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| Order of the State Council of the People's Republic of China | | 中华人民共和国国务院令 |
| (No. 798) | | （第798号） |
| The Provisions of the State Council on Regulating Intermediaries' Provision of Services for Companies' Public Offerings of Stocks, as adopted at the 49th executive meeting of the State Council on December 23, 2024, are hereby issued and shall come into force on February 15, 2025. | | 《国务院关于规范中介机构为公司公开发行股票提供服务的规定》已经2024年12月23日国务院第49次常务会议通过，现予公布，自2025年2月15日起施行。 |
| Premier: Li Qiang | | 总理 李强 |
| January 10, 2025 | | 2025年1月10日 |
| Provisions of the State Council on Regulating Intermediaries' Provision of Services for Companies' Public Offerings of Stocks | | 国务院关于规范中介机构为公司公开发行股票提供服务的规定 |
| Article 1 These Provisions are developed for the purposes of regulating intermediaries' provision of services for companies' public offerings of stocks, improving the quality of listed companies, protecting the lawful rights and interests of investors, and promoting the sound and stable development of the capital market. | | 第一条 为了规范中介机构为公司公开发行股票提供服务行为，提高上市公司质量，保护投资者合法权益，促进资本市场健康稳定发展，制定本规定。 |
| Article 2 These Provisions shall apply to the provision of paid services and other relevant activities conducted by securities companies, accounting firms, law firms, and other institutions (collectively, “intermediaries”) for companies' public offerings of stocks within the territory of the People's Republic of China. | | 第二条 证券公司、会计师事务所、律师事务所等机构（以下统称中介机构）为公司在中华人民共和国境内公开发行股票提供服务收取费用等相关活动，适用本规定。 |
| Article 3 An intermediary providing services for companies' public offerings of stocks shall follow the principles of honesty, trustworthiness, diligence, independence, and objectivity, assign employees with corresponding professional capabilities and qualifications, and establish effective risk control rules such as rules for the review of conflicts of interest. | | 第三条 中介机构为公司公开发行股票提供服务，应当遵循诚实守信、勤勉尽责、独立客观的原则，同时配备具有相应专业能力和资质的从业人员，建立有效的利益冲突审查等风险控制制度。 |
| Article 4 An intermediary providing services for companies' public offerings of stocks shall not cooperate with a company in committing financial fraud, fraudulent issuance, illegal information disclosure, or any other violation of law or regulation, and the documents prepared or issued by the intermediary shall not contain any false records, misleading statements, or material omissions. | | 第四条 中介机构为公司公开发行股票提供服务，不得有配合公司实施财务造假、欺诈发行、违规信息披露等违法违规行为，制作、出具的文件不得有虚假记载、误导性陈述或者重大遗漏。 |
| Article 5 An intermediary shall follow the principle of market orientation in reasonably determining fee rates based on workload, required resource input, and other factors, and agree on fee collection arrangements with the issuer in the contract. | | 第五条 中介机构应当遵循市场化原则，根据工作量、所需资源投入等因素合理确定收费标准，并与发行人在合同中约定收费安排。 |
| Article 6 A securities company providing sponsorship services may charge service fees in stages based on the work progress. However, the charge of fees and the amount of fees charged shall not be conditional on the results of the public offering and listing of stock. | | 第六条 证券公司从事保荐业务，可以按照工作进度分阶段收取服务费用，但是收费与否以及收费多少不得以股票公开发行上市结果作为条件。 |
| ．．．．．． | | 证券公司从事承销业务，应当符合国务院证券监督管理机构的规定，综合评估项目成本等因素收取服务费用，不得按照发行规模递增收费比例。 |
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