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1、 证券律师团队证券律师团队 新法速递（第新法速递（第 1 16 6 期）期） 北京市朝阳区永安东里北京市朝阳区永安东里1616号号CBDCBD国际大厦国际大厦1616层（层（100022100022） 16/F CBD International Mansion 16 YonganDongli16/F CBD International Mansion 16 YonganDongli， Chaoyang DistrictChaoyang District, , Beijing 100020Beijing 100020 上海市浦东新区浦东南路上海市浦东新区浦东南路528528号上海证券大厦南塔号
2、上海证券大厦南塔2121层层（200120200120） 21/F Shanghai Stock Exchange Building21/F Shanghai Stock Exchange Building， 528 South Pudong Road528 South Pudong Road， ShanghShanghai 200120ai 200120 电话电话: : ( (86108610)8521)85219100; 9100; ( (86218621) )6886718068867180; ; 传真传真: : ( (86108610)85219992; )85219992; ( (8
3、6218621) )6886688671817181 网址网址 http:/http:/ 2012 年 11 月 6 日 ewsletter 1 北京德和衡律师事务所北京德和衡律师事务所 Beijing DHH Law Firm 证券律师团队新法速递 （第 16 期） 目目 录录 Table of Contents 新法概览新法概览 New Laws and Regulations 中国证监会新文件中国证监会新文件 Recent Releases by China Securities Regulatory Commission (“CSRC”) 非上市公众公司监督管理办法 . 5 The M
4、easures for the Supervision and Administration of Non-listed Public Companies 证监会第六批取消和下放行政审批项目目录 . 6 CSRCs Catalogue for the Sixth Batch of Elimination and Delegation of Administrative Review and Approval Projects 关于修改外资参股证券公司设立规则的决定 . 7 CSRCs Decision on Amending the Rules for the Establishment of
5、 Foreign-shared Securities Companies 关于修改证券公司设立子公司试行规定的决定 . 7 CSRCs Decision on Amending the Provisions for Trial Implementation on Establishing Subsidiary Companies by Securities Companies 证券公司客户资产管理业务管理办法 . 8 Measures for the Administration of the Customer Asset Management Business of Securities C
6、ompanies 关于修改证券公司董事、监事和高级管理人员任职资格监管办法的决定 . 9 CSRCs Decision on Amending the Measures for the Supervision and Administration of the Qualifications of Directors, Supervisors and Senior Managers of Securities Companies 关于证券公司证券自营业务投资范围及有关事项的规定（征求意见稿） . 10 Provisions on the Investment Scope of the Propr
7、ietary Trading Business of Securities Companies and Related Issues (Consultation Paper) 2 北京德和衡律师事务所北京德和衡律师事务所 Beijing DHH Law Firm 证券律师团队新法速递 （第 16 期） 证券投资基金管理公司子公司管理暂行规定 . 11 Interim Provisions on the Administration of the Subsidiary Companies of Securities Investment Fund Management Companies 证券投
8、资基金托管业务管理办法（征求意见稿） . 11 The Administrative Measures for Securities Investment Fund Custody Business (Consultation Paper) 其他新文件其他新文件 Other Releases 保险资金境外投资管理暂行办法实施细则 . 12 The Detailed Rules for the Implementation of the Interim Measures for the Administration of Overseas Investment by Insurance Fund
9、s 关于保险资金投资有关金融产品的通知 . 13 Notice of China Insurance Regulatory Commission on Relevant Financial Products Investment with Insurance Funds 关于加强企业发债过程中信用建设的通知 . 14 Notice on Strengthening Enterprise Credit Construction during Issuance of Bonds 新闻资讯新闻资讯 News 境内要闻境内要闻 Domestic News 银河证券获特批欲年底上市 . 16 China
10、 Galaxy Securities Longing to List by the End of Year after Obtaining Special Approval 证监会设立上市公司监管二部 专门监督管理创业板 . 16 CSRC Established Department II of Public Companies Supervision, Specializing in 3 北京德和衡律师事务所北京德和衡律师事务所 Beijing DHH Law Firm 证券律师团队新法速递 （第 16 期） Monitoring and Administrating the Growth
11、 Enterprises Market 管理层强化预告承诺机制 整治新股业绩变脸 . 17 Management Reinforced Warning Commitment Mechanism to Renovate the Performance Overturn of New Shares 并购重组审核流程和进度首次公示 . 19 First Publication of Review and Approval Procedure for Merger and Acquisition 证监会：中美审计跨境监管合作达成初步协议 . 20 CSRC: Sino-US Cross-Border
12、Auditing Supervision Cooperation Reached Preliminary Agreement 河南证监局尝鲜上市辅导备案制 取消辅导申请审批和合议 . 20 Henan CSRC Bureau Piloting the Pre-listing Guidance and Record System and Cancelled Approval and Joint-discussion on the Pre-listing Guidance Application 我国券商老鼠仓第一案宣判 西南证券季敏波判三缓三 . 21 First Rat Trading Cas
13、e involving Security Brokers in China just adjudicated, Ji Minbo from Southwest Securities, Sentenced Imprisonment for Three years with Three-year Probation 证监会严把 IPO 关 督促审计机构“排雷” . 21 CSRC Rigorously Regulating the IPOs, Urging Auditors to be Strict and Thorough 境外要闻境外要闻 Overseas News 证监会 9 月份授予 7
14、家机构 QFII 资格 总数达到 188 家 . 23 CSRC licensed Seven QFIIs in September, Bringing the Total to 188 三季度中企境内外 IPO 跌至冰点 私有化浪潮再现 . 23 Domestic and Overseas IPO for Chinese Enterprises Reaching a New Low and Privatization Reappearing In Third Quarter of the year 首只境外人民币交易股本证券即将上市 . 25 First Overseas RMB Trading Equity Securities Soon to be Available 4 北京德和衡律师事务所北京德和衡律师事务所 Beijing DHH Law Firm 证券律师团队新法速递 （第 16 期） H 股回归
