iSinoLaw Weekly
中華法律網每周更新
Volume 26, July 17 – July 23, 2006
第26期，2006年7月17 -
CSRC Required
Listed Companies to Thoroughly Study the Amendment (VI) to the Criminal Law
Recently, the Standing Committee of the National People’s Congress has promulgated the “Amendment (VI) to the Criminal Law”, which is another important piece of legislation to regulate the securities market following the “Amendment to the Company Law” and the “Amendment to the Securities Law”. The new law amendment is consistent with the new Company Law and the new Securities Law in terms of providing further legal protection for regulating the securities market and against securities crimes. In order to let the listed companies to thoroughly study and understand the substantial spirit of the “Amendment (VI) to the Criminal Law”, and further improve the standardized operation level, the China Securities Regulatory Commission promulgated the “Notice of the China Securities Regulatory Commission on the Matters Concerning Thorough Study of “Amendment (VI) to the Criminal Law” by Listed Companies” on July 12, 2006 (iSinolaw Reference ID: 10017441, hereinafter referred to as the “Notice”).
In order to tackle the new trend that majority shareholders and listed companies obtain personal gains by way of manipulating the market, the Notice requires all listed companies to perfect their insider information confidentiality system, information disclosure management system and funds security management system so as to prevent and resist the market manipulation. The listed companies shall not, whether individually or plotting with others, take advantage of the funds, shareholding or information superiority to manipulate the trading price or trading volume of securities, or they shall not collude with others to mutually conduct securities transaction at a prearranged time and price and by prearranged means thereby for the purpose of affecting the price or volume of the securities transacted.
The Notice requires all listed companies to improve the internal control system, perfect the accountability mechanism, regulate the affiliated trading activities, define the limit of authority in respect of examination and approval for the management of currency funds payment and maintain the independence of the companies. The articles of association and other relevant documents shall clearly stipulate therein the procedures for imposing sanctions on the liable persons and the procedures for dismissing the directors bearing serious liabilities or the procedures for transferring them to judicial organs for the investigation of their criminal liabilities if any directors, supervisors or senior management personnel of the companies assist or connive at the holding company shareholders or the subordinate enterprises thereof in appropriating the assets of the companies.
The Notice shall be effective as of the promulgation date. With the aids of this Notice and the detailed procedures for the implementation of the “Amendment (VI) to the Criminal Law” formulated by the CSRC jointly with the judicial organs, we wish the interactive supervisory mechanism can be perfected and the efficiency of the interactive supervision can be further increased in order to achieve a stage that those having committed a crime will be penalized under laws.
(Translator: JS)
1.
Laws and
Regulations Promulgated in the Week
|
No |
Title |
Promulgation Date |
Effective Date |
|
1 |
Public Announcement No. 42
