证券业从业人员资格管理办法 Order of China Securities Regulat_法律英语

证券业从业人员资格管理办法 Order of China Securities Regulat

文章来源：文章作者：发布时间：2007-06-11 00:53 字体： [大中小]　进入论坛

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中国证券监督管理委员会令第14号

颁布日期：20021216 　实施日期：20030201 　颁布单位：中国证券监督管理委员会

　　No.14

　　The Measures for the Administration of the Qualifications of Securities Practitioners² were adopted at the 16th president executive meeting of China Securities Regulatory Commission on October 22， 2002， and are hereby promulgate³ and shall come into force on February 1， 2003.

　　Zhou Xiaochuan， President

　　December 16， 2002

　　Measures for the Administration of the Qualifications of Securities Practitioners

　　Chapter I General Rules

　　Article 1 In order to strengthen the administration of the qualifications of securities practitioners， to promote the normalized development of the securities market and to protect the legitimate⁴ rights and interests of the investors⁵， these Measures are enacted⁶ in accordance with the Securities Law of the People's Republic of China.

　　Article 2 The professionals， who undertake securities business in the institutions engaging in securities business pursuant to law （hereinafter referred to as institutions）， shall obtain the practice qualification and certificate according to these Measures.

　　Article 3 Institutions as used in these Measures refer to：

　　（1） Securities companies；

　　（2） Fund management companies， fund custodian⁷ institutions， and fund sale institutions；

　　（3） Securities investment consulting institutions；

　　（4） Securities credit evaluation⁸ institutions；

　　（5） Other institutions engaged in the securities business as provided for by China Securities Regulatory Commission （hereinafter referred to as CSRC）。

　　Article 4 Securities professionals used in these Measures refer to：

　　（1） Professionals undertaking⁹ proprietary¹⁰ trading， brokerage， underwriting， investment consulting， entrusted¹¹ investment management， etc.， in securities companies， including the managerial personnel of the relevant business departments；

　　（2） Professionals undertaking fund sale， study and analysis， investment management， trading， supervision¹² and auditing¹³， etc.， in fund management companies and fund custodian companies， including the managerial personnel of the relevant business departments； professionals engaging in fund publicity¹⁴， marketing¹⁵， consulting， etc.， in fund sale institutions， including the managerial personnel of the relevant business departments；

　　（3） Professionals undertaking securities investment consulting in securities investment consulting institutions and the managerial personnel thereof；

　　（4） Professionals undertaking securities credit evaluation in securities credit evaluation institutions and the managerial personnel thereof；

　　（5） Other personnel that need to obtain the practice qualification and certificate as provided for by CSRC.

　　Article 5 China Securities Association （hereinafter referred to as Association） is in charge of the practice qualification exam for practitioner¹， issuance of practice certificate and practice registration¹⁶， etc.， pursuant to these Measures.

　　Article 6 CSRC shall direct and supervise the Association's work relating to the administration of qualification for securities practitioner.

　　Chapter II Obtaining of Practice Qualification and Practice Certificate

　　Article 7 Whoever taking part in a qualification exam shall reach the age of 18， have at least a high school degree and have full civil capacity.

　　Article 8 The qualification exam shall be organized by the Association. Those passing the exam will be qualified¹⁷ for practice.

　　Article 9 Classified professional exams will not be employed in the practice qualification exam， which include a basic subject and a professional subject.

　　According to the development of securities market， the Association may organize， aside from the qualification exam， other exams for different specialties¹⁸， which will not be compulsory¹⁹ exams and may be chosen by the practitioners themselves， and the results of such exams will be referred to by the institutions in employment.

　　Article 10 A person that is qualified for practice and meets the following conditions may apply for the practice license²⁰ through the institution：

　　（1） Being employed by the institution；

　　（2） Having not been given criminal punishment in the last three years；

　　（3） Not being in any situation provided for in Article 126 of the Securities Law of the People's Republic of China；

　　（4） Not being prohibited from the securities market by CSRC， or the prohibition²¹ has expired；

　　（5） Behaving well and having good professional ethics²²；

　　（6） Other conditions provided for in laws and administrative²³ regulations and by CSRC.

　　To apply for practicing securities investment consulting and securities credit evaluation， the applicant²⁴ shall， at the same time， meet Article 158 of the Securities Law of the People's Republic of China and other relevant provisions.

　　Article 11 If the applicant meets the conditions provided for in these Measures， the Association shall put on record with CSRC and issue the practice license within 30 days from receiving the application； if the conditions of these Measures are not met， the Association will not issue the practice license， and shall notify the applicant or institution and explain the reasons in written form within 30 days from receiving the application.

