcement to the securities regulatory body of the State Council for the record.
第四節(jié)禁止的交易行為
Section IV. Prohibited Transactions
第六十七條禁止證券交易內(nèi)幕信息的知情人員利用內(nèi)幕信息進(jìn)行證券交易活動。
Article 67. Security exchange personnel with inside information are not allowed to engage in securities trading activities using inside information.
第六十八條下列人員為知悉證券交易內(nèi)幕信息的知情人員:
Article 68. The following personnel are personnel with inside securities trading information:
(一)發(fā)行股票或者公司債券的公司董事、監(jiān)事、經(jīng)理、副經(jīng)理及有關(guān)的高級管理人員;
(1) Board directors, supervisors, managers, deputy managers, and other relevant senior administrators of companies that issue stocks or corporate bonds;
(二)持有公司百分之五以上股份的股東;
(2) Stockholders holding 5 percent of more of a company's stocks;
(三)發(fā)行股票公司的控股公司的高級管理人員;
(3) Senior administrators of a company that controls companies that issue stocks;
(四)由于所任公司職務(wù)可以獲取公司有關(guān)證券交易信息的人員;
(4) Personnel who, because of their offices in the company they serve, can have access to information relevant to the company's securities trading;
(五)證券監(jiān)督管理機(jī)構(gòu)工作人員以及由于法定的職責(zé)對證券交易進(jìn)行管理的其他人員;
?(5) Personnel working for securities regulatory organs, and other personnel who, because of their official responsibilities, supervise securities exchanges;
(六)由于法定職責(zé)而參與證券交易的社會中介機(jī)構(gòu)或者證券登記結(jié)算機(jī)構(gòu)、證券交易服務(wù)機(jī)構(gòu)的有關(guān)人員;
?(6) Personnel of intermediary organs, organs of securities registration and settlement, and organs providing security exchange services, who take part in securities trading because of their official responsibilities;
(七)國務(wù)院證券監(jiān)督管理機(jī)構(gòu)規(guī)定的其他人員。
(7) Other personnel prescribed by the securities regulatory body under the State Council.
第六十九條證券交易活動中,涉及公司的經(jīng)營、財務(wù)或者對該公司證券的市場價格有重大影響的尚未公開的信息,為內(nèi)幕信息。
Article 69. During securities trading, non?publicized information concerning a company's operations and financial situation, and information having an important impact on the market prices of the company's securities, is inside information.
下列各項信息皆屬內(nèi)幕信息:
The information below is inside information:
(一)本法第六十二條第二款所列重大事件;
(1) Important events listed under the second clause of Article 62 of this law;
(二)公司分配股利或者增資的計劃;
?(2) A company's plan for distributing dividends and increasing capital;
(三)公司股權(quán)結(jié)構(gòu)的重大變化;
(3) Important changes in the structure of a company's stock ownership;
(四)公司債務(wù)擔(dān)保的重大變更;
(4) Major changes in the company's security for debts;
(五)公司營業(yè)用主要資產(chǎn)的抵押、出售或者報廢一次超過該資產(chǎn)的百分之三十;
(5) The mortgaging, selling, and scrapping of a company's principal business property that exceeds one?third of the company's property at one time;
(六)公司的董事、監(jiān)事、經(jīng)理、副經(jīng)理或者其他高級管理人員的行為可能依法承擔(dān)重大損害賠償責(zé)任;
(6) The conduct of a company board directors, supervisors, managers, deputy managers, or other senior administrators that may undertake major compensatory responsibilities according to the law;
(七)上市公司收購的有關(guān)方案;
(7) Plans relevant to the acquisition of listed companies;
(八)國務(wù)院證券監(jiān)督管理機(jī)構(gòu)認(rèn)定的對證券交易價格有顯著影響的其他重要信息。
and (8) Other information which the securities regulatory body of the State Council identifies as having conspicuous effects on the prices of securities trading.