of 2006 of the Ministry of Commerce—Public Announcement on the Final Judgment
of Anti-dumping Case on PBT
Colophony |
|
|
|
2 |
Public Announcement of the
Public Offering Verification Committee of |
|
|
|
3 |
Urgent Notice on Appropriately Solving the Problem
of Storehouse Capacity and Further Accomplishing the Work of Purchasing Summer
Grain Crops and Early Season Indica Rice |
|
|
|
4 |
Public Announcement No.52
of 2006 of the People’s Bank of China on Publicizing the Market Business
Transactions— The Issuance of the
52nd Bill of Central Bank in 2006 |
|
|
|
5 |
Notice of China Securities
Regulatory Commission on Relevant Issues concerning Funds Invested in
Circulation-restricted Securities Such asNon-public
Offered Shares |
|
|
|
6 |
Notice of |
|
|
|
7 |
Decisions of |
|
|
|
8 |
Measures for Administration of Risk Controlling Index of Securities
Company |
|
|
|
9 |
Public Announcement No.54
of 2006 of the People’s Bank of China on Publicizing the Market Business
Transactions |
|
|
|
10 |
Notice of the State Administration of Radio Film and Television and
the State Administration for Industry and Commerce on Rectifying the Content
of Medical Information Service and Television Shopping Program on Radio and
Television |
|
|
|
11 |
Notice of the General
Administration of Sport on Accomplishing the Work in this Summer Vacation |
|
|
|
12 |
Urgent Notice of the
General Office of the People’s Government of Chongqing
Municipality on Accomplishing the Work of Resisting and Combating Dryness in
Hot Summer |
|
|
|
13 |
Urgent Notice of the
General Office of the State Development and Reform Commission on
Accomplishing the Work of Economy Development in Flood Season |
|
|
|
14 |
Urgent Notice
of the State Administration of Land and Resources on Firmly Strengthening the
Shifting of Duty in Flood Season to Ensure the Flow of Information |
|
|
|
15 |
Notice of the Chinese Institution of Certified Public Accountants on
Implementing the Scheme for National Training of Practices Standards System
for Chinese Certified Public Accountants |
|
|
|
16 |
Notice of the Headquarters of Prevention and Cure for Serious Animal
Epidemic Disease of Shanghai Municipality on Further Implementing Measures
for Preventing and Controlling Highly Pathogenic Avian Influenza |
|
|
|
17 |
Notice of the General
Office of the Headquarters
of Prevention and Cure for
Serious Animal Epidemic Disease of Shanghai Municipality on Carrying out the
Work of disinfection and Pathogeny Extermination |
|
|
|
18 |
Notice of the Office of
Animal Husbandry of |
|
|
|
19 |
Notice of the Office of
Animal Husbandry of Shanghai Municipality on Ensuring the Quality of Raw
Material Milk from the Cow Farm in the City |
|
|
|
20 |
Urgent Notice of Public Health Office of |
|
|
|
21 |
Notice of the Office of
Animal Husbandry of |
|
|
|
22 |
Notice of the State
Administration of Taxation on Transmitting the Notice of the State
Development and Reform Commission on Reducing the Price of Specific Products
of the System of Anti-forgery and Tax Controlling of Value Added Tax |
|
|
|
23 |
Notice of the
State Administration of Work Safety on Carrying out the Special Supervision
concerning the Prevention of Serious Accident of Oceanic Petroleum |
|
|
|
24 |
Letter of the Office of Schistosomiasis
Prevention of the State Council on Approving the Implementation of the 2006
Project Implementation Scheme of |
|
|
|
25 |
Notice of the State
Development and Reform Commission Application by vehide
Modification Enterprise for the Qualification of Chassis Mannfacture |
