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According to the provisions of the Regulations on the Procedures for Formulating Rules and Regulations, with a view to implementing carrying into effect the requirements of the Administrative Licensing Law, on the basis of abolishing the former four groups batches of rules and regulations and regulatory documents (hereinafter referred to as rules and regulations), this Commission has carried out a second straightening-out sort-out of the ministerial rules and regulations on securities and futures which were promulgated in the duration from the establishment of this Commission to December 31, 2004. In particular, in the duration from June 30, 2003 to December 31, 2004, we have abolished 33rules and regulations and there are 30 rules and regulations that shall are to be abolished or shall be invalidated automatically. We hereby promulgate the catalogue of these two parts of 63 rules and regulations. Attachment: 1. The Catalogue Of The Ministerial Rules And Regulations On Securities And Futures That Were Abolished In The Duration From June 2003 To And December 2004 2. The Catalogue of the Fifth Group Batch of Ministerial Rules and Regulations on Securities and Futures That Are Were Abolished THE CATALOGUE OF THE MINISTERIAL RULES AND REGULATIONS ON SECURITIES AND FUTURES THAT WERE ABOLISHED IN THE DURATION FROM JUNE 2003 TO AND DECEMBER 2004 Sequential Order.1 Name of Rules and or Regulations: Circular on Further Clarifying the Functions and Duties of the Dispatched Organizations Document No.: No. 73 [2000]of China Securities Regulatory Commission Promulgation Date: September, 26, 2000 The Document That Orders the Abolishment: No. 86 [2003] of China Securities Regulatory Commission Sequential Order.2 Name of Rules and or Regulations: Circular on the Relevant Issues concerning Regulating the Listed Trading of Enterprise Bonds in Securities Stock Exchanges Document No.: No. 52 [1996]of China Securities Regulatory Commission Promulgation Date: April 5, 1996 The Document That Orders the Abolishment: No. 150 [2004]of China Securities Regulatory Commission Sequential Order.3 Name of Rules and or Regulations: Guidelines for the Analysis rReport on Stock Issue Pricing (for Trail Trial Implementation) Document No.: No. 8 [1999]of China Securities Regulatory Commission Promulgation Date: February 12, 1999 The Document That Orders the Abolishment: No. 162 [2004]of China Securities Regulatory Commission Sequential Order.4 Name of Rules and or Regulations: Circular on Further Improving Ways of Stock Issuance Means Document No.: No. 94 [1999]of China Securities Regulatory Commission Promulgation Date: July 28, 1999 The Document That Orders the Abolishment: No. 162 [2004]of China Securities Regulatory Commission Sequential Order.5 Name of Rules and or Regulations: Circular on Revising the Relevant Provisions of the Circular on Further Improving the Ways of Stock Issuance Means Document No.: No. 32 [2000]of China Securities Regulatory Commission Promulgation Date: April 4, 2000 The Document That Orders the Abolishment: No. 162 [2004]of China Securities Regulatory Commission Sequential Order.6 Name of Rules and or Regulations: Guidelines for the Ways of Issuance and Issue Means of Rationing of by Legal Person Enterprises Document No.: No. 111 [2000] of China Securities Regulatory Commission Promulgation Date: August 21, 2000 The Document That Orders the Abolishment: No. 162 [2004]of China Securities Regulatory Commission Sequential Order.7 Name of Rules and or Regulations: The Opinions of the Stock Issuance Examination and Verification Approval Committee of China Securities Regulatory Commission on Guiding the Implementation of Work Procedures Document No.: No. 54 [2001] of China Securities Regulatory Commission Promulgation Date: April 4, 2001 The Document That Orders the Abolishment: No. 88 [2003]of China Securities Regulatory Commission Sequential Order.8 Name of Rules and or Regulations: Guiding Opinionsof the Stock IssuanceExamination and VerificationApproval Committee of China SecuritiesRegulatory Commission on the Examination and VerificationApproval of IPO Stocks Document No.: No. 72 [2001]of China Securities Regulatory Commission Promulgation Date: May 11, 2001 The Document That Orders the Abolishment: No. 9 [2004] of China Securities Regulatory Commission Sequential Order.9 Name of Rules and or Regulations: Guiding Opinions of the Stock Issuance Examination and Verification Approval Committee of China Securities Regulatory Commission on the Examination and Verification Approval of the