第七十條知悉證券交易內(nèi)幕信息的知情人員或者非法獲取內(nèi)幕信息的其他人員,不得買入或者賣出所持有的該公司的證券,或者泄露該信息或者建議他人買賣該證券。
Article 70. Personnel with inside information about a company's securities trading, or other personnel having illegitimate access to inside information, shall not buy or sell the company's securities, leak the information, or suggest that other people buy or sell the securities.
持有百分之五以上股份的股東收購上市公司的股份,本法另有規(guī)定的,適用其規(guī)定。
If this law has separate provisions governing the acquisition of stocks of a listed company by a stockholder who holds 5 percent or more of the company's stocks, the provisions shall apply.
第七十一條禁止任何人以下列手段獲取不正當(dāng)利益或者轉(zhuǎn)嫁風(fēng)險:
Article 71. Nobody may use any of the following measures to acquire illegitimate interests, or pass risks onto others:
(一)通過單獨(dú)或者合謀,集中資金優(yōu)勢、持股優(yōu)勢或者利用信息優(yōu)勢聯(lián)合或者連續(xù)買賣,操縱證券交易價格;
(1) Controlling the prices of securities trading through pooling capital, stocks, or information to jointly or continuously buy or sell securities, either acting individually or collectively;
(二)與他人串通,以事先約定的時間、價格和方式相互進(jìn)行證券交易或者相互買賣并不持有的證券,影響證券交易價格或者證券交易量;
(2) Affecting the prices of securities trading or trading volumes by working in collusion with others to buy or sell securities at time, prices, and methods previously agreed upon;
(三)以自己為交易對象,進(jìn)行不轉(zhuǎn)移所有權(quán)的自買自賣,影響證券交易價格或者證券交易量;
?(3) Affecting the prices of securities trading, or the volume of securities trading, through purchase or sale that does not transfer ownership, considering the buyer or seller himself as the trading object;
(四)以其他方法操縱證券交易價格。
and (4) Manipulating the prices of securities trading through other means.
第七十二條禁止國家工作人員、新聞傳播媒介從業(yè)人員和有關(guān)人員編造并傳播虛假信息,嚴(yán)重影響證券交易。
Article 72. State functionaries, journalists, mass communications workers, and other relevant personnel are not allowed to disseminate falsified information that will seriously affect securities trading.
禁止證券交易所、證券公司、證券登記結(jié)算機(jī)構(gòu)、證券交易服務(wù)機(jī)構(gòu)、社會中介機(jī)構(gòu)及其從業(yè)人員,證券業(yè)協(xié)會、證券監(jiān)督管理機(jī)構(gòu)及其工作人員,在證券交易活動中作出虛假陳述或者信息誤導(dǎo)。
During securities trading, securities exchanges, securities companies, organs for securities registration and settlement, organs providing securities trading services, and intermediary organs and their workers, and securities regulatory organs and their workers are now allowed to give falsified statements or provide misleading information.
各種傳播媒介傳播證券交易信息必須真實、客觀,禁止誤導(dǎo)。
Securities trading information disseminated by all media must be factual and objective and not misleading.
第七十三條在證券交易中,禁止證券公司及其從業(yè)人員從事下列損害客戶利益的欺詐行為:
Article 73. During the course of securities trading, securities company and their workers are now allowed to engage in any of the following fraud that is harmful to clients' interests:
(一)違背客戶的委托為其買賣證券;
(1) Buying or selling securities for clients against their trust;
(二)不在規(guī)定時間內(nèi)向客戶提供交易的書面確認(rèn)文件;
(2) Failing to provide clients written confirmation within a prescribed period;
(三)挪用客戶所委托買賣的證券或者客戶帳戶上的資金;
(3) Misappropriating the funds entrusted by clients for securities trading, or funds in the clients' accounts;
(四)私自買賣客戶帳戶上的證券,或者假借客戶的名義買賣證券;
?(4) Trading the securities in clients' accounts without their authorization, trading securities in the name of clients;
(五)為牟取傭金收入,誘使客戶進(jìn)行不必要的證券買賣;
(5) Inducing clients to proceed with unnecessary security trading for the sake of earning commissions;
(六)其他違背客戶真實意思表示,損害客戶利益的行為。
or (6) Other conduct that is against the clients' real intentions and is detrimental to clients' interests.
