Provisions on Issues Relevant to Regulatory Opinions for Initial Public Offerings of Shares and the Listing Thereof by Securities Companies
关于证券公司申请首次公开发行股票并上市监管意见书有关问题的规定
CLP Reference: 3700/08.05.12
PRC Reference: 证监会公告 [2008] 19号
Promulgated: 12 May 2008
Effective: 12 May 2008
Keywords (click to search): [securities companies] [securities houses] [IPO] [initial public offerings] [regulatory opinions] [listing]
(Issued by the China Securities Regulatory Commission on, and effective as of, May 12 2008.)
(中国证券监督管理委员会于二零零八年五月十二日公告，自公告之日起施行。)
Notice of the CSRC [2008] No.19
1. Before a securities company submits an application for an initial public offering of shares (IPO) and the listing thereof, it shall submit relevant materials to the China Securities Regulatory Commission (the CSRC) and apply for the issuance of a regulatory opinion. A regulatory opinion is one of the required documents when a securities company applies for an IPO and listing.
一、证券公司在提交首次公开发行股票（以下简称IPO）并上市申请前，应当向中国证监会提交有关材料，申请出具监管意见书。监管意见书是证券公司申请IPO上市的必备文件之一。
2. A securities company applying for a regulatory opinion shall submit materials describing the following matters, signed by the chairman of the board and the general manager and bearing the official stamp of the company, together with relevant supporting documentation.
二、申请监管意见书的证券公司应当提交以下情况的说明材料，由公司董事长、总经理签字、加盖公司公章并附有关证明材料。
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