保荐代表人资格管理指引(讨论稿)

保荐代表人资格管理指引(讨论稿) 保荐代表人资格管理指引 ,讨论稿, 第一章 总则 第一条 „宗旨?为 规范 编程规范下载gsp规范下载钢格栅规范下载警徽规范下载建设厅规范下载 和加强保荐代表人资格管理～根据相关法律法规、部门规章等～制定本指引。 第二条 „定义?本指引所称保荐代表人～是指在保荐机构中负责保荐业务、具备保荐资格的证券从业人员。 第三条 „基本要求?保荐机构履行保荐职责～应当指定依照本指引规定取得保荐代表人资格的证券从业人员具体负责保荐工作。 第四条 „协会职责?中国证券业协会,以下简称“协会”,依据本指引规定～组织保荐代表人胜任能力考试～办理保荐代表人注册登记～对保荐代表人进行日常管理。 第二章 注册登记 第五条 „一般要求?证券从业人员申请保荐代表人资格～应当通过协会组织的保荐代表人胜任能力考试。 取得考试成绩合格证明的证券从业人员可以通过其所任职的保荐机构向协会申请执业注册～取得保荐代表人资格。 第六条 „注册条件?证券从业人员申请保荐代表人资格～应当具备下列条件: planning, and government financing, and whole village relocation, and first built Hou split" of principles, insisted big community planning, and large district transformation, break administrative divisions boundaries, optimization town spatial structure, speed up new Community construction, formed new community live building, and intensive with ground project, and enterprise tax insurance running, and Expand employment and improve people's livelihood shed changed economic chain. The second, on poverty relief and development work in this battle the mission objectives for poverty alleviation in the file are already quite clear, was the previous two years (2016-2017) concentrated hard, three years after (2018-2020), consolidation and improvement, by the end of 2017, the County ... ... A poor village and ... ... Library district all "pick hat" and "five-ten", ... ... All the rural poor out of poverty, stability to achieve "two worry about three". To accomplish these tasks, win the battle for poverty alleviation, the key is to find out the way, selecting the right breakthrough, effectiveness in order to work on. (A) to accurately identify objects for poverty alleviation. XI General Secretary noted that the critical time of poverty lies in precision. How to do accurate? ' first task is to do basic work solid. Total demand is down to village, household, persons, County, town, and village books, card ,一,具备三年以上保荐相关业务经历, ,二,最近三年内在《证券发行上市保荐业务管理办法》第二条规定的境内证券发行项目中担任过项目协办人, ,三,参加协会组织的保荐代表人胜任能力考试且成绩合格有效, ,四,诚实守信～品行良好～无不良诚信 记录 混凝土 养护记录下载土方回填监理旁站记录免费下载集备记录下载集备记录下载集备记录下载 ～最近3年未受到中国证券监督管理委员会,以下简称“中国证监会”,的行政处罚, ,五,未负有数额较大到期未清偿的债务, ,六,中国证监会、协会规定的其他条件。 因违反证券法律、行政法规以及中国证监会、协会有关规定被采取市场禁入措施或被注销保荐代表人资格的人员再次申请执业注册的～应当重新参加考试～成绩合格后方可再次申请保荐代表人资格。 第七条 „注册系统?保荐代表人执业注册登记的申请通过协会执业证书管理系统进行。 第八条 „提交 材料 关于××同志的政审材料调查表环保先进个人材料国家普通话测试材料农民专业合作社注销四查四问剖析材料 ?证券从业人员申请保荐代表人资格～应当通过所任职的保荐机构向协会提交下列材料: ,一,申请 报告 软件系统测试报告下载sgs报告如何下载关于路面塌陷情况报告535n,sgs报告怎么下载竣工报告下载 , ,二,保荐机构出具的推荐函～其中应当说明申请人遵纪守法、业务水平、组织能力等情况, ,三,从事保荐相关业务的详细情况说明～以及最近3年内planning, and government financing, and whole village relocation, and first built Hou split" of principles, insisted big community planning, and large district transformation, break administrative divisions boundaries, optimization town spatial structure, speed up new Community construction, formed new community live building, and intensive with ground project, and enterprise tax insurance running, and Expand employment and improve people's livelihood shed changed economic chain. The second, on poverty relief and development work in this battle the mission objectives for poverty alleviation in the file are already quite clear, was the previous two years (2016-2017) concentrated hard, three years after (2018-2020), consolidation and improvement, by the end of 2017, the County ... ... A poor village and ... ... Library district all "pick hat" and "five-ten", ... ... All the