您的位置: 首页 » 法律资料网 » 法律法规 »

北京市营业性演出管理办法

时间:2024-07-01 07:36:43 来源: 法律资料网 作者:法律资料网 阅读:8278
下载地址: 点击此处下载

北京市营业性演出管理办法

北京市政府


北京市营业性演出管理办法
市政府


1995年9月8日市人民政府第67次常务会议通过

第一章 总 则
第一条 为实施《北京市文化娱乐市场管理条例》(以下简称《条例》),根据《条例》和国家有关规定,制定本办法。
第二条 凡在本市行政区域内从事营业性演出经营活动的单位和个人,必须遵守《条例》和本办法。
第三条 本办法所称从事营业性演出经营活动的单位和个人是指:
(一)从事戏剧、音乐、舞蹈、曲艺、杂技、魔术、马戏、木偶、皮影、时装艺术表演等营业性演出经营活动的艺术表演团体和个人。
(二)为营业性演出经营活动提供场所的剧场、影剧院、俱乐部、礼堂、文化中心、文化宫、文化馆(站)、艺术宫、体育馆(场)、宾馆、饭店、商场、公园、广场等单位。
(三)为营业性演出经营活动提供中介服务的演出经纪机构。
第四条 市文化局是本市营业性演出经营活动的主管机关;区、县文化文物局负责本辖区内营业性演出经营活动的管理工作。
各级公安、工商行政管理等机关,按照各自职责,依法对营业性演出经营活动进行监督管理。

第二章 从业条件与审批
第五条 申请设立从事营业性演出经营活动的艺术表演团体必须具备下列条件:

(一)艺术表演团体的负责人必须具有大专以上文化程度和一定政治、业务素质及艺术修养,并经市文化局培训合格;
(二)有相应的演职人员和管理人员;
(三)有健全的管理制度和组织章程;
(四)有一定艺术质量和数量的剧(节)目;
(五)有固定的办公场所、排练场所和演出所需的器材设备。
第六条 申请从事营业性演出的个人必须具备下列条件:
(一)有本市常住户口或者暂住证,年满十八周岁,并具有高中以上文化程度;
(二)在职人员必须有所在单位的批准证明,非在职人员必须有所在乡、镇(含街道)的求职证明;
(三)有相应的表演技能和艺术修养,并经文化行政机关考核合格。
第七条 申请设立营业性演出场所,必须具备下列条件:
(一)营业性演出场所负责人必须具有高中以上上文化程度和一定政治、业务素质及艺术修养,并经市文化局培训合格;
(二)有相应的管理人员和专业技术人员;
(三)有健全的管理制度和组织章程;
(四)有符合国家技术标准的建筑物和演出的设备器材及其他有关附属设施;
(五)建筑结构必须符合安全、消防的有关规定。
第八条 申请设立从事营业性演出的经纪机构,必须具备下列条件:
(一)演出经纪机构的负责人必须具有高中以上文化程度和一定政治、业务素质及艺术修养,并经市文化局培训合格;
(二)有一定业务水平的专职从业人员;
(三)有健全的管理制度和组织章程;
(四)有固定的办公场所和与经营范围相适应的设施;
(五)实行独立核算、自主经营、自负盈亏。
第九条 申请从事营业性演出经营活动的单位和个人,必须持有关材料向市或区、县文化行政机关申领《营业演出许可证》、《演出经营许可证》(以下统称许可证),持许可证向工商行政管理机关申领营业执照;申请设立营业性演出场所的,还必须向公安机关申领安全合格证。
文化行政机关应在接到申请书之日起30日内给予批准或者不批准的答复。
中央各部门、部队系统申请设立从事营业性经营活动的条件和审批程序,按国家有关规定办理。
第十条 经营者变更登记事项,必须到原发证机关办理变更登记。
领取许可证之日起满半年未开展经营活动或者停止经营活动满一年的,视为歇业,由原发证机关收回许可证,许可证有效期为一年。经营者必须每年向原发证机关申报核验换领新证后,方可继续营业。未经核验换领新证继续经营的,视为无证经营,
禁止涂改、转借、伪造、出租许可证。
第十一条 非营业性演出单位和个人因特殊需要举办或者参加临时营业性演出的,必须按本办法规定向市文化局申领《临时营业演出许可证》。

