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Securities Registration Rules of China Securities
Depository and Clearing Corporation Limited
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【Promulgation
Date】2006-07-25
【Effective Date】2006-07-25
【Repealed Date】
【Promulgation Body】China Securities Depository and
Clearing Corporation Limited |
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Chapter 1 General
Provisions
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Article 1
In order to regulate the securities registration and the
relevant service businesses, prevent the risks in securities
registration and protect the legitimate rights and interest of
the investors, these Rules are formulated in accordance with
the "Securities Law", the "Company Law", the "Measures for
Administration of Securities Registration and Clearing" and the
provisions of other relevant laws, administrative regulations
and departmental rules. |
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Article 2
These Rules shall apply to the initial registration,
registration of alteration, withdrawal registration and the
relevant service businesses of the securities and the
derivatives of securities which have been listed, issued or are
proposed to go listing in the stock exchange (hereinafter
referred together to as the "securities") unless otherwise
prescribed by the China Securities Regulatory
Commission (hereinafter referred to as the "CSRC").
The registration and the relevant service businesses of domestic
listed foreign shares and other securities approved by the CSRC
for incorporating into the securities registration book-keeping
system of the China Securities Depository and Cleaning
Corporation Limited (hereinafter referred to as
this "Corporation") shall be conducted with reference to these
Rules. |
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Article 3
This Corporation shall conduct the securities registration and
the relevant service businesses as entrusted by the securities
issuer according to law. The securities issuer shall sign an
agreement upon securities registration and services with this
Corporation. |
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Article 4
This Corporation shall establish an electronic book-keeping
system of securities registration, and go through the
registration formalities of the roll of the securities holders
based on the record of the securities accounts.
The record of the electronic book-keeping system of securities
registration shall use integer. The minimum unit for recording
the quantity of the securities shall be one stock (share, yuan) |
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Article 5
The securities shall be registered under the names of securities
holders, and the securities registration record issued by this
Corporation shall be the legal certificate of the securities
holders for holding the securities.
The securities may be registered under the names of the nominal
holders if it is in compliance with the provisions of the laws,
administrative regulations and the CSRC provisions. The nominal
holders shall enjoy the rights as the securities holders do
according to law, and shall bear the corresponding
responsibilities of the equitable owners of the securities under
their names, and the securities equitable owners shall realize
their rights through the nominal holders. When the nominal
holders exercise the relevant rights of the securities holders,
they shall consult the opinions of the equitable owners of the
securities under their names in advance, and handle it according
to their opinions, and shall not damage the interests of the
securities equitable owners.
This Corporation shall have the right to require a nominal
holder to provide the relevant detailed data concerning the
equitable owners of securities under his name, and the nominal
holder shall ensure the truthfulness, accuracy and completeness
of the data he provides. The record issued by the nominal holder
concerning the securities holding of the securities equitable
owners shall be the legal certificate of the securities
equitable owners for holding securities. |
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Article 6
The declaration system of securities registration applicant
shall be adopted to securities registration. This Corporation
shall conduct a formal audit on the application materials for
registration provided by the securities registration applicant,
and the applicant shall guarantee that the registration
application materials are truthful, accurate and complete.
