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第一条为了适应让券市场对外开放的需要,加强和完善对外资参股证券公司的监督管理,明确外资参股证券公司的设立条件和程序,根据《公司法》和《证券法》的有关规定,制定本规刖。第二条本规则所称外资参股证券公司包括境外股东受让、认构境内证券公司股权而变更的证券公司或者境外股东与境内股东共同出资设立的证券公司。第三条中国证券监督管理委员会(以下简称“中国证监会”)负责对外资参股证券公司的审批和监督管理。第四条外资参股证券公司的组织形式为有限责任公司。外资参股证券公司的名称、注册资本、组织机构的设立及职责,应当符合《公司法》、《证券法》和中国证监会的有关规定。
Article 1 In order to meet the needs of the securities market for opening to the outside world, the supervision and administration of foreign-invested securities companies are strengthened and the conditions and procedures for the establishment of foreign-invested securities companies are clarified. According to the relevant provisions of the Company Law and the Securities Law, Formulate this regulation. Article 2 The foreign-invested securities companies mentioned in these Rules include securities companies that have been transferred by overseas shareholders or have changed the ownership of domestic securities companies, or securities companies jointly established by overseas shareholders and domestic shareholders. Article 3 The China Securities Regulatory Commission (hereinafter referred to as “CSRC”) is responsible for the examination, approval and supervision of foreign-invested securities companies. Article 4 The forms of foreign-invested securities companies are limited liability companies. The name, registered capital, organization and responsibilities of the foreign-invested securities companies shall comply with the Company Law, the Securities Law and the relevant provisions of the CSRC.