Reporting of the Information about Securities Legal Services by the Law Firms in Beijing

 2018-06-11  39


Notice of the Beijing Bureau of the China Securities Regulatory Commission on the Reporting of the Information about Securities Legal Services by the Law Firms under the Jurisdiction of the Beijing Bureau


· Document Number:No. 116 [2016] of the Beijing Bureau of the China Securities Regulatory Commission

· Area of Law: Securities

· Level of Authority: Local Regulatory Documents

· Date issued:06-27-2016

· Effective Date:06-27-2016

· Status: Effective

· Issuing Authority: Other Institutions of Beijing Municipality

 

Notice of the Beijing Bureau of the China Securities Regulatory Commission on the Reporting of the Information about Securities Legal Services by the Law Firms under the Jurisdiction of the Beijing Bureau
(No. 116 [2016] of the Beijing Bureau of the China Securities Regulatory Commission)
All law firms under the jurisdiction of the CSRC Beijing Bureau:
In accordance with the Securities Law, the Measures for the Administration of the Securities Legal Services of Law Firms (Order No. 41 [2007], CSRC) and other laws and regulations, for the purposes of obtaining more information about the provision of securities legal services by the law firms under the jurisdiction of the CSRC Beijing Bureau, strengthening the supervision over the securities legal services of the law firms, and regulating lawyers' practices, the CSRC Beijing Bureau hereby require all the law firms under its jurisdiction to actively report the relevant information about securities legal services. You are hereby notified of the specific requirements as follows:
I. Entities required to report the information
The law firms under the jurisdiction of the CSRC Beijing Bureau which provide securities legal services are required to report the information. Any law firm not providing securities legal services during the period of information collection is not required to report the information.
II. Required information
1. Basic information about the law firm.
2. Information about the securities legal services of the law firm.
3. Information about the clients of the securities legal services of the law firm.
The period of information collection is from January 1, 2014 to May 31, 2016 and the information collection shall cover the securities legal projects completed, under examination or being conducted during that period (see Annexes 1 through 3 for details).
III. Requirements for the reporting
1. Since the information is related to the follow-up regulatory work, each law firm shall attach great importance to it and truthfully report it, so as to ensure the authenticity, accuracy and completeness of the relevant information.
2. Each law firm shall email the electronic statistical forms (Annexes 1through 3) to the legislative affairs office of the Beijing Bureau (bjfazhichu@csrc.gov.cn) prior to July 15, 2016.
We appreciate your great support to the Beijing Bureau.
Contact persons: Zhou Wei, Zhang Na
Telephone: 010-88088058, 010-88088018
Annexes: 1. Form of Basic Information of Law Firm
2. Form of Information about Securities Legal Services of Law Firm (2014-2016)
3. Form of Information about Clients of Securities Legal Services of Law Firm (2014-2016)
Beijing Bureau of the China Securities Regulatory Commission
June 27, 2016
Annex 1:
Form of Basic Information of Law Firm


1

Name of Law Firm

 

 

2

Address of Law Firm

 

 

3

Person in Charge of Law Firm

 

 

4

Personnel of Law Firm and the Numbers thereof

Number of Partners

 

Number of Practicing Lawyers

 

 

 

Supporting Staff

 

 

 

5

Number of Personnel Providing Securities Legal Services

Number of Partners

 

Number of Practicing Lawyers

 

 

 

Supporting Staff

 

 

 

6

Partner in Charge of Securities Legal Services and Contact Information

Name of Partner

 

Mobile Phone Number

 

 

 

Telephone Number

 

 

 

E-mail Address

 

 

 

7

Contact Person of Law Firm and Contact Information

Name of Contact Person

 

Mobile Phone Number

 

 

 

Telephone Number

 

 

 

E-mail Address

 

 

 

8

Information about Brach Offices
(Areas+Names)

 

 

9

Business Departments
(First-tier Departments Only, e.g., Corporate Securities Department, Intellectual Property Department, Litigation and Arbitration Department)

 

 

 

 

 

 


Annex 2:
Form of Information about Securities Legal Services of Law Firm (2014-2016)


Serial No.

Business Type

Sub-type

2014

2015

2016 (January-May)

 

 

 

 

 

 

Beijing

Other Places

Total

Beijing

Other Places

Total

Beijing

Other Places

Total

 

 

 

1

Number of Listed Company-Related Business

(1) Number of IPO and Listing Projects

 

 

 

 

 

 

 

 

 

(2) Number of Projects of Securities Issuance and Listing of Listed Companies

 

 

 

 

 

 

 

 

 

 

 

(3) Number of Projects of M&A and Restructuring of Listed Companies

 

 

 

 

 

 

 

 

 

 

 

(4) Number of Projects of Equity Incentives of Listed Companies

 

 

 

 

 

 

 

 

 

 

 

(5) Number of Projects of Shareholders' Meetings of Listed Companies

 

 

 

 

 

 

 

 

 

 

 

(6) Number of Projects of Overseas Securities Issuance and Listing of Domestic Enterprises

 

 

 

 

 

 

 

 

 

 

 

(7) Others

 

 

 

 

 

 

 

 

 

 

 

Total

 

 

 

 

 

 

 

 

 

 

 

2

Number of Quoted Company-Related Business

(1) Number of NEEQ Quotation Projects

 

 

 

 

 

 

 

 

 

(2) Others

 

 

 

 

 

 

 

 

 

 

 

Total

 

 

 

 

 

 

 

 

 

 

 

3

Number of Securities Company-Related Business

(1) Application for the Formation of Securities Companies or the Formation of Securities Companies in Which Foreign Investors Hold a Non-controlling Stake

 

 

 

 

 

 

 

 

 

(2) Combination, Division, Suspension of Business, Dissolution or Bankruptcy of Securities Companies