第三章 演出管理
第十二条 举办下列营业性演出活动,必报市文化局批准:
(一)本市艺术表演团体和个人以及演出经纪机构组台(团)赴外省、自治区、直辖市进行的营业性演出;外省、自治区、直辖市艺术表演团体和个人以及演出经纪机构组台(团)来京进行的营业性演出。
(二)艺术表演团体之间的联合演出及艺术表演团体临时邀请个人参加的组台(团)演出。
(三)演出经纪机构主办、承办的演出活动。
(四)在公园、广场、宾馆、饭店、体育馆(场)等大型公共场所举办的演出活动。
(五)以广告、赞助形式收取费用进行的演出活动。
(六)个体演员的个人专场演出和个体演员之间的组台演出。
(七)因特殊情况组织,未成年人参加的演出活动。
第十三条 外国或者港、澳、台地区艺术表演团体和个人来京进行的营业性演出,邀请在京居住、学习、工作的外国人或者港、澳、台地区人员参加的营业性演出,必须按规定经国家有关部门批准后,持批准文件到市文化局办理演出手续。
本市从事营业性演出的单位和个人到外国或者港、澳、台地区进行营业性演出必须向市文化局提出申请,并按国家有关规定办理手续。
第十四条 进行募捐性演出和义演活动,举办单位必须按有关规定报民政部门审核同意后,再报市文化局批准。
募捐性演出和义演活动的收入除支付必要的开支外,必须全部作为募捐款,举办单位、演出单位和个人不得以任何形式从中提取演出报酬。
第十五条 从事本办法第十一条、第十二条、第十三条、第十四条规定的演出经营活动的单位和个人,必须在举办演出前20日内按办法规定向市文化局提出申请,市文化局应当在接到申请之日起10日内给予答复。其中从事第十二条第四项、第六项和第十三条所列演出经营活动的单
位和个人,还必须向公安机关办理安全审批手续。
第十六条 从事营业性演出经营活动的单位和个人,必须遵守下列规定:
(一)加强财务、票务管理,建立健全各项管理制度,维护演出秩序,确保演出安全,制止有悖社会公德的行为。
(二)演出内容不得违反《条例》第十条的规定,。
(三)不得邀请、接待无许可证的单位和个人进行营业性演出活动,
(四)演出广告的内容必须真实、健康,演出的节目应与其刊登的演出广告节目单相一致;不得弄虚作假、欺骗观众;举办本办法第十二条、第十三第一款、第十四条规定的营业性演出活动,必须先报经市文化局批准,方可依法办理刊登、播放演出广告手续。
(五)演唱人员不得以录音磁带、唱盘(片)等方式代替本人现场演唱,
(六)已刊登、播发广告或者已售票的营业性演出活动不得无故停演。
(七)演出时必须携带许可证或《临时营业演出许可证
(八)营业性演出场所单位不得在本单位所属场所外举办营业演出活动。
(九)营业性演出当事人必须就演出节目内容、场所、票价、收入分成及违约责任签订书面演出合同;承办营业性演出,必须提交委托单位的委托书,并报市文化局备案。
(十)执行物价管理部门规定的营业性演出票价。
(十一)接受文化行政机关的管理。
(十二)依法交纳税费。
第十七条 本市各级文化行政机关管理人员执行公务时,必须出示文化娱乐市场检查证。

第四章 法律责任
第十八条 违反本办法规定,由文化行政机关按下列规定处罚:
(一)对违反本办法第九条、第十条第三款、第十一条、第十四条规定,未经文化行政机关批准而从事演出活动的,责令停止演出,没收非法所得,视情节轻重处以非法所得1倍至2倍的罚款。
(二)对违反举办法第十条第一款规定的,予以警告,可以并处500元以下罚款。
(三)对违反本办法第十条第四歉规定的,责令停业整顿,没收非法所得,处以非法所得2倍以下的罚款,情节严重的,吊销许可证。
(四)对违反本办法第十二条、第十三条、第十六条第(三)项、第(五)项、第(八)项规定的,责令停止演出,没收非法所得,处以非法所得1倍至5倍的罚款,情节严重的,责令停业整顿或者吊销许可证。
(五)对违反本办法第十六条第(二)项规定的,责令停止演出或停业整顿,没收非法所得,处以非法所得3倍至10倍的罚款,情节严重的,吊销许可证。
(六)对违反本办法第十六条第(七)项、第(十一)项规定的,予以警告,处以100元以下罚款,拒不改正的责令停止演出或者停业整顿。
(七)对违反本办法第十六条第六项规定的,可处以1万元以下罚款;情节严重的,责令停业整顿,并按国家有关规定追究直接责任人的责任。
违反本办法规定,属工商、公安、税务、物价等管理职权的,由工商、公安、税务、物价等管理机关依照有关规定处理。
第十九条 文化行政机关给予吊销许可证处罚后,应立即通知公安、工商行政管理机关分别收回安全合格证、吊销营业执照或者注销经营项目,
因违反本办法规定被吊销许可证的营业性演出单位和个人,从经营许可证被吊销之日起五年内不得重新申办,该单位的负责人不得再从事营业性演出经营活动。

