中華法律網每周更新

iSinoLaw Weekly

中華法律網每周更新

Volume 20, June 05 – June 11, 2006

第20期，2006年6月05 - 6月11日

I. Highlights of New Laws

CSRC Strengthened Investors’ Confidence through Prohibitive Provisions

As the securities market of China has been developing ceaselessly in recent years, the breach of rules on securities is becoming more and more serious. In order to perfect the purification mechanism in the securities market of China and guide the securities market industry for its healthy development, the China Securities Regulatory Commission (CSRC) promulgated the “Provisions on the Prohibition of Entry into Securities Market” (iSinolaw Reference ID: 10016467, hereinafter referred to as the “Provisions”) on June 7, 2006 to impose prohibitive measures on people directly liable for the breach of laws, administrative rules and regulations, and other relevant provisions of the CSRC.

Through the Provisions, it is the first time the CSRC broadened the scope of people subject to the prohibition of entry into securities market. Under the Provisions, the CSRC shall impose measures on prohibition of entry into securities market on the persons who violate the laws, administrative rules and regulations, and other relevant provisions of the CSRC and the circumstance is serious, and such persons include:

(1) the directors, supervisors or senior management personnel of the issuers or listing companies, other information disclosure obligors or the directors, supervisors and senior management personnel thereof; (2) the holding company shareholders or defacto controllers of issuers or listing companies, or the directors, supervisors or senior management personnel in the holding company shareholders or defacto controllers of the issuers or listing companies; (3) the directors, supervisors or senior management personnel of securities companies, and the persons-in-charge of the internal business departments or the persons-in-charge of branches thereof, or other securities practitioners; (4) the holding company shareholders or defacto controllers of the securities companies, or the directors, supervisors or senior management personnel of the the holding company shareholders or defacto controllers of issuers or listing companies; (5) the directors, supervisors and senior management personnel in the securities service institutions, who engage in securities business and the defacto controller of the securities service institutions, or the directors, supervisors or senior management personnel of such defacto controllers of the securities service institutions; (6) the directors, supervisors or senior management personnel of the securities investment fund managers or securities investment fund trustee, the persons-in-charge of its internal business departments and branches or other practitioners in securities investment fund; and (7) other persons deemed by the CSRC to have violated the laws, administrative rules and regulations and the relevant provisions of the CSRC.

The Provisions clearly stipulated that the CSRC may impose prohibition of entry into securities market for three to five years, for five to ten years or for life on the above-said persons based on the seriousness of the cases. If a crime is involved, the CSRC shall transfer the relevant liable person to the public security organ or the people’s procuratorate, and may impose the measures on prohibiting the entry into securities market on him at the same time. The person against which the measures on prohibiting the entry into securities market are adopted by the CSRC shall, apart from not engaging in securities business in the original institution or not acting as the directors, supervisors or senior management personnel in the original listing company during the prohibition period, neither engage in securities business in other institutions nor act as the directors, supervisors and senior management personnel in other listing companies.

The Provisions shall be effective on July 10, 2006. We believe that since the system of prohibition of entry into securities market is further perfected and more comprehensive, the Chinese securities market is approaching closer and closer towards her target on rule of laws, which are fairness, openness, impartiality, and order.

(Translator: JS)

II. Major Laws and Regulations in the Week

1. Laws and Regulations Promulgated in the Week

NO	Title	Promulgation Date	Effective Date
1	Guiding Opinions of the State-owned Assets Supervision and Administration Commission under the State Council on Regulating Persons-in-charge of the Central Enterprises Regarding Official Expenditure	8/6/2006	8/6/2006
2	Provisions on the Prohibition of Entry into Securities Market	7/6/2006	10/7/2006
3	Notice of the State Administration of Work Safety on Strengthening the Supervision and Administration of Safety Evaluation Institutions	7/6/2006	7/6/2006
4	Notice of the State Environmental Protection Administration on Clarifying Relevant Issues Concerning the“ Measures for Administration of Safety License of Radioactive Isotope and Radial Devices”	7/6/2006	7/6/2006
5	Notice of the Ministry of Construction on Further Accomplishing the Work of Building Civilized Scenic Spots and Historic Sites	7/6/2006	7/6/2006
6	Criteria of Civilized Scenic Spots and Historic Sites (Amended Draft)	7/6/2006	7/6/2006
7	Notice of the Ministry of Construction on Issuing the "Minutes of the National Anti-seismic Office” on Directors Forum	6/6/2006	6/6/2006
8	Minutes of the National Anti-seismic Office on Directors Forum	6/6/2006	6/6/2006
9	Notice of the State Administration of Foreign Exchange on Adjusting the Certain Policies on Administration of Foreign Exchange of Overseas Investment	6/6/2006	1/7/2006
10	Guiding Opinions of the State Administration of Work Safety on Strengthening the Installation, Networking, Maintenance and Usage of Monitoring System on Coal mine Safety	5/6/2006	5/6/2006
11	Decision of the State Environmental Protection Administration on Repealing and Amending Certain Regulations and Regulatory Documents	5/6/2006	5/6/2006
12	Notice of the Ministry of Commerce on Open Collecting the Design Proposal of the Logo of “China Time-honored Brand”	5/6/2006	5/6/2006
13	Notice of the State Administration of Taxation on Promoting the One-machine Multiple-invoices Fake-proof Control System of Value-added Taxes	5/6/2006	5/6/2006
14	Notice of the Ministry of Construction on Issuing the “Implementation Scheme on Organizing and Launching the Self-investigation and Self-rectification of Improper Transaction Activities in the Construction system”	5/6/2006	5/6/2006
15	Implementation Scheme of the Ministry of Construction on Organizing and Launching the Self-investigation and Self-rectification of Improper Transaction in the Construction System	5/6/2006	5/6/2006