|
|
2.
Laws and Regulations Coming into Force in
the Week
|
No |
Title |
Promulgation
Date |
Effective Date |
|
1 |
Public Announcement No. 42
of 2006 of the Ministry of Commerce—Public Announcement on the Final Judgment
of Anti-dumping Case on PBT
Colophony |
|
|
|
2 |
Public Announcement of the
Public Offering Verification Committee of |
|
|
|
3 |
Urgent Notice on Appropriately Solving the Problem
of Storehouse Capacity and Further Accomplishing the Work of Purchasing Summer
Grain Crops and Early Season Indica Rice |
|
|
|
4 |
Public Announcement No.52
of 2006 of the People’s Bank of China on Publicizing the Market Business
Transactions— The Issuance of the
52nd Bill of Central Bank in 2006 |
|
|
|
5 |
Notice of China Securities
Regulatory Commission on Relevant Issues concerning Funds Invested in
Circulation-restricted Securities Such asNon-public
Offered Shares |
|
|
|
6 |
Notice of |
|
|
|
7 |
Decisions of |
|
|
|
8 |
Public Announcement No.54
of 2006 of the People’s Bank of China on Publicizing the Market Business
Transactions |
|
|
|
9 |
Notice of the State Administration of Radio Film and Television and
the State Administration for Industry and Commerce on Rectifying the Content
of Medical Information Service and Television Shopping Program on Radio and
Television |
|
|
|
10 |
Notice of the General
Administration of Sport on Accomplishing the Work in this Summer Vacation |
|
|
|
11 |
Urgent Notice of the
General Office of the People’s Government of Chongqing
Municipality on Accomplishing the Work of Resisting and Combating Dryness in
Hot Summer |
|
|
|
12 |
Urgent Notice of the
General Office of the State Development and Reform Commission on
Accomplishing the Work of Economy Development in Flood Season |
|
|
|
13 |
Urgent Notice
of the State Administration of Land and Resources on Firmly Strengthening the
Shifting of Duty in Flood Season to Ensure the Flow of Information |
|
|
|
14 |
Notice of the Chinese Institution of Certified Public Accountants on
Implementing the Scheme for National Training of Practices Standards System
for Chinese Certified Public Accountants |
|
|
|
15 |
Notice of the Headquarters of Prevention and Cure for Serious Animal
Epidemic Disease of Shanghai Municipality on Further Implementing Measures
for Preventing and Controlling Highly Pathogenic Avian Influenza |
|
|
|
16 |
Notice of the General
Office of the Headquarters
of Prevention and Cure for
Serious Animal Epidemic Disease of Shanghai Municipality on Carrying out the
Work of disinfection and Pathogeny Extermination |
|
|
|
17 |
Notice of the Office of
Animal Husbandry of |
|
|
|
18 |
Notice of the Office of
Animal Husbandry of Shanghai Municipality on Ensuring the Quality of Raw
Material Milk from the Cow Farm in the City |
|
|
|
19 |
Urgent Notice of Public Health Office of |
|
|
|
20 |
Notice of the Office of
Animal Husbandry of |
|
|
|
21 |
Notice of the State
Administration of Taxation on Transmitting the Notice of the State
Development and Reform Commission on Reducing the Price of Specific Products
of the System of Anti-forgery and Tax Controlling of Value Added Tax |
|
|
|
22 |
Notice of the
State Administration of Work Safety on Carrying out the Special Supervision
concerning the Prevention of Serious Accident of Oceanic Petroleum |
|
|
|
23 |
Letter of the Office of Schistosomiasis
Prevention of the State Council on Approving the Implementation of the 2006
Project Implementation Scheme of |
|
|
|
24 |
Notice of the State
