Reporting of the Information about Securities Legal Services by the Law Firms in Beijing
2018-06-11 1189
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
| 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 | | |
9 | Business Departments | ||
Annex 2:
Form of Information about Securities Legal Services of Law Firm (2014-2016)
| 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)
| Type of Business | Sub-type | Names of Clients | |
Beijing | Other Places | |||
1 | Listed Companies-Related Business | (1) IPO and Listing | 1、 | 1、 |
(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.