2. Laws and Regulations Coming into Force in the Week

NO	Title	Promulgation Date	Effective Date
1	Guiding Opinions of the State-owned Assets Supervision and Administration Commission under the State Council on Regulating Persons-in-charge of the Central Enterprises Regarding Official Expenditure	8/6/2006	8/6/2006
2	Notice of the State Administration of Work Safety on Strengthening the Supervision and Administration of Safety Evaluation Institutions	7/6/2006	7/6/2006
3	Notice of the State Environmental Protection Administration on Clarifying Relevant Issues Concerning the“ Measures for Administration of Safety License of Radioactive Isotope and Radial Devices”	7/6/2006	7/6/2006
4	Notice of the Ministry of Construction on Further Accomplishing the Work of Building Civilized Scenic Spots and Historic Sites	7/6/2006	7/6/2006
5	Criteria of Civilized Scenic Spots and Historic Sites (Amended Draft)	7/6/2006	7/6/2006
6	Notice of the Ministry of Construction on Issuing the "Minutes of the National Anti-seismic Office” on Directors Forum	6/6/2006	6/6/2006
7	Minutes of the National Anti-seismic Office on Directors Forum Anti-seismic Office	6/6/2006	6/6/2006
8	Guiding Opinions of the State Administration of Work Safety on Strengthening the Installation, Networking, Maintenance and Usage of Monitoring System on Coal mine Safety	5/6/2006	5/6/2006
9	Decision of the State Environmental Protection Administration on Repealing and Amending Certain Regulations and Regulatory Documents	5/6/2006	5/6/2006
10	Notice of the Ministry of Commerce on Open Collecting the Design Proposal of the Logo of “China Time-honored Brand”	5/6/2006	5/6/2006
11	Notice of the State Administration of Taxation on Promoting the One-machine Multiple-invoices Fake-proof Control System of Value-added Taxes	5/6/2006	5/6/2006
12	Notice of the Ministry of Construction on Issuing the “Implementation Scheme on Organizing and Launching the Self-investigation and Self-rectification of Improper Transaction Activities in the Construction system”	5/6/2006	5/6/2006
13	Implementation Scheme of the Ministry of Construction on Organizing and Launching the Self-investigation and Self-rectification of Improper Transaction in the Construction System	5/6/2006	5/6/2006

* 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

證監會禁入規定加強投資者信心

近年來，隨著我國證券市場的不斷發展，關於證券違規現象越來越嚴重，為了健全我國證券市場的淨化機制，引導我國證券業的健康發展，中國證券監督管理委員會於6月7日發佈《證券市場禁入規定》（中華法律網之參考編號：10016467；以下簡稱“《規定》”），對違反法律、行政法規或者中國證監會有關規定的有關責任人員採取證券市場禁入措施。

在《規定》中，證監會首次擴大證券市場禁入人員的範圍，《規定》指出，因違反法律、行政法規或者中國證監會有關規定且情節嚴重，而被中國證監會採取證券市場禁入措施的人員包括：

(一) 發行人、上市公司的董事、監事、高級管理人員，其他資訊披露義務人或者其他資訊披露義務人的董事、監事、高級管理人員；(二) 發行人、上市公司的控股股東、實際控制人或者發行人、上市公司控股股東、實際控制人的董事、監事、高級管理人員；(三) 證券公司的董事、監事、高級管理人員及其內設業務部門負責人、分支機搆負責人或者其他證券從業人員；(四) 證券公司的控股股東、實際控制人或者證券公司控股股東、實際控制人的董事、監事、高級管理人員；(五) 證券服務機構的董事、監事、高級管理人員等從事證券服務業務的人員和證券服務機構的實際控制人或者證券服務機構實際控制人的董事、監事、高級管理人員；(六) 證券投資基金管理人、證券投資基金託管人的董事、監事、高級管理人員及其內設業務部門、分支機搆負責人或者其他證券投資基金從業人員；(七) 中國證監會認定的其他違反法律、行政法規或者中國證監會有關規定的有關責任人員。