　　Article 12 Qualification certificates are not classified. A person with practice certificate may， upon appointment， carry out securities business on behalf of the institution that has employed him.

　　Chapter III Supervision and Administration

　　Article 13 Where a person with practice certificate hasn't practiced in an institution for 3 consecutive²⁵ years， the Association shall nullify his practice certificate； if the person wishes to practice again， he shall participate in the practice training organized by the Association and apply for the practice certificate over again.

　　Article 14 After a practitioner has obtained the practice certificate， if he resigns or is not employed by the institution that employed him any more， or cancels the labor²⁶ contract with the institution that employed him for other reasons， the said institution shall report to the Association within 10 days after occurrence of the aforesaid situation， and the Association shall alter the practice registration of that person.

　　If a practitioner with practice certificate become employee of another institution， the new employer institution shall report to the Association within 10 days after occurrence of the aforesaid situation， and the Association shall alter the practice registration of that person.

　　Article 15 An institution may not employ any person without practice certificate to carry out securities business.

　　Article 16 Where a practitioner， in the course of practice， violates the relevant securities laws and administrative regulations and the relevant provisions of CSRC and is punished by the employer institution， the institution shall report to the Association within 10 days after the punishment.

　　Article 17 The Association and institutions shall arrange follow-up professional training for the personnel with practice certificates to raise their professional ethics and quality.

　　Article 18 The measures for practice qualification exam， exam outline， administration measures on practice certificate and practice rules etc formulated²⁷ by the Association pursuant to these Measures and the relevant provisions of CSRC shall be submitted to SCRS for approval.

　　Article 19 The Association shall establish an administration database of practitioner qualification to administer the qualification proclamation and practice registration.

　　Chapter IV Rules for Punishment

　　Article 20 If anyone participating in a qualification exam violates the exam room rules or disrupt the exam room order， he may not participate in the qualification exam within 2 years.

　　Article 21 If any person with practice qualification provides false materials in application for practice certificate， he will not be issued the practice certificate； if the practice certificate has already been issued， it will be nullified by the Association.

　　Article 22 If an institution practices fraud， seeks private benefits through wrongful means and willfully creates difficulties for the relevant parties in the application for practice certificate， or fails to perform the obligation of report pursuant to the provisions， the Association shall order it to correct； if it refuses to do so， the Association shall give disciplinary sanctions to the directly responsible personnel； if the circumstances are serious， CSRC will impose separately or concurrently²⁸ a warning and a fine of no more than 30，000 yuan.

　　Article 23 If an institution employs any person without practice certificate to carry out securities business， the Association shall order the institution to correct； if it refuses to do so， it shall be given disciplinary sanctions； if the circumstances are serious， CSRC will impose separately or concurrently a warning and a fine of no more than 30，000 yuan.

　　Article 24 If a practitioner refuses the investigation²⁹ or inspection³⁰ conducted by the Association， or the institution employing that practitioner refuses to cooperate in the investigation， the Association shall order the offender³¹ to correct； if it refuses to do so， it will be given disciplinary sanctions； if the circumstances are serious， CSRC will punish the practitioner by suspending him from practice for 3 to 12 months or revoking³² his practice certificate； and impose on the institution separately or concurrently a warning and a fine of no more than 30，000 yuan.

　　Article 25 For a person whose practice certificate has been revoked³³ by CSRC pursuant to law or nullified by the Association for violation³⁴ of these Measures， the Association may reject his application for practice certificate in 3 years.

　　Article 26 If any staff of the Association fails to perform his duties pursuant to these Measures， seeks private benefits through wrongful means， neglects his duties or willfully creates difficulties for the relevant parties， the Association shall give him disciplinary sanctions.Chapter 5 Supplementary³⁵ Rules.

　　Article 27 Those that hold securities brokerage qualification certificates， qualification certificates for issuing securities as agent， securities investment consulting qualification certificates and fund practice qualification certificates may directly apply for the practice certificates.

　　Those holding two or more aforesaid certificates may obtain professional level certification according to the provisions of the Association.

　　Article 28 Administration of the qualification for senior managerial personnel of the institutions shall be separately provided for by CSRC.

　　Article 29 These Measures shall enter into force on February 1， 2003. The Interim³⁶ Administration Provisions on Qualification for Securities Practitioner shall be repealed³⁷ at the same time.

