securities regulatory authority 中文意思是什麼

securities regulatory authority 解釋
證券監督管理機構
  • securities : 期貨
  • authority : n. 1. 權威，威信；權力，權柄；權限，職權，權能。2. 工程管理處[局，委員會等]；〈pl. 〉當局，官方。3. 根據，憑據。4. 權威者，泰斗，大家。5. 【法律】判決例，先例。6. 代理權。
  1. These measures include : make the system of securities laws to perfect, consummate the institutions of the legal person in the listed companies, base securities regulatory authority to regulate the securities market according to law, maintain order of the securities market and ensure the lawful operation of the same, reinforce continuing disclosure of information and the system of financial and accounting reports, make the listed companies shall immediately submit an ad hoc report on the details of such major event to the securities regulatory authority and to the stock exchanging and the same known to the general public, promote investors consciousness of protecting themselves and consummate the civil litigation mechanism to gain compensation and damages, make use of the press to supervise the stock market and reinforce punishment to the persons who act securities fraud

    在這些原則的指導下，本文提出了一套規制證券欺詐的具體法律措施.包括健全證券法律體系，做到證券欺詐的規制有法可依;完善上市公司的法人治理結構，建立完善的證券監管體系，尤其對證券業協會的性質、功能和職責從法律上給予明確界定以確保充分發揮證券行業的自律作用，最大限強化信息披露責任，嚴格會計制度，力求信度地避免證券欺詐行為發生;強化信息披露貢任，產格會計刷度，刀水侶息準確，披露及時;增強廣大中小投資者的自我保護意識，完善賠償訴訟機制;依法賦予新聞媒體輿論監督權，充分發揮新聞媒體監督作用;深入研究證券欺詐者心理規律，加強法律懲治力度
  2. Article 205 if a staff member of the securities regulatory authority or a member of the issuance examination commission fails to perform his duties prescribed in this law, engages in malpractices for personal gain, neglects his duties, or intentionally creates difficulties for the parties concerned, he shall be given administrative sanctions according to law

    第二百零五條證券監督管理機構的工作人員和發行審核委員會的組成人員，不履行本法規定的職責，徇私舞弊玩忽職守或者故意刁難有關當事人的，依法給予行政處分。構成犯罪的，依法追究刑事責任。
  3. The pricing of shares issued at above par value is subject to approval by the securities regulatory authority under the state council

    以超過票面金額為股票發行價格的，須經國務院證券管理部門批準。
  4. Article 18 if the securities regulatory authority under the state council or the department authorized by the state council discovers that a decision it has made to verify or approve upon examination the issuing of securities does not conform to the provisions of laws or administrative regulations, it shall revoke the decision. if the relevant securities have not yet been issued, they shall be kept from being issued ; if they have already been issued, the holders of the securities may require the issuer to refund their money at the issue price plus bank deposit interest for the same period

    第十八條國務院證券監督管理機構或者國務院授權的部門對已作出的核準或者審批證券發行的決定，發現不符合法律行政法規規定的，應當予以撤銷尚未發行證券的，停止發行已經發行的，證券持有人可以按照發行價並加算銀行同期存款利息，要求發行人返還。
  5. 4 other business verified by the securities regulatory authority under the state council

    四經國務院證券監督管理機構核定的其他證券業務。
  6. Article 124 the total amount of external liabilities of a securities firm may not exceed the prescribed multiple of its net assets, and the total amount of its current liabilities may not exceed a certain proportion of its total current assets. the specific multiple, proportion and administrative measures shall be prescribed by the securities regulatory authority under the state council

    第一百二十四條證券公司的對外負債總額不得超過其凈資產額的規定倍數，其流動負債總額不得超過其流動資產總額的一定比例其具體倍數比例和管理辦法，由國務院證券監督管理機構規定。
  7. Article 173 if, during the performance of its functions according to law, the securities regulatory authority under the state council suspects that an illegal act involving securities discovered by it may constitute a criminal offense, it shall hand the case over to a judicial organ for it to handle

