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Notice by the General Office of the State Council of the Work concerning the Implementation of the Amended Securities Law [Effective]
国务院办公厅关于贯彻实施修订后的证券法有关工作的通知 [现行有效]
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Notice by the General Office of the State Council of the Work concerning the Implementation of the Amended Securities Law 

国务院办公厅关于贯彻实施修订后的证券法有关工作的通知

(No. 5 [2020] of the General Office of the State Council) (国办发〔2020〕5号)

The people's governments of all provinces, autonomous regions, and municipalities directly under the Central Government; and all ministries and commissions of the State Council and all institutions directly under the State Council: 各省、自治区、直辖市人民政府,国务院各部委、各直属机构:
The Securities Law of the People's Republic of China (hereinafter referred to as the “Securities Law”), as amended and adopted at the 15th session of the Standing Committee of the 13th National People's Congress on December 28, 2019, shall come into force on March 1, 2020. For the purposes of effectively implementing the amended Securities Law, with the consent of the State Council, you are hereby notified of the relevant issues as follows: 《中华人民共和国证券法》(以下简称证券法)已由十三届全国人大常委会第十五次会议于2019年12月28日修订通过,自2020年3月1日起施行。为做好修订后的证券法贯彻实施工作,经国务院同意,现就有关事项通知如下:
I. Fully understanding the great significance of the amendment to the Securities Law   一、充分认识证券法修订的重要意义
This amendment to the Securities Law has systematically summarized the practical experience in the reform and development of the capital market, law enforcement of supervision, and risk prevention and control on the Chinese capital market, and has made such institutional reforms as comprehensively implementing the registration system for the issuance of securities, significantly raising the costs of violating the Securities Law, improving the investors protection system, strengthening the information disclosure obligations and consolidating the responsibilities of intermediary institutions, having provided effective legal guarantee for the creation of a regulated, transparent, open, dynamic and resilient capital market, and showing great significance for deepening supply-side structural reform of the financial sector, improving the modern financial system with high adaptability, competitiveness and inclusiveness, and safeguarding national economic and financial security. All regions and all relevant departments shall fully understand the great significance of this amendment to the Securities Law, effectively conduct study and publicity, offer categorized and hierarchical training, and constantly improve the capacity of securities administrative law enforcement personnel for lawful administration, supervision, and governance. 本次证券法修订系统总结我国资本市场改革发展、监管执法、风险防控的实践经验,作出全面推行证券发行注册制、显著提高证券违法成本、完善投资者保护制度、强化信息披露义务、压实中介机构责任等制度改革,为打造一个规范、透明、开放、有活力、有韧性的资本市场提供了有力法制保障,对于深化金融供给侧结构性改革,健全具有高度适应性、竞争力、普惠性的现代金融体系,维护国家经济金融安全具有重要意义。各地区、各有关部门要充分认识本次证券法修订的重要意义,做好学习宣传,分类分层开展培训,不断提高证券行政执法人员依法行政、依法监管、依法治市能力。
II. Steadily promoting the registration system for the public issuance of securities   二、稳步推进证券公开发行注册制
1. Implementing the reform of the registration system for the public issuance of stocks step by step. The China Securities Regulatory Commission (“CSRC”) shall, in conjunction with the relevant parties and according to the amended Securities Law and the Implementation Opinions on Setting up the STAR Market and Launching the Pilot Program of the Registration System on the Shanghai Stock Exchange, further improve the relevant rules of the STAR Market, improve the transparency of the registration examination, and optimize the work procedures. The general plan for the registration system for the pilot public issuance of securities on the ChiNext of the Shenzhen Stock Exchange shall be studied and developed, experience in the reform of the registration system for the STAR Market and the ChiNext shall be summarized in a timely manner, conditions shall be created actively, and the plan for the implementation of the registration system for the public issuance of stocks on other boards of the stock exchanges and other national stock exchange premises approved by the State Council shall be put forward at appropriate time. Relevant plans shall be implemented with approval of the State Council. (一)分步实施股票公开发行注册制改革。证监会要会同有关方面依据修订后的证券法和《关于在上海证券交易所设立科创板并试点注册制的实施意见》的规定,进一步完善科创板相关制度规则,提高注册审核透明度,优化工作程序。研究制定在深圳证券交易所创业板试点股票公开发行注册制的总体方案,并及时总结科创板、创业板注册制改革经验,积极创造条件,适时提出在证券交易所其他板块和国务院批准的其他全国性证券交易场所实行股票公开发行注册制的方案。相关方案经国务院批准后实施。
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