rural poor out of poverty, stability to achieve "two worry about three". To accomplish these tasks, win the battle for poverty alleviation, the key is to find out the way, selecting the right breakthrough, effectiveness in order to work on. (A) to accurately identify objects for poverty alleviation. XI General Secretary noted that the critical time of poverty lies in precision. How to do accurate? ' first task is to do basic work solid. Total demand is down to village, household, persons, County, town, and village books, card 担任《证券发行上市保荐业务管理办法》第二条规定的境内证券发行项目协办人的工作情况说明, ,四,保荐机构对申请文件真实性、准确性、完整性承担责任的承诺函～并应由其董事长或者总经理签字, ,五,协会要求的其他材料。 第九条 „注册登记程序?执业注册登记程序: ,一,保荐机构在协会执业证书管理系统中为申请人提交变更执业证书类型申请, ,二,协会受理变更申请后～申请人登录协会执业证书管理系统～填写执业证书申请表～连同打印的书面申请表及本指引第八条规定的其他申请材料提交所在机构, ,二,机构资格管理员对执业证书申请表进行初审并确认～在核实无误后～将电子申请表提交协会, ,三,协会对保荐机构提交的执业注册申请表进行审核～必要时可要求保荐机构提交书面申请表及相关证明材料～对确认真实、准确、完整、合规的执业注册 登记表 调解登记表下载应聘登记表下载调解登记表下载调解登记表下载调解登记表下载 ～协会予以受理并公示～并于受理之日起二十个工作日内审核完毕。 第十条 „事项变更?保荐代表人证书载明事项发生变动的～保荐机构应当向协会提交该人员的执业注册登记变更申请。协会注销该保荐代表人的旧证书～在二十日内完成执业注册登记变更。 第十一条 „备案?保荐代表人存在以下情形之一的～保荐planning, and government financing, and whole village relocation, and first built Hou split" of principles, insisted big community planning, and large district transformation, break administrative divisions boundaries, optimization town spatial structure, speed up new Community construction, formed new community live building, and intensive with ground project, and enterprise tax insurance running, and Expand employment and improve people's livelihood shed changed economic chain. The second, on poverty relief and development work in this battle the mission objectives for poverty alleviation in the file are already quite clear, was the previous two years (2016-2017) concentrated hard, three years after (2018-2020), consolidation and improvement, by the end of 2017, the County ... ... A poor village and ... ... Library district all "pick hat" and "five-ten", ... ... All the rural poor out of poverty, stability to achieve "two worry about three". To accomplish these tasks, win the battle for poverty alleviation, the key is to find out the way, selecting the right breakthrough, effectiveness in order to work on. (A) to accurately identify objects for poverty alleviation. XI General Secretary noted that the critical time of poverty lies in precision. How to do accurate? ' first task is to do basic work solid. Total demand is down to village, household, persons, County, town, and village books, card 机构应当在发生之日或知晓之日起五个工作日内向协会进行相关人员执业信息备案: ,一,与保荐机构解除劳动关系的, ,二,受到监管部门、自律组织、所在机构奖励、处分、处罚的, ,三,其他需要备案的情况。 第十二条 „材料保管?保荐机构应当妥善保管申请人的书面执业注册登记表及有关材料～以备协会检查。 第三章 日常管理 第十三条 „年检?保荐代表人应当按照协会的要求办理年检。 年检通过协会执业证书管理系统进行。 第十四条 „年检材料?保荐机构为保荐代表人办理年检～应提供以下材料: ,一,保荐代表人参加后续职业培训的证明～其中应当说明保荐代表人参加培训的情况, ,二,保荐代表人展业情况报告书～其中应当说明保荐代表人年度执业情况、保荐机构对保荐代表人尽职调查工作日志的检查情况等, ,三,保荐代表人执业期间违反法律法规、部门规章、自律规则等受到处罚或处分的说明, planning, and government financing, and whole village relocation, and first built Hou split" of principles, insisted big community planning, and large district transformation, break administrative divisions boundaries, optimization town spatial structure, speed up new Community construction, formed new community live building, and intensive with ground project, and enterprise tax insurance running, and Expand employment and improve people's livelihood shed changed economic chain. The second, on poverty