The securities registration applicant as referred to in the
preceding Paragraph shall include the securities issuers,
securities holders or the securities trusteeship organizations
thereof and other subjects ratified by this Corporation for
applying for the securities registration. The registration
application materials provided by the securities registration
applicant as referred to in the preceding Paragraph shall
include the written documents and electronic documents to which
the securities registration applicant directly provides this
Corporation or indirectly provides this Corporation through the
stock exchange or other organizations accredited by this
Corporation. |
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Article 7
The securities registration information in the book-keeping
system of securities registration shall include but not be
limited to the following contents: the names or titles of the
securities holders, the account numbers, valid identity
certificate documents numbers, the correspondence addresses of
the securities holders, the names of the holding securities, the
quantity of holding securities, the securities trusteeship
organizations and the situations concerning the restricted
sales, and the securities holding status such as the judicial
freeze and pledge registration. |
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Chapter 2 Initial
Registration
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Article 8
Before the issued securities are listed in the stock exchange,
the securities issuer shall apply for the initial registration
of the securities within the time limit prescribed by this
Corporation. |
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Article 9
The initial registration of securities shall include the
registration of the initial public offering of shares,
registration of warrant issuance, registration of fund raising,
registration of the issuance of corporate bonds and company
bonds, issuance registration of the book-entry treasury
bonds (hereinafter referred to as the "Registered Treasury"),
registration of increase of share capital, allotment
registration, fund-raising expansion registration and etc. |
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Article 10
The securities issuer who applies for the registration of
initial public offering of shares, increase of share capital and
shares allotment shall provide the following application
materials:
(1) The application for shares registration;
(2) The approval document of the CSRC concerning the issuance of
the shares;
(3) The underwriting agreement;
(4) The capital verification report (including the certificate
document that the ownership of the non-currency property has
been transferred to the securities issuer) issued by the
accounting firm with the qualification for engaging in the
securities business to prove that all funds raised by the
securities issuers are ready;
(5) If the securities are issued by means other than the trading
system of the stock exchange (hereinafter referred to as
the "off-exchange issuance"), the information such as the
register of the holders of the off-exchange issuance securities,
which shall include the securities code, the securities account
numbers of the securities holders, valid identity certificate
documents numbers of the securities holders and the quantity of
holding securities for this registration shall also be provided;
(6) If the securities are restricted in terms of sales, the
application for restricted sales and the declaration of the
category of the securities holders subject to the restricted
sales shall also be provided;
(7) If the securities are held by the State or the State legal
person prior to the issuance, the approval documents of the
supervision and administration department of the State-owned
assets shall also be provided; if it involves the direct
issuance of shares to the foreign strategic investors, the
approval document of the authorized departments such as the
Ministry of Commerce shall also be provided;
(8) In case the juridical freeze or pledge registration is
involved, the relevant application materials for juridical
assisting implementation and pledge registration shall also be
provided;
(9) In case of the initial offering of the securities, the
issuer shall also provide the original and photocopy of the
valid business license of the legal person of the issuer, the
power of attorney of the legal representative for the designated
contact person (the secretary of the board of directors or the
representative of the securities affairs);
(10) The original and the photocopy of the valid identity
certificate document of the designated contact person; and
(11) Other materials required by this Corporation. |
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Article 11
In respect of the application for the warrant issuance
registration, the warrant issuers shall provide the following
application materials apart from the relevant materials
prescribed in Items (5) to (10) of Article 10:
(1) the application for warrant registration;
(2) the approval document of the authorized organs on the
warrant issuance; and
(3) other materials required by this Corporation. |
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Article 12
In respect of the application for the fund-raising registration,
the fund manager shall provide the following application
materials apart from the relevant materials prescribed in
Items (3) to (10) of Article 10:
(1) the application for fund registration;
(2) the approval document of the CSRC on raising fund;
(3) the fund agreement; and
(4) other materials required by this Corporation. |
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Article 13
In respect of the application for the registration of the
issuance of corporate bond and company bond, the bond issuer
shall provide the following application materials apart from the
relevant materials prescribed in Items (3) to (10) of Article
10:
(1) the application for bond registration;
(2) the approval document of the State authorized department for
the bond issuance;
(3) the bond guarantee agreement or the approval document of the
authorized department on the exemption from guarantee; and
(4) other materials required by this Corporation. |
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Article 14
After the Registered Treasury is issued through public biding or
other means, this Corporation shall establish the register of
the securities holders based on the results confirmed by the
relevant documents of the financial department and the stock
exchange. After the Registered Treasury is sub-underwritten by
listing in the Stock Exchange or by off-exchange agreement, this
Corporation shall conduct the registration of the Registered
Treasury according to the sub-underwriting results confirmed by
the stock exchange. |
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Article 15
Upon the examination and approval of the securities registration
application materials provided by the securities issuer, this
Corporation shall handle the initial registration of the roll of
the securities holders based on the securities registration data
submitted by them. If the securities are issued through the
trading system of the stock exchange (hereinafter referred to as
