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Announcement of China Securities Regulatory Commission
(No.21 [2008])
The Provisions on Further Regulating Securities Business Outlets are hereby promulgated, and shall come into force as of the date of promulgation.
May 16th, 2008
Provisions of China Securities Regulatory Commission on Further Regulating Securities Business Outlets
To meet the demands of the development of the securities market, further regulate securities business outlets, improve the service level of securities companies, increase the competitiveness of the securities industry and protect the legitimate rights and interests of investors, we hereby make the following provisions on further regulating securities business outlets:
| | 中国证券监督管理委员会公告
（[2008]21号）
现公布《关于进一步规范证券营业网点的规定》，自公布之日起施行。
证监会
二○○八年五月十六日
关于进一步规范证券营业网点的规定为适应证券市场发展的需要，进一步加强证券营业网点监管，提升证券公司服务水平，增强证券行业竞争力，保护投资者合法权益，现就进一步规范证券营业网点作如下规定：
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I. Establishment of Securities Business Offices
| | 一、证券营业部设立
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a. To apply for establishing a securities business office within the jurisdiction of the securities regulatory bureau of its place of domicile, a securities company shall meet the following requirements of prudence:
| | （一）证券公司申请在住所地证监局辖区内设立证券营业部（以下简称区域内设点），应当符合下列审慎性要求：
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1. the client transaction settlement funds have been under the custody of a third party as required;
| | 1、客户交易结算资金已按规定实施第三方存管。
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2. accounts are opened and managed as required, and the client information is integrated and authentic; the account standardization work has been finished on schedule and the relevant supervisory requirements have been met; and there is no compliance violation such as opening accounts which are not up to standard within the last two years, or there is such a violation, but no serious consequence has been led to because the company has timely discovered it, corrected it, investigated the responsibility of the relevant personnel and voluntarily reported to the supervisory department, and it has been half a year from the reporting day;
| | 2、账户开立、管理规范，客户资料完整、真实；账户规范工作按期完成，符合有关监管要求；最近两年无新开不合格账户等违规行为，或发生新开不合格账户等违规行为，但公司及时发现、及时自纠并已严肃追究有关人员责任，未造成重大后果，且主动向监管部门报告，自报告之日起已超过半年。
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3. it has a sound corporate governance structure and a good internal control mechanism, and its regulation-compliance management system and risk control index monitoring system meet the supervisory requirements;
| | 3、具备健全的公司治理结构和内部控制机制，合规管理制度、风险控制指标监控体系符合监管要求。
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4. its information technology system satisfies the relevant codes of practice and supervisory requirements; the operation of the system is safe, stable and reliable, technical failures are not frequent in the last two years, and there is no big technical accident;
| | 4、信息技术系统符合有关规范和监管要求；系统运行安全、稳定、可靠，最近两年未多次出现技术故障，未发生重大技术事故。
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5. it has a perfect business management system, explicit business rules and a clear operation flow;
| | 5、具有完善的业务管理制度，制定了明确的业务规则和清晰的操作流程。
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6. it has established an effective investor education mechanism and is setting up a client management and service system based on “knowing your clients” and “proper services;”
| | 6、建立了有效的投资者教育工作机制，并着手建立以“了解自己的客户”和“适当性服务”为核心的客户管理和服务体系。
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7. its net capital and all other risk control indicators have been continuously reaching the prescribed standards in the last two years;
| | 7、最近两年净资本及各项风险控制指标持续符合规定标准。
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8. it has not been given an administrative or criminal punishment for gross violation in the last three years; it is not currently under restriction of the agency of securities accounting opening business, the establishment or purchase of business offices, and the relocation and transfer of business offices, or it has material reorganization issues, but the issues have been accomplished; and no case against it has been placed on file for investigation;
| | 8、最近三年公司未因重大违法违规行为受到行政或刑事处罚；公司不存在证券账户开户代理业务、增设和收购营业性分支机构、营业性分支机构的迁移和转让等受到限制且尚未解除或者重大重组整改事项尚未完成的情形；不存在因涉嫌违法违规事项正在受到立案调查。
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9. the average net income from trading securities on a commissioned basis by the securities business offices is not less than the average amount of all securities companies within the jurisdiction the company is under;
| | 9、上一年度证券营业部平均代理买卖证券业务净收入不低于公司所在辖区内证券公司的平均水平。
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10. it was graded C or above in the last classified appraisal on securities companies; and
| | 10、最近一次证券公司分类评价类别在C类以上（含C类）。
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11. other requirements as specified by the CSRC.
| | 11、中国证监会规定的其他要求。
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b. To apply for establishing a nationwide securities business office, a securities company shall meet the following requirements in addition to the requirements in No.1 through 8 of the preceding paragraph:
| | （二）证券公司申请在全国范围内设立证券营业部（以下简称全国设点），除符合上述第一款第1至8项外，还应当符合下列要求：
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1. it has a stronger operation and management capability, and, in the last year, the net income of the company from trading securities on a commissioned basis ranked top 20 in the industry and the net income of the securities business offices from trading securities on a commissioned basis was not less than the average amount in the industry; or the average net income of the securities business offices ranked top 3 in the industry.
| | 1、具备较强的经营管理能力，上一年度公司代理买卖证券业务净收入位于行业前20名，且证券营业部平均代理买卖证券业务净收入不低于行业平均水平；或者证券营业部平均代理买卖证券业务净收入位于行业前3名。
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2. it has realized centralized management of the trading system, the clearing system, the accounting system and the monitoring system, and has established a centralized management system of electronic archives and materials.
| | 2、实现了交易、清算、核算、监控等系统的集中管理，建立了电子化档案资料的集中管理制度。
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3. it was last graded B or above; and
| | 3、最近一次证券公司分类评价类别在B类以上（含B类）。
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4. other requirements as specified by the CSRC.
| | 4、中国证监会规定的其他要求。
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c. A securities business office to be established shall have the following conditions:
| | （三）拟设证券营业部应当具备下列条件：
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1. it has adequate persons who have the qualification for engaging in the securities industry, and the person to be in charge of it shall have the qualification for taking charge of a branch of securities company;
| | 1、具有必要的人员配置，聘任人员具备证券从业资格，拟任负责人已取得证券公司分支机构负责人任职资格；
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2. it has a fixed place of business, and the place satisfies all security management requirements;
| | 2、有固定的经营场所，并符合各项安全管理规定；
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3. it has the technical establishments required by its business, and the information technology system satisfies the relevant standards and supervisory requirements;
| | 3、有符合营业要求的技术设施，信息技术系统符合有关规范和监管要求；
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4. it has sound business rules and operation flow, and has established work mechanisms for investor education, client management and service provision; and
| | 4、具有完善的业务规则和操作流程，确立了投资者教育、客户管理和服务的工作机制；
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5. other conditions as specified by the CSRC.
| | 5、中国证监会规定的其他条件。
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d. Before establishing a securities business office, a securities company shall, according to the demands of the securities market and the operation and development strategy, business outlets layout, human resources, operational management capability and risk control capability of the company, sufficiently evaluate the necessity and feasibility of the establishment of the office and give priority to establishing the office at a place without its securities business outlets or with insufficient securities business outlets.
．．．．．． | | （四）证券公司应当根据证券市场需求和公司经营发展战略，结合网点布局、人力资源、业务管理水平和风险控制能力，充分评估设立证券营业部的必要性和可行性，优先考虑在没有证券营业网点或证券营业网点相对不足的地区新设证券营业部。
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