Issuance of New Stocks Issue of by Listed Companies Document No.: No. 72 [2001]of China Securities Regulatory Commission Promulgation Date: May 11, 2001 The Document That Orders the Abolishment: No. 9 [2004]of China Securities Regulatory Commission Sequential Order.10 Name of Rules and or Regulations: Supplementary Circular of the Guiding Opinions of the Stock Issuance Examination and Verification Approval Committee of China Securities Regulatory Commission on Guiding the Implementation of Work Procedures Document No.: No. 52 [2002] of China Securities Regulatory Commission Promulgation Date: July 18, 2002 The Document That Orders the Abolishment: No. 88 [2003]of China Securities Regulatory Commission Sequential Order.11 Name of Rules and or Regulations: Guidelines for the Internal Control of Securities Companies Document No.: No. 15[2001] of China Securities Regulatory Commission Promulgation Date: January 31, 2001 The Document That Orders the Abolishment: No. 260 [2003]of China Securities Regulatory Commission Sequential Order.12 Name of Rules and or Regulations: Circular on Regulating the Entrusted Investment Management Business of Securities Companies Document No.: No. 265 [2001] of China Securities Regulatory Commission Promulgation Date: November 28, 2001 The Document That Orders the Abolishment: Order No. 17 of China Securities Regulatory Commission Sequential Order.13 Name of Rules and or Regulations: Circular on the Relevant Issues concerning Securities Companies' Undertaking Of the Business of Collectively Entrusted Investment Management Document No.: No. 107[2003] of China Securities Regulatory Commission Promulgation Date: April 29, 2003 The Document That Orders the Abolishment: Order No. 17 of China Securities Regulatory Commission Sequential Order.14 Name of Rules and or Regulations: Circular on Enhancing the Quality of Financial Information Reveal Disclosure of Listed Companies Document No.: No. 17 [1999] of China Securities Regulatory Commission Promulgation Date: October 10, 1999 The Document That Orders the Abolishment: No. 1 [2004] of China Securities Regulatory Commission Sequential Order.15 Name of Rules and or Regulations: Work Procedures for the Major Reorganization Examination and Verification Approval Committee and the Stock Issuance Examination and Verification Approval Committee of China Securities Regulatory Commission Document No.: No. 10 [2002] of China Securities Regulatory Commission Promulgation Date: May 8, 2002 The Document That Orders the Abolishment: No. 41 [2004] of China Securities Regulatory Commission Sequential Order.16 Name of Rules and or Regulations: Content and Format of for the No. 2 Annual Report for the Rules of Regarding the Content andFormat for the Information Reveal Disclosure ofby Those the Companies with That Publicly Issue Public Securities Issue (2002 Revision) Document No.: No. 1 [2003] of China Securities Regulatory Commission Promulgation Date: January 6, 2003 The Document That Orders the Abolishment: No. 56 [2003] of China Securities Regulatory Commission Sequential Order.17 Name of Rules and or Regulations: No.1 Implementation Rule No.1 of Regarding the Content and Format for the Funds Contract of Securities Investment Funds in the Interim Measures for the Securities Investment Funds Management (Trial Implementation) Document No.: No. 3 [1997] of China Securities Regulatory Commission Promulgation Date: December 12, 1997 The Document That Orders the Abolishment: No. 139 [2004] of China Securities Regulatory Commission Sequential Order.18 Name of Rules and or Regulations: No.3 Implementation Rule No.3 of Regarding the Content Contract and Format for the Prospectus of Securities Investment Funds in the Interim Measures for the Securities Investment Funds Management Document No.: No. 3 [1997] of China Securities Regulatory Commission Promulgation Date: December 12, 1997 The Document That Orders the Abolishment: No. 119 [2004] of China Securities Regulatory Commission Sequential Order.19 Name of Rules and or Regulations: No.5 Implementation Rule No.5 of Regarding the Guidelines for the Information Reveal Disclosure of Securities Investment Funds in the Interim Measures for the Securities Investment Funds Management Document No.: No. 11 [1999] of China Securities Regulatory Commission Promulgation Date: March 10, 1999 The Document That Orders the Abolishment: Order No. 19 [2004] of China Securities Regulatory Commission Sequential Order.20 Name of Rules and or Regulations: No.6 Implementation Rule No.6 of Regarding the Interim Provisions on the Administration of the