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In order to protect the legitimate rights and interests of investors, bring into play the function of social supervision and elevate the transparency of the securities market, we, according to the provisions of the Securities Law as well as relevant administrative regulations, hereby notify the following matters regarding the information disclosure by securities companies: 1. The term "information disclosure" refers to an activity of a securities company publicizing the information on its parent company, business branches and sub-branches, products and personnel, risk indication information as well as any other information conducive to the inquiry and supervision by investors through its website, investors' park in its business places as well as the public information platforms of such institutions as China Securities Regulatory Commission (hereinafter referred to as the CSRC), Shanghai Stock Exchange, Shenzhen Stock Exchange as well as China Securities Depository & Clearing Corporation. 2. A securities company shall, according to the requirements of this Circular, disclose its basic information, business branches and sub-branches, licensed business scope as well as products and senior managers. As to a securities company that has entered into the procedures for risk disposition, the relevant disclosure shall be put under charge of the organ that executes the functions and duties of legal person for the securities company subject to disposition, which shall fill and report the relevant information of the securities company under disposition as well as its business departments and service departments. The information disclosure of any business department of securities under a trust company that fails to fulfill the separation of trust and securities shall be implemented according to the relevant requirements of the present Circular. Any securities company that has entered into the procedures for risk disposition or been under way of restructuring or rectification or any business department of securities under a trust company that fails to fulfill the separation of trust and securities shall do a good job in the preparation of information disclosure according to the present Circular, wherein the time for implementation of disclosure shall be separately notified. 3. A securities company shall, according to the requirements of the present Circular, fill and report online the relevant information through the network platform as provided by the CSRC (clients of China Telecom on channel.sac.net.cn and clients of China Netcom on cx.sac.net.cn), check the relevant information so as to ensure the authenticity, accuracy and completeness of the information as filled and reported. 4. The information that has first been filled and reported by a securities company shall, upon verification of all the securities regulatory bodies, be uniformly disclosed by the CSRC through its network. Where any disclosed information changes, the relevant securities company shall make online alteration and update through the website of the CSRC, which shall be subject to due examination and approval before any disclosure. Where any key information regarding new products, branches and sub-branches or business scope changes, it shall be subject to the confirmation of the relevant securities regulatory body before any disclosure. 5. A securities company shall simultaneously make sufficient risk indication and necessary information disclosure on its website and business places. The information as disclosed in its website shall cover the scope as required in Article II of this Circular. A securities company shall establish special information disclosure board within the investors' parks in business places, such as securities departments and service departments, publicize its web address of information disclosure in details as well as such information as the name, account number and opening bank of its exclusive deposit account of capital for clients' trade settlement and the numbers of its trading seats that have been reported for archival filing as well as the telephone number for complaint and service and qualified personnel of securities operation. Where a securities company promotes such products as integrated financing in the relevant business places, it shall disclose the name, number and opening bank of its exclusive deposit account, etc. 6. A securities company shall designate a special senior staff to be responsible for information disclosure and designate a special department and personnel to handle the disclosure and incessant update of information. 7. A securities company shall be responsible for the authenticity, accuracy and integration of the information it has filled and reported for disclosure. In the case of any false, misleading statement or major omission in the information that a securities company has filled and reported for disclosure, it shall be seriously handled according to the Securities Law as well as relevant laws and regulations, and the liabilities of the relevant liable entity and persons shall be investigated for. 8. The present Circular shall come into force as of the day of promulgation. |
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