Regulations on the Supervision and Administration of Securities Companies (2014 Revision),北大法宝V6

Regulations on the Supervision and Administration of Securities Companies (2014 Revision)

[CLI Code] CLI.2.231965(EN) Statement

Document Number：Order No. 653 of the State Council
Area of Law： Securities Companies and Business Management Securities Regulations Optimization of Doing Business
Level of Authority： Administrative Regulations
Date Issued：07-29-2014
Effective Date：07-29-2014
Issuing Authority： State Council
Status： Effective

2008-2014 Annotation Version

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Revision History

(Promulgated by the Order No. 522 of the State Council of the People's Republic of China on April 23, 2008; and revised in accordance with the Decision of the State Council on Amending Some Administrative Regulations on July 29)
（2008年4月23日中华人民共和国国务院令第522号公布　根据2014年7月29日《国务院关于修改部分行政法规的决定》修订）

Article 1 For the purpose of strengthening the supervision and administration of securities companies, regulating their behaviors, preventing their risks, protecting the legitimate rights and interests of clients as well as the public interests, and enhancing the healthy development of the securities industry, this Regulation is formulated in accordance with the Company Law of the People's Republic of China (hereinafter referred to as the Company Law) and
the Securities Law of the People's Republic of China (hereinafter referred to as the Securities Law).
　　第一条　为了加强对证券公司的监督管理，规范证券公司的行为，防范证券公司的风险，保护客户的合法权益和社会公共利益，促进证券业健康发展，根据《中华人民共和国公司法》（以下简称《公司法》）、《中华人民共和国证券法》（以下简称《证券法》），制定本条例。

Article 2 Securities companies shall abide by laws, administrative regulations and the provisions set forth by the securities regulatory agency of the State Council, run business in a prudent way, and fulfill the obligation of keeping good faith for clients.
　　第二条　证券公司应当遵守法律、行政法规和国务院证券监督管理机构的规定，审慎经营，履行对客户的诚信义务。