relief and development work in this battle the mission objectives for poverty alleviation in the file are already quite clear, was the previous two years (2016-2017) concentrated hard, three years after (2018-2020), consolidation and improvement, by the end of 2017, the County ... ... A poor village and ... ... Library district all "pick hat" and "five-ten", ... ... All the rural poor out of poverty, stability to achieve "two worry about three". To accomplish these tasks, win the battle for poverty alleviation, the key is to find out the way, selecting the right breakthrough, effectiveness in order to work on. (A) to accurately identify objects for poverty alleviation. XI General Secretary noted that the critical time of poverty lies in precision. How to do accurate? ' first task is to do basic work solid. Total demand is down to village, household, persons, County, town, and village books, card ,四,协会要求的其他材料。 第十五条 „年检程序?年检的程序如下: ,一,申请人登录协会执业证书管理系统～填写年检申请表～连同打印的书面申请表、执业证书原件及协会要求的相关材料提交所在机构, ,二,机构资格管理员对所在机构年检申请表进行初审并确认～书面申请表由保荐机构保管备查～电子申请表提交协会, ,三,协会对保荐机构提交的年检申请表进行审核～必要时可要求所在机构提交书面申请表及有关证明材料～协会在收到完整申请材料后二十日内做出是否通过年检的审核意见, ,四,协会通过执业证书管理系统～将年检结果通知所在机构～并在协会的互联网站公告。 第十六条 „不予年检?保荐代表人有下列情形之一的～不予通过年检: ,一,在执业注册登记或年检申请中弄虚作假的, ,二,不再符合本办法规定的执业注册登记条件的, ,三,未按规定参加年检的, ,四,未按规定完成后续职业培训的, ,五,协会规定的其他情形。 第十七条 „后续职业培训?证券从业人员通过考试或者取得保荐代表人资格后～应当定期参加协会组织的保荐代表人年度业务培训。 planning, and government financing, and whole village relocation, and first built Hou split" of principles, insisted big community planning, and large district transformation, break administrative divisions boundaries, optimization town spatial structure, speed up new Community construction, formed new community live building, and intensive with ground project, and enterprise tax insurance running, and Expand employment and improve people's livelihood shed changed economic chain. The second, on poverty relief and development work in this battle the mission objectives for poverty alleviation in the file are already quite clear, was the previous two years (2016-2017) concentrated hard, three years after (2018-2020), consolidation and improvement, by the end of 2017, the County ... ... A poor village and ... ... Library district all "pick hat" and "five-ten", ... ... All the rural poor out of poverty, stability to achieve "two worry about three". To accomplish these tasks, win the battle for poverty alleviation, the key is to find out the way, selecting the right breakthrough, effectiveness in order to work on. (A) to accurately identify objects for poverty alleviation. XI General Secretary noted that the critical time of poverty lies in precision. How to do accurate? ' first task is to do basic work solid. Total demand is down to village, household, persons, County, town, and village books, card 通过考试而未取得保荐代表人资格的证券从业人员～未按要求参加保荐代表人年度业务培训的～其保荐代表人胜任能力考试成绩不再有效。 受到行政处罚的保荐代表人～应当参加强制培训。 第十八条 „注销资格?证券从业人员取得保荐代表人资格后～存在下列情况的～协会注销其保荐代表人资格和执业证书～并予以公告: ,一,不再符合本指引第六条规定的执业注册条件的, ,二,连续三年未从事上市保荐业务的, ,三,未通过年检的, ,四,未按规定参加后续执业培训的, ,五,受到刑事处罚的, ,六,被采取市场禁入措施的, ,七,因违法或违纪行为被保荐机构开除的, ,八,严重违反职业道德的, ,九,协会认定的其他情形。 第十九条 „变更机构?保荐代表人更换保荐机构的～原保荐机构应该向协会办理离职备案～新保荐机构应当向协会提交变更申请。 保荐代表人与原聘用机构解除劳动合同并完成离职手续的～原聘用机构应当在十日内通过协会执业证书管理系统提交离职备案及其他相关材料。协会将在五个工作日内受理其离职备案。 