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收听单词发音

1 practitioner
n.实践者，从事者；(医生或律师等)开业者
参考例句：
He is an unqualified practitioner of law.他是个无资格的律师。 She was a medical practitioner before she entered politics.从政前她是个开业医生。

2 practitioners
n.习艺者，实习者( practitioner的名词复数 )；从业者（尤指医师）
参考例句：
one of the greatest practitioners of science fiction 最了不起的科幻小说家之一 The technique is experimental, but the list of its practitioners is growing. 这种技术是试验性的，但是采用它的人正在增加。来自辞典例句

3 promulgate
v.宣布；传播；颁布（法令、新法律等）
参考例句：
The king promulgate a decree.国王颁布了一项命令。 The shipping industry promulgated a voluntary code.航运业对自律守则进行了宣传。

4 legitimate
adj.合法的，合理的，合乎逻辑的；v.使合法
参考例句：
Sickness is a legitimate reason for asking for leave.生病是请假的一个正当的理由。 That's a perfectly legitimate fear.怀有这种恐惧完全在情理之中。

5 investors
n.投资者，出资者( investor的名词复数 )
参考例句：
a con man who bilked investors out of millions of dollars 诈取投资者几百万元的骗子 a cash bonanza for investors 投资者的赚钱机会

6 enacted
制定（法律），通过（法案）( enact的过去式和过去分词 )
参考例句：
legislation enacted by parliament 由议会通过的法律 Outside in the little lobby another scene was begin enacted. 外面的小休息室里又是另一番景象。来自英汉文学 - 嘉莉妹妹

7 custodian
n.保管人，监护人；公共建筑看守
参考例句：
Benitez believes his custodian is among the top five in world football.贝尼特斯坚信他的门将是当今足坛最出色的五人之一。 When his father died his uncle became his legal custodian.他父亲死后，他叔叔成了他的法定监护人。

8 evaluation
n.估价，评价；赋值
参考例句：
I attempted an honest evaluation of my own life.我试图如实地评价我自己的一生。 The new scheme is still under evaluation.新方案还在评估阶段。

9 undertaking
n.保证，许诺，事业
参考例句：
He gave her an undertaking that he would pay the money back with in a year.他向她做了一年内还钱的保证。 He is too timid to venture upon an undertaking.他太胆小，不敢从事任何事业。

10 proprietary
n.所有权，所有的；独占的；业主
参考例句：
We had to take action to protect the proprietary technology.我们必须采取措施保护专利技术。 Proprietary right is the foundation of jus rerem.所有权是物权法之根基。

11 entrusted
v.委托，托付( entrust的过去式和过去分词 )
参考例句：
He entrusted the task to his nephew. 他把这任务托付给了他的侄儿。 She was entrusted with the direction of the project. 她受委托负责这项计划。来自《简明英汉词典》

12 supervision
n.监督，管理
参考例句：
The work was done under my supervision.这项工作是在我的监督之下完成的。 The old man's will was executed under the personal supervision of the lawyer.老人的遗嘱是在律师的亲自监督下执行的。

13 auditing
n.审计，查账，决算
参考例句：
Auditing standards are the rules governing how an audit is performed.收支检查标准是规则统治一个稽核如何被运行。 The auditing services market is dominated by a few large accounting firms.审计服务市场被几家大型会计公司独占了。

14 publicity
n.众所周知，闻名；宣传，广告
参考例句：
The singer star's marriage got a lot of publicity.这位歌星的婚事引起了公众的关注。 He dismissed the event as just a publicity gimmick.他不理会这件事，只当它是一种宣传手法。

15 marketing
n.行销，在市场的买卖，买东西
参考例句：
They are developing marketing network.他们正在发展销售网络。 He often goes marketing.他经常去市场做生意。

16 registration
n.登记，注册，挂号
参考例句：
Marriage without registration is not recognized by law.法律不承认未登记的婚姻。 What's your registration number?你挂的是几号？

17 qualified
adj.合格的，有资格的，胜任的，有限制的
参考例句：
He is qualified as a complete man of letters.他有资格当真正的文学家。 We must note that we still lack qualified specialists.我们必须看到我们还缺乏有资质的专家。

18 specialties
n.专门，特性，特别；专业( specialty的名词复数 )；特性；特制品；盖印的契约
参考例句：
Great Books are popular, not pedantic. They are not written by specialists about specialties for specialists. 名著绝不引经据典，艰深难懂，而是通俗易读。它们不是专家为专业人员撰写的专业书籍。来自英汉 - 翻译样例 - 文学 Brain drains may represent a substantial reduction in some labor force skills and specialties. 智力外流可能表示某种劳动力技能和特长大量减少。来自辞典例句

19 compulsory
n.强制的，必修的；规定的，义务的
参考例句：
Is English a compulsory subject?英语是必修课吗？ Compulsory schooling ends at sixteen.义务教育至16岁为止。