 

 

 

 

 

 

 

 

 

 

 

(3) Application of Securities Companies for Eligible Domestic Institutional Investor Qualification

 

 

 

 

 

 

 

 

 

 

 

(4) Modification of Business Scope, Registered Capital or Important Clauses of Bylaws of Securities Companies

 

 

 

 

 

 

 

 

 

 

 

(5) Alteration of Shareholders Holding 5% or More of Equities or Actual Controllers of Securities Companies

 

 

 

 

 

 

 

 

 

 

 

(6) Establishment of Special Asset Management Plans by Securities Companies

 

 

 

 

 

 

 

 

 

 

 

(7) Others

 

 

 

 

 

 

 

 

 

 

 

Total

 

 

 

 

 

 

 

 

 

 

 

4

Number of Publicly Offered Fund-Related Business

(1) Raising of Securities Investment Funds

 

 

 

 

 

 

 

 

 

(2) Application for Resolutions of Fund Share Holders' Meetings

 

 

 

 

 

 

 

 

 

 

 

(3) Application for Fund Sale Qualification

 

 

 

 

 

 

 

 

 

 

 

(4) Others

 

 

 

 

 

 

 

 

 

 

 

Total

 

 

 

 

 

 

 

 

 

 

 

5

Number of Privately Offered Fund-Related Business

(1) Registration of Privately Offered Fund Managers

 

 

 

 

 

 

 

 

 

(2) Others

 

 

 

 

 

 

 

 

 

 

 

Total

 

 

 

 

 

 

 

 

 

 

 

6

Number of Futures-Related Business

Formation of Futures Companies

 

 

 

 

 

 

 

 

 

Combination, Division, Suspension of Business, Dissolution or Bankruptcy of Futures Companies

 

 

 

 

 

 

 

 

 

 

 

Alteration of Shareholders Holding 5% or More of Equities of Futures Companies

 

 

 

 

 

 

 

 

 

 

 

Qualification of Futures Companies for Financial Futures-Related Business

 

 

 

 

 

 

 

 

 

 

 

Qualification of Futures Companies for Asset Management Business

 

 

 

 

 

 

 

 

 

 

 

(6) Others

 

 

 

 

 

 

 

 

 

 

 

Total

 

 

 

 

 

 

 

 

 

 

 

7

Number of Fixed Income Business

Number of Corporate Bond Projects

 

 

 

 

 

 

 

 

 

(2) Number of Asset Securitization Projects

 

 

 

 

 

 

 

 

 

 

 

Others

 

 

 

 

 

 

 

 

 

 

 

Total

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


Annex 3
Form of Information about Clients of Securities Legal Services of Law Firm (2014-2016)


Serial No.

Type of Business

Sub-type

Names of Clients

 

Beijing

Other Places

 

 

 

1

Listed Companies-Related Business

(1) IPO and Listing

1、
2、
3、

1、
2、
3、

(2) Securities Issuance and Listing of Listed Companies

 

 

 

 

(3) M&A and Restructuring of Listed Companies

 

 

 

 

(4) Equity Incentive of Listed Companies

 

 

 

 

(5) Shareholders' Meetings of Listed Companies

 

 

 

 

(6) Overseas Securities Issuance and Listing of Domestic Enterprises

 

 

 

 

Others (Indicating Business Type after the Name of Client)

 

 

 

 

2

Quoted Company-Related Business

NEEQ Quotation

 

 

Others (Indicating Business Type after the Name of Client)

 

 

 

 

3

Securities Company-Related Business

Application for the Formation of Securities Companies or the Formation of Securities Companies in Which Foreign Investors Hold a Non-controlling Stake

 

 

Combination, Division, Suspension of Business, Dissolution or Bankruptcy of Securities Companies

 

 

 

 

(3) Application of Securities Companies for Eligible Domestic Institutional Investor Qualification

 

 

 

 

(4) Modification of Business Scope, Registered Capital or Important Clauses of Bylaws of Securities Companies

 

 

 

 

(5) Alteration of Shareholders Holding 5% or More of Equities or Actual Controllers of Securities Companies

 

 

 

 

(6) Establishment of Special Asset Management Plans by Securities Companies

 

 

 

 

(7) Others (Indicating Business Type after the Names of Client)

 

 

 

 

4

Publicly Offered Fund-Related Business

(1) Raising of Securities Investment Funds

 

 

(2) Application for Resolutions of Fund Share Holders' Meetings

 

 

 

 

(3) Application for Fund Sale Qualification

 

 

 

 

(4) Others (Indicating Business Type after the Names of Client)

 

 

 

 

5

Privately Offered Fund-Related Business

(1) Registration of Privately Offered Fund Managers

 

 

(2) Others (Indicating Business Type after the Names of Client)

 

 

 

 

6

Futures-Related Business

Formation of Futures Companies

 

 

Combination, Division, Suspension of Business, Dissolution or Bankruptcy of Futures Companies

 

 

 

 

Alteration of Shareholders Holding 5% or More of Equities of Futures Companies

 

 

 

 

Qualification of Futures Companies for Financial Futures-Related Business

 

 

 

 

Qualification of Futures Companies for Asset Management Business

 

 

 

 

Others (Indicating Business Type after the Name of Client)

 

 

 

 

7

Fixed Income Business

Corporate Bond Projects

 

 

Asset Securitization Projects

 

 

 

 

Others (Indicating Business Type after the Name of Client)

 

 

 

 


Notes: 1. The information about the projects completed, under examination or being conducted within the period shall be included.
2. The full Chinese names of clients shall be indicated.
3. Law firms shall identify whether the legal services are provided in Beijing or in any other place and whether a client is located in Beijing or in any other place based on where the legal services take place and where the client is registered, and indicate it in the corresponding column.