the "online issuance"), the subscription result delivered by the
stock exchange to this Corporation shall be regarded as one of
the application materials for the initial registration provided
by the securities issuer to this Corporation, and the
Corporation shall register the securities under the names of the
holders thereof according to the subscription results of the
online issuance. If the securities are issued off the exchange,
this Corporation shall register the securities under the names
of the holders thereof according to the register of the off
exchange issuance securities holders provided by the securities
issuer. This Corporation shall issue the certificate document of
the securities registration to the securities issuer after
completing the initial registration of the roll of the
securities holders. |
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Article 16
Any legal liability arising from the false statement in the
initial registration due to the mistakes in the application
materials provided by the securities issuer shall be borne by
such securities issuer, and this Corporation shall not bear any
liability. If the securities issuer applies for making
rectification on the securities initial registration results,
this Corporation shall handle the rectification procedures
according to the effective juridical ruling or other certificate
materials ratified by this Corporation. |
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Chapter 3 Registration
of Alteration
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Section 1 Registration
of Securities Transfer
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Article 17
The registration of securities transfer shall include both the
stock exchange centralized trading transfer
registration (hereinafter referred to as the "centralized
trading transfer registration") and the non-centralized trading
transfer registration (hereinafter referred to as
the "non-trading transfer registration"). |
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Article 18
If the securities are traded through the stock exchange in a
centralized way, this Corporation shall conduct the centralized
trading transfer registration according to the settlement result
of the securities trading. |
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Article 19
If the securities are transferred due to the following reasons,
the non-trading transfer registration may be conducted:
(1) share transfer by agreement;
(2) judicial withholding;
(3) administrative appropriation;
(4) succession, donation and property divided in compliance with
the law;
(5) merger and division of legal person, or lose of legal person
qualification due to dissolution, bankruptcy and order for
closure according to law;
(6) takeover by the listed company;
(7) repurchase of the shares by the listed company;
(8) the shareholding incentive plan implemented by the listed
company; and
(9) other situations prescribed by the relevant laws,
administrative regulations, the CSRC rules and the business
rules of this Corporation. |
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Article 20
After the two parties of the share transfer by agreement or
administrative transfer have obtained the confirmation documents
from the stock exchange on share transfer, they shall apply at
this Corporation for the registration of share transfer. This
Corporation shall handle the procedures of transfer registration
and issue the certificate document of transfer registration to
the applicant after the examination and approval for the
application materials for the transfer registration. |
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Article 21
In case of succession, donation or property being divided (such
as divorce and division of family property) according to law, ,
the merger and division of legal person, or lose of legal person
qualification due to dissolution, bankruptcy or order for
closure according to law, the property successor shall provide
this Corporation with the valid certificate document of the
securities ownership in the course of application for the
transfer registration, and this Corporation shall handle the
procedures of transfer registration and issue the certificate
document of transfer registration to the applicant after the
examination and approval for the application materials for
transfer registration. |
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Article 22
In case of the judicial transfer of the securities under the
entrustment of the institutions such as the securities
companies, the institutions such as the trustee securities
companies shall assist going through the procedures.
Institutions such as the securities companies shall, after
accepting the judicial transfer requirement, freeze the trading
of the relevant securities, and send the relevant data of
assisting judicial transfer to this Corporation within the day
of assisting judicial transfer, and this Corporation shall
handle the transfer registration according to the data sent by
the institutions such as the securities companies. |
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Article 23
This Corporation shall assist in handling the judicial transfer
of the securities which are not entrusted to the institutions
such as the securities companies. Moreover, this Corporation
shall verify the securities under the names of the holders
involved in the judicial transfer after completing the clearing
and delivery procedures in the transaction day corresponding to
the acceptance date, and go through the transfer registration
procedures pursuant to the verification results. |
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Article 24
The non-trading transfer registration resulting from the
takeover by the listed company, repurchase of the shares by the
listed company and the shareholding incentive plan implemented
by the listed company shall be conducted in accordance with the
provisions of the relevant businesses. |
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Section 2 Other
Registration of Alteration
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Article 25
Other registration of alteration shall include the registration
of the alteration arising from the judicial freeze and pledge of
the securities, the creation and cancellation of the warrants,
the exercise of the warrants, converting the convertible company
bonds into shares, the redemption or resale of the convertible
company bonds, the subscription or redemption of the Exchange
Traded Fund (hereinafter referred to as the "ETF") and etc. |
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Article 26
If the rights of the holders are restricted due to judicial
freeze and pledge of the securities, this Corporation shall
provide the corresponding indications in the roll of the
securities holders.
The registration of alteration involved in the business of
pledge repurchase of the securities shall be disposed of
according to the provisions of the relevant businesses of this
Corporation. |
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Article 27
With regards to the judicial freeze of the securities under the
trusteeship of the institutions such as the securities
companies, the institutions such as the trustee securities
companies shall assist in going through the relevant procedures.