Qualification of the Funds Practitioners in the Interim Measures for the Securities Investment Funds Management Document No.: No. 53 [1999] of China Securities Regulatory Commission Promulgation Date: October 15, 1999 The Document That Orders the Abolishment: No. 23 of China Securities Regulatory Commission Sequential Order.21 Name of Rules and or Regulations: Supplementary Circular on the Guidelines for the Information Reveal Disclosure of Securities Investment Funds Document No.: No.35 [2000] of China Securities Regulatory Commission Promulgation Date: May 30, 2000 The Document That Orders the Abolishment: No. 72[2004] of China Securities Regulatory Commission Sequential Order.22 Name of Rules and or Regulations: Guiding Opinions on Improving the Internal Compliance Control System and the Criterions for Behaviors the Conduct of Employees of Commercial Banks Acting as Agents for Securities Investment Funds Sales Business Document No.: No.150 [2001] of China Securities Regulatory Commission Promulgation Date: November 23, 2001 The Document That Orders the Abolishment: Order No. 20 of China Securities Regulatory Commission Sequential Order.23 Name of Rules and or Regulations: Rules on the Establishment of Foreign-shared Fund Management Companies Document No.: Order No. 9 of China Securities Regulatory Commission Promulgation Date: June 1, 2002 The Document That Orders the Abolishment: Order No. 20 of China Securities Regulatory Commission Sequential Order.24 Name of Rules and or Regulations: Notice on Relevant Issues Concerning the Consigned Sale of Open Funds by Securities Companies Document No.: No. 33 [2002] of the CSRC Promulgation Date: July 1, 2002 The Document That Orders the Abolishment: Order No. 20 ofthe CSRC Sequential Order.25 Name of Rules and or Regulations: Interim Measures for Sales Activities of Securities Investment Funds Document No.: No. 66 [2002]of China Securities Regulatory Commission Promulgation Date: September 18, 2002 The Document That Orders the Abolishment: Order No. 20 of China Securities Regulatory Commission Sequential Order.26 Name of Rules and or Regulations: Circular on the Examination and Approval of the Sales Department of Futures Brokerage Companies Document No.: No. 20 [1999]of China Securities Regulatory Commission Promulgation Date: December 21, 1999 The Document That Orders the Abolishment: No. 41 [2004]of China Securities Regulatory Commission Sequential Order.27 Name of Rules and or Regulations: Procedures for the Reporting for Approval for the Establishment of A Futures Brokerage Company and the Sales Department Thereof Document No.: No. 15 [2000]of China Securities Regulatory Commission Promulgation Date: May 16, 2000 The Document That Orders the Abolishment: No. 41 [2004]of China Securities Regulatory Commission Sequential Order.28 Name of Rules and or Regulations: Circular on the Procedures for Approving the Alteration of Any Futures Brokerage Company and the Sales Department Thereof and the Application Materials Document No.: No. 38 [2002]of China Securities Regulatory Commission Promulgation Date: July 2, 2002 The Document That Orders the Abolishment: No. 42 [2004]of China Securities Regulatory Commission Sequential Order.29 Name of Rules and or Regulations: Circular on the Approval Requirements, Procedures and Application Materials regarding the Share-holder Qualification of Futures Brokerage Companies Document No.: No. 39 [2002]of China Securities Regulatory Commission Promulgation Date: July 2, 2002 The Document That Orders the Abolishment: No. 44 [2004]of China Securities Regulatory Commission Sequential Order.30 Name of Rules and or Regulations: Circular on the Approval Requirements, Procedures and Application Materials regarding the Establishment of the Sales Department of A Futures Brokerage Company Document No.: No. 40 [2002]of China Securities Regulatory Commission Promulgation Date: July 2, 2002 The Document That Orders the Abolishment: No. 41 [2004]of China Securities Regulatory Commission Sequential Order.31 Name of Rules and or Regulations: Circular on the Relevant Issues concerning Futures Brokerage Companies' Acceptance of Capital Contribution Document No.: No. 5 [2003]of China Securities Regulatory Commission Promulgation Date: January 14, 2003 The Document That Orders the Abolishment: No. 4 [2004]of China Securities Regulatory Commission Sequential Order.32 Name of Rules and or Regulations: Circular on Doing a Good Job of in the Examination and Approval and Archival Filing of the Alteration of Futures Brokerage Companies Document No.: No. 11 [2003]of China Securities