《規定》明確指出，對上述人員，中國證監會可根據情節嚴重的程度分別採取三至五年、五至十年或終身禁入市場措施。如涉嫌犯罪，中國證監會會將有關負責人依法移送公安機關、人民檢察院，並可同時採取證券市場禁入措施。被中國證監會採取證券市場禁入措施的人員，在禁入期間內，除不得繼續在原機構從事證券業務或者擔任原上市公司董事、監事、高級管理人員職務外，也不得在其他任何機構中從事證券業務或者擔任其他上市公司董事、監事、高級管理人員職務。

《規定》自7月10日起實施。我們相信隨著證券市場禁入制度的進一步完善和全面施行，中國證券市場會向著公平、公開、公正、有序的法治目標愈走愈近。

（Author：PFG）

（二）　本　周　主　要　法　律　法　規

3. 本周新頒法律法規

編號	名稱	頒佈日期	實施日期
1	《國務院國有資產監督管理委員會關於規範中央企業負責人職務消費的指導意見》	8/6/2006	8/6/2006
2	《證券市場禁入規定》	7/6/2006	10/7/2006
3	《國家安全生產監督管理局關於加強安全評價機構監督管理工作的通知》	7/6/2006	7/6/2006
4	國家環境保護總局關於明確《放射性同位素與射線裝置安全許可管理辦法》有關問題的通知	7/6/2006	7/6/2006
5	《建設部關於進一步做好創建文明風景名勝區工作的通知》	7/6/2006	7/6/2006
6	《文明風景名勝區標準（修訂稿）》	7/6/2006	7/6/2006
7	建設部關於印發《全國抗震辦主任座談會會議紀要》的通知	6/6/2006	6/6/2006
8	《全國抗震辦主任座談會會議紀要》	6/6/2006	6/6/2006
9	《國家外匯管理局關於調整部分境外投資外匯管理政策的通知》	6/6/2006	1/7/2006
10	《國家安全生產監督管理局關於加強煤礦安全監控系統裝備聯網和維護使用工作的指導意見》	5/6/2006	5/6/2006
11	《國家環境保護總局關於廢止、修改部分規章和規範性文件的決定》	5/6/2006	5/6/2006
12	《商務部關於公開徵集“中華老字號”標識設計方案的通知》	5/6/2006	5/6/2006
13	《國家稅務總局關於推行增值稅防偽稅控一機多票系統的通知》	5/6/2006	5/6/2006
14	建設部關於印發《關於組織開展建設系統不正當交易行為自查自糾的實施方案》的通知	5/6/2006	5/6/2006
15	《建設部關於組織開展建設系統不正當交易行為自查自糾的實施方案》	5/6/2006	5/6/2006

4. 本周生效法律法規

編號	名稱	頒佈日期	實施日期
1	《國務院國有資產監督管理委員會關於規範中央企業負責人職務消費的指導意見》	8/6/2006	8/6/2006
2	《國家安全生產監督管理局關於加強安全評價機構監督管理工作的通知》	7/6/2006	7/6/2006
3	國家環境保護總局關於明確《放射性同位素與射線裝置安全許可管理辦法》有關問題的通知	7/6/2006	7/6/2006
4	《建設部關於進一步做好創建文明風景名勝區工作的通知》	7/6/2006	7/6/2006
5	《文明風景名勝區標準（修訂稿）》	7/6/2006	7/6/2006
6	建設部關於印發《全國抗震辦主任座談會會議紀要》的通知	6/6/2006	6/6/2006
7	《全國抗震辦主任座談會會議紀要》	6/6/2006	6/6/2006
8	《國家安全生產監督管理局關於加強煤礦安全監控系統裝備聯網和維護使用工作的指導意見》	5/6/2006	5/6/2006
9	《國家環境保護總局關於廢止、修改部分規章和規範性文件的決定》	5/6/2006	5/6/2006
10	《商務部關於公開徵集“中華老字號”標識設計方案的通知》	5/6/2006	5/6/2006
11	《國家稅務總局關於推行增值稅防偽稅控一機多票系統的通知》	5/6/2006	5/6/2006
12	建設部關於印發《關於組織開展建設系統不正當交易行為自查自糾的實施方案》的通知	5/6/2006	5/6/2006
13	《建設部關於組織開展建設系統不正當交易行為自查自糾的實施方案》	5/6/2006	5/6/2006

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