第七十四條在證券交易中,禁止法人以個人名義開立帳戶,買賣證券。
Article 74. During securities trading, corporate entities are now allowed to open accounts in the name of individuals for conducting securities trading.
第七十五條在證券交易中,禁止任何人挪用公款買賣證券。
Article 75. During securities trading, no one may use public funds for securities trading.
第七十六條國有企業(yè)和國有資產(chǎn)控股的企業(yè),不得炒作上市交易的股票。
Article 76. State?owned enterprises and enterprises holding stocks purchased with state?owned assets may not speculate in stocks being traded on the market.
第七十七條證券交易所、證券公司、證券登記結(jié)算機(jī)構(gòu)、證券交易服務(wù)機(jī)構(gòu)、社會中介機(jī)構(gòu)及其從業(yè)人員對證券交易中發(fā)現(xiàn)的禁止的交易行為,應(yīng)當(dāng)及時向證券監(jiān)督管理機(jī)構(gòu)報告。
Article 77. Securities exchanges, securities companies, organs for securities registration and account settlement, and organs providing security trading services, intermediary organs and their workers must promptly report to securities regulatory organs any trading activity banned in securities trading.
第四章上市公司收購
Chapter IV Acquisition of Listed Companies
第七十八條上市公司收購可以采取要約收購或者協(xié)議收購的方式。
Article 78. A listed company may be purchased by offer or by agreement.
第七十九條通過證券交易所的證券交易,投資者持有一個上市公司已發(fā)行的股份的百分之五時,應(yīng)當(dāng)在該事實發(fā)生之日起三日內(nèi),向國務(wù)院證券監(jiān)督管理機(jī)構(gòu)、證券交易所作出書面報告,通知該上市公司,并予以公告;在上述規(guī)定的期限內(nèi),不得再行買賣該上市公司的股票。
Article 79. Where an investor possesses five percent of the stocks issued by a listed company through trading at the stock exchange, he shall, within three days of this happening, submit a written report to the securities regulatory body of the State Council and the stock exchange, notify the listed company, and make a public announcement; he is prohibited from buying or selling that list company's stocks in the period prescribed above.
投資者持有一個上市公司已發(fā)行的股份的百分之五后,通過證券交易所的證券交易,其所持該上市公司已發(fā)行的股份比例每增加或者減少百分之五,應(yīng)當(dāng)依照前款規(guī)定進(jìn)行報告和公告。在報告期限內(nèi)和作出報告、公告后二日內(nèi),不得再行買賣該上市公司的股票。
After an investor already possesses five percent of the stocks of a listed company, he shall submit a report or makes a public announcement in accordance with provisions of the preceding paragraph whenever the stocks of that company in his possession increase or decrease ?? through trading at the stock exchange ?? by five percentage points of the company's total stocks. He is prohibited from buying or selling stocks of that company during the period of submitting the report and within two days after he makes a public announcement.
第八十條依照前條規(guī)定所作的書面報告和公告,應(yīng)當(dāng)包括下列內(nèi)容:
Article 80. A written report or public announcement made in accordance with the preceding article shall have the following information:
(一)持股人的名稱、住所;
(1)? The stockholder's name and address;
(二)所持有的股票的名稱、數(shù)量;
(2) The name and amount of stock in his possession;
(三)持股達(dá)到法定比例或者持股增減變化達(dá)到法定比例的日期。
and (3) The date when the stocks in his possession reach the legally prescribed ratio or the date the stocks increase or decrease to the legally prescribed ratio.
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