planning, and government financing, and whole village relocation, and first built Hou split" of principles, insisted big community planning, and large district transformation, break administrative divisions boundaries, optimization town spatial structure, speed up new Community construction, formed new community live building, and intensive with ground project, and enterprise tax insurance running, and Expand employment and improve people's livelihood shed changed economic chain. The second, on poverty relief and development work in this battle the mission objectives for poverty alleviation in the file are already quite clear, was the previous two years (2016-2017) concentrated hard, three years after (2018-2020), consolidation and improvement, by the end of 2017, the County ... ... A poor village and ... ... Library district all "pick hat" and "five-ten", ... ... All the rural poor out of poverty, stability to achieve "two worry about three". To accomplish these tasks, win the battle for poverty alleviation, the key is to find out the way, selecting the right breakthrough, effectiveness in order to work on. (A) to accurately identify objects for poverty alleviation. XI General Secretary noted that the critical time of poverty lies in precision. How to do accurate? ' first task is to do basic work solid. Total demand is down to village, household, persons, County, town, and village books, card 协会受理保荐代表人离职备案后～新聘用机构应当在十日内按本指引第十三条规定的程序为该保荐代表人提出变更机构申请。协会将在二十个工作日内受理其变更申请并公告,自受理之日二十个工作日内～协会对该申请审核完毕～进行变更登记或不予变更。 第二十条 „变更提交材料?新保荐机构向协会申请变更登记～应提交下列材料: ,一,变更登记申请报告, ,二,保荐代表人出具的其在原保荐机构保荐业务交接情况的说明, ,三,新保荐机构出具的接收函, ,四,新保荐机构对申请文件真实性、准确性、完整性承担责任的承诺函～并应由其董事长或者总经理签字, ,五,协会要求的其他材料。 第二十一条 „不予变更?存在以下情形～协会对新保荐机构的变更申请不予通过: ,一,保荐机构、保荐代表人申请变更材料弄虚作假的, ,二,与原机构签订竞业禁止条款且期限未满的, ,三,涉嫌违法违规～正在被相关部门调查的, ,四,其他不予变更的情形。 第二十二条 „暂缓变更?保荐代表人存在下列情形的～协会对新保荐机构的变更申请暂缓通过,待情形消除后～再予变planning, and government financing, and whole village relocation, and first built Hou split" of principles, insisted big community planning, and large district transformation, break administrative divisions boundaries, optimization town spatial structure, speed up new Community construction, formed new community live building, and intensive with ground project, and enterprise tax insurance running, and Expand employment and improve people's livelihood shed changed economic chain. The second, on poverty relief and development work in this battle the mission objectives for poverty alleviation in the file are already quite clear, was the previous two years (2016-2017) concentrated hard, three years after (2018-2020), consolidation and improvement, by the end of 2017, the County ... ... A poor village and ... ... Library district all "pick hat" and "five-ten", ... ... All the rural poor out of poverty, stability to achieve "two worry about three". To accomplish these tasks, win the battle for poverty alleviation, the key is to find out the way, selecting the right breakthrough, effectiveness in order to work on. (A) to accurately identify objects for poverty alleviation. XI General Secretary noted that the critical time of poverty lies in precision. How to do accurate? ' first task is to do basic work solid. Total demand is down to village, household, persons, County, town, and village books, card 更: ,一,与原机构存在经济纠纷或离职赔偿金额无法达成共识的, ,二,未按规定与原保荐机构完成工作交接的, ,三,其他暂缓变更的情形。 第二十三条 „变更纠纷?协会鼓励保荐代表人正常、合理流动～在存在争议的保荐代表人变更机构纠纷中～兼顾保荐机构、保荐代表人的合法权益～审慎处理～依法依规对各方进行调解。 第二十四条 „诚信信息管理系统?协会负责建立和管理保荐代表人诚信信息管理系统～对保荐代表人进行持续动态的注册登记管理～记录其执业情况、奖励情况、违法违规行为、其他不良行为以及对其采取的自律管理措施等。