Development and Reform Commission Application by vehide
Modification Enterprise for the Qualification of Chassis Mannfacture |
|
|
|
25 |
Notice of the Local Tax
Bureau of Beijing Municipality and Business Administrative Department of the
People’s Bank of China on Relevant Issues concerning Starting to Use the New
Version of Special Bill of Payment of Electronic Treasury System |
|
|
* For the full text of the laws and regulations
stated in this Weekly, please see http://www.isinolaw.com
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（一） 新 法 撮 要
證監會要求上市公司深入學習刑法修正案（六）
近日，全國人民代表大會常務委員會發佈的《刑法修正案（六）》是繼
針對大股東和上市公司操縱市場謀私的新情況，《通知》要求各上市公司完善內幕資訊保密制度、資訊披露管理制度和資金安全管理等相關制度，防範和抵制市場操縱行為。上市公司“不得單獨或者通過合謀，利用資金優勢、持股優勢、資訊優勢，操縱證券交易價格或者證券交易量；不得與他人串通，以事先約定的時間、價格和方式相互進行證券交易，影響證券交易價格或者證券交易量。”
《通知》要求，健全內部控制制度，完善盡責問責機制，規範關聯交易行為，明確貨幣資金支付管理審批許可權，保持公司的獨立性。在《公司章程》等相關文件中，應載明公司董事、監事、高級管理人員協助、縱容控股股東及其附屬企業侵佔公司資產時，對責任人給予處分、對負有嚴重責任的董事予以罷免、移送司法機關追究刑事責任的程式。
《通知》自發佈之日起實施。相信隨著《通知》的實施以及證監會同司法機關進一步細化執行刑法修正案的相關程式的制定，將會完善監管聯動機制，進一步提高監管聯動效率，能夠對證券犯罪做到真正的依法從處。
（Author：PFG）
（二） 本 周 主 要 法 律 法 規
1.
本周新頒法律法規
|
編號 |
名稱 |
頒佈日期 |
實施日期 |
|
1 |
《商務部公告2006年42號——PBT樹脂反傾銷案終裁公告》 |
|
|
|
2 |
《中國證券監督管理委員會發審委2006年第23次工作會議公告》 |
|
|
|
3 |
《關於妥善解決倉容問題進一步做好夏糧和早秈稻收購工作的緊急通知》 |
|
|
|
4 |
《中國人民銀行公開市場業務交易公告2006年第55號——發行2006年第五十二期央行票據》 |
|
|
|
5 |
《中國證券監督管理委員會關於基金投資非公開發行股票等流通受限證券有關問題的通知》 |
|
|
|
6 |
《中國證監會關於發佈證券公司凈資本計算標準的通知》 |
|
|
|
7 |
《中國證券監督管理委員會關於解除對聯合證券有限責任公司業務限制的決定》 |
|
|
|
8 |
《證券公司風險控制指標管理辦法》 |
|
|
|
9 |
《中國人民銀行公開市場業務交易公告2006年第54號》 |
|
|
|
10 |
《國家廣播電影電視總局、國家工商行政管理總局關於整頓廣播電視醫療資訊服務和電視購物節目內容的通知》 |
|
|
|
11 |
《國家體育總局辦公廳關於做好今年暑期工作的通知》 |
|
|
|
12 |
《重慶市人民政府辦公廳關於抓好抗禦伏旱工作的緊急通知》 |
|
|
|
13 |
《國家發展改革委辦公廳關於做好汛期經濟運行工作的緊急通知》 |
|
|
|
14 |
《國土資源部關於切實加強汛期值班工作確保信息暢通的緊急通知》 |
|
|
|
15 |
中國註冊會計師協會關於落實《中國註冊會計師執業準則體系全國培訓方案》的通知 |
|
|
|
16 |
《上海市重大動物疫病防治指揮部關於進一步落實高致病性禽流感防控措施的通知》 |
|
|
|
17 |
《上海市重大動物疫病防治指揮部辦公室關於開展夏季消毒滅原工作的通知》 |
|
|
|
18 |
《上海市畜牧辦關於進一步做好本市奶牛場動物防疫工作的通知》 |
|
|
|
19 |
《上海市畜牧辦關於確保本市奶牛場原料奶質量的通知》 |
|
|
|
20 |
《湖南省衛生廳關於切實做好當前救災防病工作的緊急通知》 |
|
|
|
21 |
《上海市畜牧辦關於加強豬鏈球菌病防治工作的通知》 |
|
|
|
22 |
國家稅務總局關於轉發《國家發展改革委關於降低增值稅防偽稅控系統專用產品價格的通知》的通知 |
|
|
|
23 |
《國家安全生產監督管理局關於開展海洋石油防範特大事故專項督查的通知》 |
|
|
|
24 |
《國務院血防辦關於批准實施血防工作聯絡點2006年項目實施方案的函》 |
|
|
|
25 |
《國家發展改革委關於類客車改裝企業申請客車底盤生產資格的通知》 |
|
|
2.
本周生效法律法規
|
編號 |
名稱 |
頒佈日期 |
實施日期 |
|
1 |
《商務部公告2006年42號——PBT樹脂反傾銷案終裁公告》 |
|
|
|
2 |
《中國證券監督管理委員會發審委2006年第23次工作會議公告》 |
|
|
|
3 |
《關於妥善解決倉容問題進一步做好夏糧和早秈稻收購工作的緊急通知》 |
|
|
|
4 |
《中國人民銀行公開市場業務交易公告2006年第55號——發行2006年第五十二期央行票據》 |
|
|
|
5 |
《中國證券監督管理委員會關於基金投資非公開發行股票等流通受限證券有關問題的通知》 |
|
|
|
6 |
《中國證監會關於發佈證券公司凈資本計算標準的通知》 |
|
|
|
7 |
《中國證券監督管理委員會關於解除對聯合證券有限責任公司業務限制的決定》 |
|
|
|
8 |
《中國人民銀行公開市場業務交易公告2006年第54號》 |
|
|
|
9 |
《國家廣播電影電視總局、國家工商行政管理總局關於整頓廣播電視醫療資訊服務和電視購物節目內容的通知》 |
|
|
|
10 |
《國家體育總局辦公廳關於做好今年暑期工作的通知》 |
|
|
|
11 |
《重慶市人民政府辦公廳關於抓好抗禦伏旱工作的緊急通知》 |
|
|
|
12 |
《國家發展改革委辦公廳關於做好汛期經濟運行工作的緊急通知》 |
|
|
|
13 |
《國土資源部關於切實加強汛期值班工作確保信息暢通的緊急通知》 |
|
|
|
14 |
中國註冊會計師協會關於落實《中國註冊會計師執業準則體系全國培訓方案》的通知 |
|
|
|
15 |
《上海市重大動物疫病防治指揮部關於進一步落實高致病性禽流感防控措施的通知》 |
|
|
|
16 |
《上海市重大動物疫病防治指揮部辦公室關於開展夏季消毒滅原工作的通知》 |
|
|
|
17 |
《上海市畜牧辦關於進一步做好本市奶牛場動物防疫工作的通知》 |
|
|
|
18 |
《上海市畜牧辦關於確保本市奶牛場原料奶質量的通知》 |
|
|
|
19 |
《湖南省衛生廳關於切實做好當前救災防病工作的緊急通知》 |
|
|
|
20 |
《上海市畜牧辦關於加強豬鏈球菌病防治工作的通知》 |
|
|
|
21 |
國家稅務總局關於轉發《國家發展改革委關於降低增值稅防偽稅控系統專用產品價格的通知》的通知 |
|
|
|
22 |
《國家安全生產監督管理局關於開展海洋石油防範特大事故專項督查的通知》 |
|
|
|
23 |
《國務院血防辦關於批准實施血防工作聯絡點2006年項目實施方案的函》 |
|
|
|
24 |
《國家發展改革委關於類客車改裝企業申請客車底盤生產資格的通知》 |
|
|
|
25 |
北京市地方稅務局、中國人民銀行營業管理部關於啟用新《電子繳庫專用繳款書》有關問題的通知 |
|
|
*
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