Rules for the Practice of Securities Law by Law Firms (Trial Implementation)
律师事务所证券法律业务执业规则 (试行)
These Rules govern practice activities such as review and verification, preparation and issuance of legal opinions, etc. when law firms and their assigned lawyers provide securities-related legal services.
律师事务所及其指派的律师从事证券法律业务开展核查和验证、制作和出具法律意见书等执业活动，适用本规则。
Issue: July/August 2011
CLP Reference: 1440/10.10.20(1)
PRC Reference: 证监会、司法部公告 [2010] 33号
Promulgated: 20 October 2010
Effective: 01 January 2011
Keywords (click to search):
law firms
practice
securities law
due diligence
legal opinion
(Promulgated by the China Securities Regulatory Commission on October 20 2010 and effective as of January 1 2011.)
(中国证券监督管理委员会于二零一零年十月二十日发布，自二零一一年一月一日起施行。)
Announcement of the CSRC and MOJ [2010] No.33
Part One: General provisions
Article 1: These Rules have been formulated pursuant to the Measures for the Administration of the Practice of Securities Law by Law Firms (Order of the CSRC No.41) in order to regulate the provision of securities-related legal services by law firms and their assigned lawyers, ensure practice quality and safeguard the lawful rights and interests of investors.
第一条 为了规范律师事务所及其指派的律师从事证券法律业务，保障执业质量，维护投资者的合法权益，根据《律师事务所从事证券法律业务管理办法》（证监会令第41号），制定本规则。
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