Regulatory Commission Promulgation Date: February 18, 2003 The Document That Orders the Abolishment: No. 42 [2004]of China Securities Regulatory Commission Sequential Order.33 Name of Rules and or Regulations: Circular on Reporting the Stock Ownership Background of the Share-holders of Futures Brokerage Companies Document No.: No. 26 [2003]of China Securities Regulatory Commission Promulgation Date: April 8, 2003 The Document That Orders the Abolishment: No. 44 [2004]of China Securities Regulatory Commission THE CATALOGUE OF THE FIFTH GROUP BATCH OF MINISTERIAL RULES AND REGULATIONS ON SECURITIES AND FUTURES THAT WERE ABOLISHED No.1 Title of the Ministerial Rules and Regulations: Circular on Further Clarifying the Supervisory Functions over Futures of the Dispatched Organizations of China Securities Regulatory Commission Document Number: No. 11 [2000]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: March 22, 2000 No.2 Title of the Ministerial Rules and Regulations: Measures for the Administration of the Temporary Licensing for Overseas Accounting Firms to Undertake the Auditing Business Operation for Listed Companies of Finance Document Number: No. 9[2001] of China Securities Regulatory Commission Promulgation Department: Fiscal department of China Securities Regulatory Commission Promulgation Date: January 12, 2001 No.3 Title of the Ministerial Rules and Regulations: Measures for Adopting the System of Temporary License by to Foreign Accounting Firms for Engaging in the Business of Auditing for Financial Listed Companies Document Number: No. 14 [2001]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: June 26, 2001 No.4 Title of the Ministerial Rules and Regulations: Circular on Publishing the Interim Measures for the Examination of the Practice Quality of Major Undertakers Document Number: No. 107 [2002]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: September 13, 2002 No.5 Title of the Ministerial Rules and Regulations: Circular of the 2002 Annual Examination of Securities Investment Consultation Institutions and the Practitioners Thereof Document Number: No. 38 [2003]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: January 28, 2003 No.6 Title of the Ministerial Rules and Regulations: Circular on Carrying out the Examination of Establishing a Modern Enterprise System within Listed Companies Document Number: No. 32 [2002]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission, State Economic and Trade Commission Promulgation Date: April 19, 2002 No.7 Title of the Ministerial Rules and Regulations: Circular on the Self-examination and Self-correction of the Insiders of Listed Companies Who Trade the Stocks of their Companies Document Number: No. 15 [2003]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: May 13, 2003 No.8 Title of the Ministerial Rules and Regulations: Circular on the Relevant Issues regarding on Doing a Good Job of in Piloting the Work of Securities Investment Funds Document Number: No. 9 [1998]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: March 13, 1998 No.9 Title of the Ministerial Rules and Regulations: Supplementary Circular on the Relevant Issues regarding on Doing a Good Job of in Piloting the Work of Securities Investment Funds Document Number: No. 11 [1998]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: March 17, 1998 No.10 Title of the Ministerial Rules and Regulations: Circular on the Relevant Issues concerning the Establishment ofBranches within China by Fund Management Companies Document Number: No. 66 [2000]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: September 27, 2000 No.11 Title of the Ministerial Rules and Regulations: Measures for Piloting the the Work of Open Securities Investment Funds Document Number: No. 73 [2000]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: October 8, 2000 No.12 Title of the Ministerial Rules and Regulations: Circular on Improving the System for the Candidate of theSystem of Directors of Boards of Directors in Funds Management Companies Document Number: No. 1 [2001]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: January 16, 2001 No.13 Title of the Ministerial Rules and Regulations: Circular on the Relevant Issues on regarding Doing a Good Job of in the Supervision and Administration of Funds Management Companies Document Number: No. 6 [2001]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: March 31, 2001 No.14 Title of the Ministerial Rules and Regulations: Circular on the Relevant Issues regarding Applying for the Establishment of Funds Management Companies Document Number: No. 10 [2001]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: May 25, 2001 No.15 Title of the Ministerial Rules and Regulations: Circular on Doing a Good Job of in the Registration of the Qualification of Fund Practitioners Document Number: No. 15 [2001]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: June 6, 2001 No.16 Title of the Ministerial Rules and Regulations: Circular on the Relevant Issues regarding Improving the Ways of Issuing Means of Securities Investment Funds Document Number: No. 32 [2001]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: August 15, 2001 No.17 Title of the Ministerial Rules and Regulations: Circular on the Relevant Issues regarding on Applying for Setting up the Major Initiator of A Funds Management Company Document Number: No. 35 [2001]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: August 22, 2001 No.18 Title of the Ministerial Rules and Regulations: Circular on the Relevant Issues regarding the Remuneration for Achievements of Securities Investment Funds Document Number: No. 43 [2001]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: September 17, 2001 No.19 Title of the Ministerial Rules and Regulations: Circular on the Relevant Issues regarding the Examination and Approval Procedures for Establishing Funds Management Companies Document Number: No. 1 [2002]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: January 7, 2002 No.20 Title of the Ministerial Rules and Regulations: Circular on the Relevant Issues regarding the Application Materials of Securities Investment Funds for Issue and Establishment Document Number: No. 3 [2002]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: January 22, 2002 No.21 Title of the Ministerial Rules and Regulations: Circular on the Relevant Issues regarding the Examination and Approval Procedures for the Issuance and Establishment of Securities Investment Funds Document Number: No. 4 [2002]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: January 22, 2002 No.22 Title of the Ministerial Rules and Regulations: Circular on the Relevant Issues regarding the Participation of Securities Investment Funds in the Subscription of Newly Issued Stocks Document Number: No. 9 [2002]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: March 12, 2002 No.23 Title of the Ministerial Rules and Regulations: Circular on the Relevant Issues concerning Major Alterations of Fund Management Companies Document Number: No. 10 [2002]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: March 21, 2002 No.24 Title of the Ministerial Rules and Regulations: Supplementary Circular on the "Circular on the Relevant Issues regarding on Doing a Good Job of in the Piloting Work of Securities Investment Funds" Document Number: No. 87 [2002]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: November 18, 2002 No.25 Title of the Ministerial Rules and Regulations: Circular on the Relevant Issues regarding the Examination and Approval of the Establishment of Securities Investment Funds Document Number: No. 89 [2002]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: November 26, 2002 No.26 Title of the Ministerial Rules and Regulations: Circular on the Relevant Issues regarding the Issuance of the Qualification Certificates for to Futures Practitioners Document Number: No. 31 [2000]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: November 6, 2000 No.27 Title of the Ministerial Rules and Regulations: Circular on Doing a Good Job of in the 2001 Annual Examination of Futures Brokerage Companies Document Number: No. 10 [2002]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: January 22, 2002 No.28 Title of the Ministerial Rules and Regulations: Guidelines for the Examination and Approval Procedures for the Assumption Qualification of Senior Managerial Personnel of Futures Brokerage Companies Document Number: No. 6 [2002]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: January 23, 2002 No.29 Title of the Ministerial Rules and Regulations: Circular on the On-site Examination of the Sales Departments of Futures Brokerage Companies in 2002 Document Number: No. 54 [2003]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: September 27, 2002 No.30 Title of the Ministerial Rules and Regulations: Circular on Publishing the Name List of Those Futures Brokerage Companies That Pass the 2002 Annual Examination and Doing a Good Job of in Relevant Work Document Number: No. 78 [2003]of China Securities Regulatory Commission Promulgation Department: China Securities Regulatory Commission Promulgation Date: September 17, 2003 |
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