The institutions such as the securities companies shall, after
entertaining the petition to the judicial freeze, freeze the
trading of the relevant securities, and deliver the relevant
data of judicial freeze assistance to this Corporation on the
date of judicial freeze assistance, and this Corporation shall
go through the registration of judicial freeze according to the
data delivered by the institutions such as the securities
companies. |
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Article 28
In case of the judicial freeze of the securities which are not
entrusted to the institutions such as the securities companies,
this Corporation shall assist in handling it. This Corporation
shall verify the securities under the names of the holders
involved in the judicial freeze after completing the clearing
and delivery procedures in the transaction date corresponding to
the entertaining day, and go through the registration procedures
of judicial freeze in accordance with the verification results. |
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Article 29
To pledge the securities of an investor, the registration of
securities pledge shall be handled according to the relevant
provisions of this Corporation on the business of securities
registration pledge. The securities pledge contract shall come
into effect after the two parties of the pledge have conducted
the pledge registration. Once the securities pledge registration
is completed, no repeated pledge shall be set on such securities
prior to the removal of the pledge registration. The securities
which have gone through the registration of judicial freeze
shall not apply for the pledge registration again. |
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Article 30
Where the creators of the warrant creates or cancels the
warrant, this Corporation shall conduct the creation of warrant
or cancellation of the corresponding warrant according to the
valid declaration of creation or cancellation. |
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Article 31
During the exercise schedule of the warrant, this Corporation
shall conduct the registration of alteration of warrant exercise
on the basis of the valid declaration of exercise and delivery
results. |
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Article 32
During the period of converting the convertible company bonds
into shares, this Corporation shall conduct the registration of
share transfer according to the valid declaration results of the
share transfer, register the corresponding shares under the
names of the holders thereof, and shall cancel the corresponding
convertible company bonds under the names of the holders
thereof. |
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Article 33
If the issuer of the convertible company bonds apply to this
Corporation for the registration of the redemption or resale of
the convertible company bonds, this Corporation shall, after
confirming that the fund for redemption or resale have been
transferred to the bank account designated by the Corporation,
cancel the redeemed or resold convertible company bonds
according to the application, the redemption means agreed in the
public announcement or the effective resale declaration, and
shall go through the fund transfer procedures according to the
relevant business provisions of this Corporation. |
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Article 34
In case of subscription or redemption of the ETF shares, this
Corporation shall handle the registration of the changes of the
ETF shares subscription or redemption according to the effective
declaration and delivery results of the subscription or
redemption. |
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Chapter 4 Registration
of Withdrawal
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Article 35
After the shares have been terminated for listing, the share
issuer or the agency institutions thereof shall go through the
registration procedures for withdrawing from the stock exchange
market in this Corporation immediately, and shall go through the
relevant registration procedures for entering the agency share
transfer system if it shall be transferred by listing in the
agency share transfer system according to the provisions. |
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Article 36
After this Corporation has cleared the claims and debts with the
shares issuer or arrived at the agreement on the issue of claims
and debt, it shall sign the memorandum on the transfer of the
securities registration data with the shares issuer or the
agency institutions thereof, and transfer the relevant data of
securities registration such as the list of the register of the
shareholders and the data to the shares issuer or the agency
institutions thereof.
The list of the roll of the holders as referred to in the
preceding Paragraph shall include but not be limited to the
contents such as the names or titles of the holders, the
securities account numbers, the valid identity certificate
documents numbers, the correspondence addresses of the holders,
the quantity of holding securities, the securities trusteeship
institutions, the restriction for sales, judicial freezing
status, pledge registration situations and the amount of the
cash bonus unclaimed. |
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Article 37
In case that the shares issuer or the trusteeship institutions
thereof fail to go through the registration procedures for
withdrawing from the stock exchange market according to the
provisions, this Corporation may deliver the securities
registration data and data to such shares issuer or the
trusteeship institutions thereof, and make notarization in the
notary organs, and it shall be deemed as completing the
registration procedures for withdrawing from the stock exchange
market. |
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Article 38
After the shares issuer completes the registration procedures
for withdrawing from the stock exchange market, this Corporation
shall publicize the public announcement concerning terminating
providing the stock exchange market registration services for
the shares issuer in the newspaper designated by the CSRC. |
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Article 39
If the securities are redeemed in advance or honored when due,
the registration service business thereof in the stock exchange
market shall be terminated automatically, and it shall be
regarded as completing the registration procedures for
withdrawing from the stock exchange market. |
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Article 40
The withdrawal registration procedures for other securities
shall be transacted with reference to the provisions of Article
35 to Article 39. |
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Chapter 5 Relevant
Services of Securities Registration
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Section 1 Roll
of Securities Holders
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Article 41
This Corporation shall provide the securities issuers with the
roll of securities holders regularly.