20 license
n.执照，许可证，特许；v.许可，特许
参考例句：
The foreign guest has a license on the person.这个外国客人随身携带执照。 The driver was arrested for having false license plates on his car.司机由于使用假车牌而被捕。

21 prohibition
n.禁止；禁令，禁律
参考例句：
The prohibition against drunken driving will save many lives.禁止酒后开车将会减少许多死亡事故。 They voted in favour of the prohibition of smoking in public areas.他们投票赞成禁止在公共场所吸烟。

22 ethics
n.伦理学；伦理观，道德标准
参考例句：
The ethics of his profession don't permit him to do that.他的职业道德不允许他那样做。 Personal ethics and professional ethics sometimes conflict.个人道德和职业道德有时会相互抵触。

23 administrative
adj.行政的，管理的
参考例句：
The administrative burden must be lifted from local government.必须解除地方政府的行政负担。 He regarded all these administrative details as beneath his notice.他认为行政管理上的这些琐事都不值一顾。

24 applicant
n.申请人，求职者，请求者
参考例句：
He was the hundredth applicant for the job. 他是第100个申请这项工作的人。 In my estimation, the applicant is well qualified for this job. 据我看, 这位应征者完全具备这项工作的条件。

25 consecutive
adj.连续的，联贯的，始终一贯的
参考例句：
It has rained for four consecutive days.已连续下了四天雨。 The policy of our Party is consecutive.我党的政策始终如一。

26 labor
n.劳动，努力，工作，劳工；分娩；vi.劳动，努力，苦干；vt.详细分析；麻烦
参考例句：
We are never late in satisfying him for his labor.我们从不延误付给他劳动报酬。 He was completely spent after two weeks of hard labor.艰苦劳动两周后，他已经疲惫不堪了。

27 formulated
v.构想出( formulate的过去式和过去分词 )；规划；确切地阐述；用公式表示
参考例句：
He claims that the writer never consciously formulated his own theoretical position. 他声称该作家从未有意识地阐明他自己的理论见解。来自《简明英汉词典》 This idea can be formulated in two different ways. 这个意思可以有两种说法。来自《现代汉英综合大词典》

28 concurrently
adv.同时地
参考例句：
He was given two twelve month sentences to run concurrently. 他两罪均判12个月监禁，同期执行。来自《简明英汉词典》 He was given two prison sentences, to run concurrently. 他两罪均判监禁，同期执行。来自辞典例句

29 investigation
n.调查，调查研究
参考例句：
In an investigation,a new fact became known, which told against him.在调查中新发现了一件对他不利的事实。 He drew the conclusion by building on his own investigation.他根据自己的调查研究作出结论。

30 inspection
n.检查，审查，检阅
参考例句：
On random inspection the meat was found to be bad.经抽查，发现肉变质了。 The soldiers lined up for their daily inspection by their officers.士兵们列队接受军官的日常检阅。

31 offender
n.冒犯者，违反者，犯罪者
参考例句：
They all sued out a pardon for an offender.他们请求法院赦免一名罪犯。 The authorities often know that sex offenders will attack again when they are released.当局一般都知道性犯罪者在获释后往往会再次犯案。

32 revoking
v.撤销，取消，废除( revoke的现在分词 )
参考例句：
There are no provisions for revoking the prize. 没有撤销获奖的规定。来自互联网 The decision revoking the patent right shall be registered and announced by the Patent Office. 撤销专利权的决定，由专利局登记和公告。来自互联网

33 revoked
adj.[法]取消的v.撤销，取消，废除( revoke的过去式和过去分词 )
参考例句：
It may be revoked if the check is later dishonoured. 以后如支票被拒绝支付，结算可以撤销。来自辞典例句 A will is revoked expressly. 遗嘱可以通过明示推翻。来自辞典例句

34 violation
n.违反(行为)，违背(行为)，侵犯
参考例句：
He roared that was a violation of the rules.他大声说，那是违反规则的。 He was fined 200 dollars for violation of traffic regulation.他因违反交通规则被罚款200美元。

35 supplementary
adj.补充的，附加的
参考例句：
There is a supplementary water supply in case the rain supply fails.万一主水源断了，我们另外有供水的地方。 A supplementary volume has been published containing the index.附有索引的增补卷已经出版。

36 interim
adj.暂时的，临时的；n.间歇，过渡期间
参考例句：
The government is taking interim measures to help those in immediate need.政府正在采取临时措施帮助那些有立即需要的人。 It may turn out to be an interim technology.这可能只是个过渡技术。

37 repealed
撤销，废除( repeal的过去式和过去分词 )
参考例句：
The Labour Party repealed the Act. 工党废除了那项法令。 The legislature repealed the unpopular Rent Act. 立法机关废除了不得人心的租借法案。

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