【中英文对照版】首次公开发行股票并上市辅导监管规定.docx

首次公开发行股票并上市辅导监管规定ProvisionsontheSupervisionofCounselonInitialPublicOfferingsofStockandListings【制定机关】【发文字号】【公布日期】【施行日期】【效力位阶】【法规类别】中国证券监督管理委员会中国证券监督管理委员会公告202123号2021.09.302021.09.30部门规范性文件证券监督管理机构与市场监管Issuingauthority：InstrumentalitiesoftheStateCouncil,ACommissionsjChinaSecuRegulatoryCommissionDocumentNumber：AnnouncementNo.232021oftheChinaSecuritiesRegulatoryCommijDateissued：09-30-2021Effectivedate：09-30-20211.evelofAuthority：DepartmentalRegulatoryDocumentsAreaofLaw：SecuritiesAnnouncementoftheChinaSecuritiesRegulatoryCommission中国证券监督管理委员会公告(No.232021)(2021)23号)TheProvisionsontheSupervisionofCounselonInitialPublicOfferingsofStockandListingsareherebyissued,andshallcomeintoforceonthedateofissuance.现公布首次公开发行股票并上市辅导监管规定，自公布之日起施行。ChinaSecuritiesRegulatoryCommission中国证监会September30,20212021年9月30日附件1：首次公开发行股票并上 市辅导监管规定附件2：首次公开发行股票并上 市辅导监管规定立法说明Annex 1: ProvisionsontheSupervisionofCounselonInitialPublicOfferingsofStockandListingsAnnex 2: 1.egislativeExplanatoryNotesontheProvisionsontheSupervisionofCounselonInitialPublicOfferingsofStockandListings(Omitted)ProvisionsontheSupervisionofCounselonInitialPublicOfferingsofStockandListingsArticle1Forthepurposesofregulatingthesupervisionofcounseloninitialpublicofferingsofstockandlistings,theseProvisionsareformulatedinaccordancewiththeSecuritiesLawofthePeople'sRepublicofChina,theMeasuresfortheAdministrationoftheSponsorshipBusinessfortheOfferingandListingofSecurities(hereinafterreferredtoasthe"SponsorshipAdministrationMeasures"),theProvisionsontheRegulatoryFunctionsoftheFieldOfficesoftheChinaSecuritiesRegulatoryCommission,andotherprovisions.Article2Whereacounselinginstitutioncounselsacompanywhichproposestoapplyforaninitialpublicofferingofstockandlisting(hereinafterreferredtoasthe"counselingclient*'),acounselingclient,securitiesserviceinstitution,orrelevantprofessionalcooperateswiththecounselinginstitutioninconductingcounselingwork,andtheChinaSecuritiesRegulatoryCommission(hereinafterreferredtoasthe"CSRC)anditsfieldofficessuperviseandadministercounselingwork,theseProvisionsshallapply.Forthepurposeoftheprecedingparagraph,"sponsor1'meansasponsorthatconductscounselingworkinaccordancewiththeSponsorshipAdministrationMeasures.首次公开发行股票并上市辅导监 管规定第一条为了规范首次公开 发行股票并上市辅导监管工作， 依据中华人民共和国证券法 证券发行上市保荐业务管理办 法（以下简称保荐管理办法）、 中国证监会派出机构监管职责 规定等规定，制定本规定。第二条辅导机构对拟申请 首次公开发行股票并上市的公司 （以下简称辅导对象）开展辅导 工作，辅导对象、证券服务机构 及相关从业人员配合辅导机构开 展辅导工作，以及中国证券监督 管理委员会（以下简称中国证监 会）及其派出机构对辅导工作进 行监督管理，适用本规定。前款所称辅导机构，是指按照保 荐管理办法开展辅导工作的保 荐机构。第三条辅导工作应当促进 辅导对象具备成为上市公司应有 的公司治理结构、会计基础工作、Article3Counselingworkshallpromptcounselingclientstohavethecorporategovernancestructure,basicaccountingwork,andinternalcontrolsystemwhichalistedcompanyshouldhave,fullyunderstandthecharacteristicsandattributesofeachboardofthemulti-levelcapitalmarket,anddevelopthesenseofhonesty,awarenessofself-regulation,andawarenessoftheruleoflawforentryintothesecuritiesmarket.Anacceptanceinspectionofcounselingshallevaluatetheconductandresultsofthecounselingworkofacounselinginstitution,butforbeartomakeasubstantivejudgmentonwhetherthecounselingclientmeetstheconditionsforanofferingandlisting.Article4TheCSRCshallestablishacounselsupervisionsystemtomeettheneedsforsubmissionofcounselingmaterials,issuanceofcounselingdocuments,informationsharing,andotherworkandpubliclydiscloseinformationoncounselsupervisiontothepublicontheCSRCgovernmentserviceplatform.Informationoncounselsupervisionshallincludecounselrecordationreports,counselingworkprogressreports,counselingsituationreports,andotherbasicinformationrelatedtocounselingclients.Article5Counselinginstitutions,securitiesserviceinstitutions,andtheirrelatedpersonnelshallbediligent,dutiful,honest,andtrustworthy,andconductworkinaccordancewiththerequirementsofrelevantlaws,administrativeregulations,rules,andregulatorydocuments.内部控制制度，充分了解多层次 资本市场各板块的特点和属性， 树立进入证券市场的诚信意识、 自律意识和法治意识。辅导验收应当对辅导机构辅导工 作的开展情况及成效作出评价， 但不对辅导对象是否符合发行上 市条件作实质性判断。第四条中国证监会建立辅 导监管系统，满足辅导材料提交、 辅导公文出具、信息共享等工作 的需要，并通过中国证监会政务 服务平台向社会公开辅导监管信辅导监管信息包括辅导备案报 告、辅导工作进展情况报告、辅 导情况报告以及其他与辅导对象 相关的基本信息。第五条辅导机构、证券服 务机构及其相关人员应当勤勉尽 责，诚实守信，按照有关法律、 行政法规、规章和规范性文件的 要求开展工作。辅导机构指定参与辅导工作的人员中，保荐代表人不得少于二人。Thepersonsdesignatedbyacounselinginstitutiontoparticipateincounselingworkshallincludenotlessthantwosponsorrepresentatives.Article6Acounselingclientanditsrelatedpersonnelshallbehonestandtrustworthy,andconscientiouslycooperatewithacounselinginstitutionincounselingworkandwithafieldofficeincounselsupervision.Article7Thefieldofficeintheplacewhereacounselingclientislocatedshallberesponsibleforsupervisingcounselingwork.第六条辅导对象及其相关 人员应当诚实守信，认真配合辅 导机构的辅导工作及派出机构的 辅导监管工作。第七条辅导对象所在地派 出机构负责对辅导工作进行监 管。辅导对象所在地在境外的，由辅 导对象境内主营业地或境内证券 事务机构所在地的派出机构进行 监管。The field offices as mentioned in preceding two paragraphs shall hereinafter collectively referred to acceptance inspection agencies.the前两款所称派出机构，以下统称 be验收机构。