In case of initial registration of securities, the convening of
the general meeting, the convening of the fund holders general
meetings, equity distribution, major changes in shareholding
structure and the abnormal fluctuation of the securities
trading, this Corporation shall provide the corresponding roll
of the securities holders upon the application of the securities
issuers. |
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Article 42
The main contents of the roll of the securities holders provided
by this Corporation shall include the names or titles of the
securities holders, the account numbers, the quantity of holding
securities, the correspondence addresses of the securities
holders and etc. If a securities issuer needs this Corporation
to provide the value-added services related to the roll of the
securities holders, it may apply to this Corporation, and this
Corporation shall provide such services after examination and
approval. |
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Article 43
In case that a securities holder holds several securities
accounts, this Corporation may provide the roll of the
securities holders after conducting a consolidated statistics of
all the securities accounts for the same securities held by such
securities holder. |
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Article 44
A securities issuer may obtain the roll of the securities
holders through the network service system for the listed
companies provided by this Corporation, post, on-site
transaction and etc. |
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Article 45
Any securities issuer shall be responsible for safekeeping of
the roll of the securities holders, and use it as permitted by
the laws, administrative rules and regulations and departmental
rules. Any legal liability arising from the improper use of the
roll of the securities holders by the securities issuer shall be
borne by such securities issuer. This Corporation shall not be
liable. |
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Article 46
If the supervisory board or shareholders of a listed company
convenes the general meeting at its own discretion, the convener
may present the relevant notice concerning the convening of the
meeting to apply at this Corporation for obtaining the roll of
the securities holders updated to the shareholding registration
date as announced by him. The convener shall not use the roll of
the securities holders he has obtained for other purposes except
for convening the shareholders general meeting. |
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Section 2 Equity
Distribution Service
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Article 47
In case that a securities issuer entrusts this Corporation to
distribute the stock dividends and transfer the common reserve
fund into share capital, it shall provide this Corporation with
application for distributing the stock dividends and
transferring the common reserve fund into share capital,
resolution of the shareholders general meeting and other
materials as required by this Corporation.
This Corporation shall, after examining and approving the
application materials provided by the securities issuer,
distribute the corresponding shares according to its
application. |
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Article 48
In case that a securities issuer entrusts this Corporation to
distribute stock or fund cash dividends or the principal and
interest of bonds, it shall apply to the Corporation and
transfer the fund for distributing the cash dividends or the
principal and interest of bonds to the bank account designated
by this Corporation within the time limit prescribed by this
Corporation; this Corporation shall, after confirming that the
corresponding fund of the securities issuer has been transferred
to the designated account, go through the fund transfer
procedure according to the provisions of this Corporation on the
relevant businesses. |
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Article 49
In case of paying the Register Treasury dividends, this
Corporation shall handle the procedure of paying the Register
Treasury dividends according to the relevant provisions of the
Ministry of Finance on paying the Register Treasury dividends. |
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Article 50
Where a securities issuer entrusts this Corporation with
distributing cash dividends or principal and interest of bonds,
if it fails to transfer the relevant fund within the time limit
as prescribed by this Corporation, it shall notify this
Corporation immediately and make public announcement in the
media designated by the CSRC to explain the reasons. Any legal
liability arising from the securities issuer's failing to
perform the obligations of notice and public announcement in
time shall be borne by such securities issuer, and this
Corporation shall not bear any liability. |
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Section 3 Inquiry
Service
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Article 51
Any securities issuer or securities holder may apply to this
Corporation for making inquiry for the securities registration
information through the electronic network service system
provided by this Corporation, onsite transaction and etc.