协会对诚信信息进行分级管理～供证券公司查询或应证券监管部门、司法机关等机构的要求提供有关信息。 第四章 检查与惩戒 第二十五条 „协会自律管理措施?协会定期组织对保荐代表人注册登记相关情况的检查。对违反本指引规定的保荐机构、保荐代表人～协会可以采取自律管理措施。 第二十六条 „诚信责任?保荐代表人资格申请文件存在虚假记载、误导性陈述或者重大遗漏的～协会不予核准,已核准planning, and government financing, and whole village relocation, and first built Hou split" of principles, insisted big community planning, and large district transformation, break administrative divisions boundaries, optimization town spatial structure, speed up new Community construction, formed new community live building, and intensive with ground project, and enterprise tax insurance running, and Expand employment and improve people's livelihood shed changed economic chain. The second, on poverty relief and development work in this battle the mission objectives for poverty alleviation in the file are already quite clear, was the previous two years (2016-2017) concentrated hard, three years after (2018-2020), consolidation and improvement, by the end of 2017, the County ... ... A poor village and ... ... Library district all "pick hat" and "five-ten", ... ... All the rural poor out of poverty, stability to achieve "two worry about three". To accomplish these tasks, win the battle for poverty alleviation, the key is to find out the way, selecting the right breakthrough, effectiveness in order to work on. (A) to accurately identify objects for poverty alleviation. XI General Secretary noted that the critical time of poverty lies in precision. How to do accurate? ' first task is to do basic work solid. Total demand is down to village, household, persons, County, town, and village books, card 的～注销其保荐代表人资格并自注销之日起三年内不受理其执业注册登记申请。 保荐机构提供虚假的保荐代表人注册登记材料的～协会视情节轻重～给予其纪律处分。 第二十七条 „其他违规处理?保荐机构或保荐代表人存在下列违规情形的～由协会责令改正,拒不改正的～协会视情节轻重给与其纪律处分,情节严重的～移送中国证监会处理: ,一,保荐机构聘用未取得保荐代表人资格的人员负责保荐工作的, ,二,不按规定办理执业注册年检的, ,三,未履行规定的备案义务的, ,四,不配合协会组织的保荐代表人后续职业培训的, ,五,不配合协会组织的检查的, ,六,协会规定的其他情形。 第五章 附则 第二十八条 „指引解释?本指引由协会负责解释。 第二十九条 „实施日期?本指引自 年 月 日起实施。 planning, and government financing, and whole village relocation, and first built Hou split" of principles, insisted big community planning, and large district transformation, break administrative divisions boundaries, optimization town spatial structure, speed up new Community construction, formed new community live building, and intensive with ground project, and enterprise tax insurance running, and Expand employment and improve people's livelihood shed changed economic chain. The second, on poverty relief and development work in this battle the mission objectives for poverty alleviation in the file are already quite clear, was the previous two years (2016-2017) concentrated hard, three years after (2018-2020), consolidation and improvement, by the end of 2017, the County ... ... A poor village and ... ... Library district all "pick hat" and "five-ten", ... ... All the rural poor out of poverty, stability to achieve "two worry about three". To accomplish these tasks, win the battle for poverty alleviation, the key is to find out the way, selecting the right breakthrough, effectiveness in order to work on. (A) to accurately identify objects for poverty alleviation. XI General Secretary noted that the critical time of poverty lies in precision. How to do accurate? ' first task is to do basic work solid. Total demand is down to village, household, persons, County, town, and village books, card