    第一百七十三條國務院證券監督管理機構依法履行職責，發現證券違法行為涉嫌犯罪的，應當將案件移送司法機關處理。
  8. Article 113 a stock exchange shall, pursuant to laws and administrative regulations governing securities, formulate specific rules for centralized securities trading at competing prices, administrative regulations for its members and operational rules for its employees, and submit the same to the securities regulatory authority under the state council for approval

    第一百一十三條證券交易所依照證券法律行政法規制定證券集中競價交易的具體規則，制訂證券交易所的會員管理規章和證券交易所從業人員業務規則，並報國務院證券監督管理機構批準。
  9. Article 7 the securities regulatory authority under the state council shall, in accordance with law, implement centralized and unified regulation of the securities market nationwide

    第七條國務院證券監督管理機構依法對全國證券市場實行集中統一監督管理。
  10. Securities firms that underwrite securities as agents shall, in conjunction with the issuer and within 15 days after the expiration of the period for underwriting as agents, report the details of such underwriting to the securities regulatory authority under the state council for the record

    證券公司代銷證券的，應當在代銷期滿后的十五日內，與發行人共同將證券代銷情況報國務院證券監督管理機構備案。
  11. Article 123 the establishment or closure of branches of a securities firm, change in its scope of business, registered capital or articles of association, and merger, division, change in its corporate form, and its dissolution shall be subject to approval by the securities regulatory authority under the state council

    第一百二十三條證券公司設立或者撤銷分支機構變更業務范圍或者注冊資本變更公司章程合併分立變更公司形式或者解散，必須經國務院證券監督管理機構批準。
  12. Article 65 the securities regulatory authority under the state council shall supervise the annual reports, interim reports, ad hoc reports and announcements of listed companies, as well as the distribution or rationing of new shares of such companies

    第六十五條國務院證券監督管理機構對上市公司年度報告中期報告臨時報告以及公告的情況進行監督，對上市公司分派或者配售新股的情況進行監督。
  13. When a listed company is to be taken over by agreement, the purchaser shall, within three days after the agreement is reached, submit a written report on the takeover agreement to the securities regulatory authority under the state council and the stock exchange and make the same known to the general public

    以協議方式收購上市公司時，達成協議后，收購人必須在三日內將該收購協議向國務院證券監督管理機構及證券交易所作出書面報告，並予公告。
  14. Article 233 in case anyone violates the relevant laws and administrative regulations or the relevant provisions of the securities regulatory authority under the state council and is under any serious circumstances, the securities regulatory authority under the state council may take measures of prohibiting the relevant responsible persons from entering into the securities market

    第二百三十三條違反法律、行政法規或者國務院證券監督管理機構的有關規定，情節嚴重的，國務院證券監督管理機構可以對有關責任人員採取證券市場禁入的措施。
  15. Article 9 the state audit authority shall, in accordance with law and through auditing, supervise stock exchanges, securities firms, securities registration and clearing institutions and the securities regulatory authority

    第九條國家審計機關對證券交易所證券公司證券登記結算機構證券監督管理機構，依法進行審計監督。
  16. Where the new shares are offered to the public, approval by the securities regulatory authority is required

    屬于向社會公開募集的，須經國務院證券管理部門批準。
  17. Without approval by the securities regulatory authority under the state council, the sponsors my not offer shares to the public

    未經國務院證券管理部門批準，發起人不得向社會公開募集股份。
  18. In order to issue convertible company bonds, an application shall be submitted to the securities regulatory authority under the state council for approval

    發行可轉換為股票的公司債券，應當報請國務院證券管理部門批準。
  19. Article 132 a share certificate shall be in paper form or in other forms prescribed by the securities regulatory authority under the state council

    第一百三十二條：股票採用紙面形式或者國務院證券管理部門規定的其他形式。
  20. In examining and approving application for company bonds issue, the securities regulatory authority under the state council may not extend its approval beyond the volume set by the state council

    國務院證券管理部門審批公司債券的發行，不得超過國務院確定的規模。
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