The inquiry results which the securities holder obtains through
the network consulting service system of this Corporation shall
not be the legal basis for its holding securities. If the
securities holder needs to obtain the certificate of the
securities holding and alteration record with legal effect, it
shall apply for it according to the provisions of this
Corporation on the relevant businesses. |
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Article 52
Any securities issuer may make inquiry to this Corporation for
the information such as the registration of holding such
securities and alteration of the parties such as the affiliated
persons, directors, supervisors and senior management personnel
who know the internal information. |
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Article 53
Ant securities holder may make inquiry to this Corporation for
the information concerning the registration of his holding
securities and the alteration thereof. |
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Article 54
The stock exchange shall perform its duties according to law,
and may make inquiry to this Corporation for the relevant data
of securities registration and the data. |
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Article 55
The people's courts, the people's procuratorates, public
security organs and the CSRC may consult this Corporation for
the relevant data of securities registration and the data
according to the statutory conditions and procedures |
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Section 4 Online
Voting Service
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Article 56
This Corporation shall establish the shareholders general
meeting online voting system for the listed
companies (hereinafter referred to as the "online voting
system") to provide online voting service for the listed
companies and the shareholders thereof. |
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Article 57
Any listed company which use the online voting system of this
Corporation shall apply to this Corporation, and it may, after
being examined and approved by this Corporation, conduct the
shareholders general meeting online voting business according to
the provisions of this Corporation on the operation procedure of
online voting business. |
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Article 58
When the shareholders of a listed company vote through the
online voting system, they shall proceed to the stage of online
voting after conducting the identity verification in accordance
with the provision of this Corporation on the operation
procedure of investors' identity verification business. |
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Section 5
Indication Service of the Category of Shareholders
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Article 59
This Corporation shall provide the indication service of the
category of holders of the shares which are restricted in terms
of sales according to the relevant provisions of the State
authorized departments. |
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Article 60
The category of holders as referred to in the preceding Article
shall include the "State", "State-owned legal person", "domestic
non-State-owned legal person", "domestic natural
person", "overseas legal person", "overseas natural person" and
etc. |
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Article 61
This Corporation shall, on the basis of the declaration of the
securities issuers or holders, add, establish and alter the
indication of the category of holders after carrying out the
necessary formal audit. If the securities issuers or holders
apply for adding, establishing and altering the indication
of "State" and "State-owned legal person", they shall provide
the definition documents of the supervision and administration
department of the State-owned assets. |
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Article 62
This Corporation shall add, establish and alter the indication
of the category of the holders in term of securities accounts.
If a holder holds several securities accounts and there is any
discrepancy among the indication of the category of holders,
this Corporation shall have the right to require the relevant
securities issuers and holders to re-verify. |
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Section 6 Other
Services
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Article 63
The relevant services of securities registration involved in the
shareholding incentive plans of the listed companies shall be
conducted according to the provisions of this Corporation on the
relevant businesses. |
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Article 64
This Corporation shall provide the relevant information,
counseling and training services of securities registration
according to law. |
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Chapter 6 Supplementary
Provisions
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Article 65
Any applicant for securities registration shall pay the
securities registration fee and the relevant services according
to the provisions of this Corporation. If the securities
registration and the relevant service businesses involve the
taxes, it shall be conducted according to the relevant
provisions of the State. |
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Article 66
If an applicant for securities registration violates the
provisions of these Rules, the relevant business rules and
guidelines of this Corporation and etc., this Corporation may
suspend or terminate providing securities registration and
relevant services for it. |
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Article 67
If there is any violation of the laws, administrative
regulations and the departmental rules of the State when an
applicant for securities registration applies to this
Corporation for the securities registration and relevant
services, the applicant shall bear liability for the consequence
of the relevant behaviors. This Corporation shall have the right
to suspend or terminate providing securities registration and
relevant services for it. |
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Article 68
The Chinese version of materials as required to provide in these
Rules shall prevail, if such materials are written in foreign
language, the notarized Chinese translation shall be attached. |
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Article 69
These rules shall be effective immediately after being approved
by the CSRC, so shall the amendment. |
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Article 70
If there is any discrepancy between the rules, guides,
guidelines and notices concerning the securities registration
and the relevant services promulgated by this Corporation, and
these Rules, these Rules shall prevail. |
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Article 71
This Corporation shall be responsible for the interpretation for
these Rules. |
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Article 72
These Rules shall come into effect as of the promulgation date. |
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