第五章 附 则
第二十条 本办法具体执行中的问题,由市文化局负责解释。
第二十一条 本办法自1995年12月1日起施行。北京市人民政府1985年9月1日发布的《北京市文艺演出管理暂行办法》、1989年4月27日发布的《北京市专业文艺表演团体管理暂行规定》和《北京市文艺演出经营单位管理暂行规定》同时废止。



1995年10月23日

国务院批转国家教育委员会、财政部关于改革现行普通高等学校人民助学金制度报告的通知

国务院


国务院批转国家教育委员会、财政部关于改革现行普通高等学校人民助学金制度报告的通知

1986年7月8日,国务院

国务院同意国家教育委员会、财政部《关于改革现行普通高等学校人民助学金制度的报告》,现转发给你们,望结合实际情况贯彻执行。改革普通高等学校人民助学金制度是教育体制改革的内容之一。改革的目的是促进学生奋发向上,刻苦学习,德、智、体全面发展,多出人才,出好人才。各地区、各有关部门要切实加强领导,认真做好这一改革工作。实行奖学金和学生贷款制度,今年进行试点,总结经验,逐步推广。具体试行办法和实施步骤,由国家教育委员会、财政部制定。

国家教育委员会、财政部关于改革现行普通高等学校人民助学金制度的报告

为贯彻落实《中共中央关于教育体制改革的决定》,根据国务院领导同志的指示,我们于一九八五年十月组成联合调查组,同时责成部分省市教育、财政厅(局)就普通高等学校人民助学金制度的改革问题进行了调查研究。在调查中,各地普遍反映,党的十一届三中全会以来,我国的科学、教育事业发生了巨大变革。现行的人民助学金制度与这种变革的新情况很不适应,必须进行改革。现行人民助学金制度存在以下弊端:一是国家对高等学校学生包得过多。国家每年除了支付大量的高等学校教职工的工资、教学业务经费和校舍建设投资之外,还要负担大部分学生的生活费用。这不仅加重了国家的财政负担,而且助长了考入高等学校的学生一切都要依赖国家包不来的思想。“入了大学门,就是国家人”,即是这种思想的反映。二是不利于鼓励先进和调动广大学生奋发向上、刻苦学习的积极性。人民助学金是依据学生提供的家庭经济情况进行评定的。多年来,在评定人民助学金时,存在着平均主义思想,人民助学金的使用与学生的表现相脱节。有不少学生认为人民助学金是国家应该发给的,领取了人民助学金,学习不努力,不求上进。甚至学习态度不端正、学习成绩差的学生照样享受人民助学金。三是不利于促进学生思想、品德健康成长。评定人民助学金主要是依据学生的家庭经济困难状况,对学生的思想政治、道德品质表现考虑甚少。因此,政治上不求进步,思想品德表现一般的学生也能享受人民助学金。而且,对学生的家庭经济情况,学校又难以调查清楚。此外,不少地方和学校评定人民助学金办法不够合理,管理上存在混乱现象。针对现行人民助学金制度存在的主要问题,在调查研究的基础上,经过广泛征求意见,我们拟定了改革方案。现简要报告如下:

一、改革的指导思想
(一)改革国家对高等学校学生“包得过多”的状况。除考入师范和一些毕业后工作环境特别艰苦的专业的学生,由国家供给膳宿并免收学杂费外,其他学生在学习期间的生活费用原则上都应自理。
(二)对思想品德和学习成绩优秀的学生给予奖励,激励广大学生奋发向上,刻苦学习,德、智、体全面发展。
(三)保证经济确有困难而努力学习的学生能得到必要的资助,使其完成学业。
(四)促进高等学校毕业生到国家最需要的地方去,为四化建设积极努力工作。

二、改革方案
经多次反复研究讨论,拟将人民助学金改为奖学金制度和学生贷款制度。
(一)奖学金制度奖学金分为三种:⒈优秀学生奖学金:用于奖励德、智、体全面发展的优秀学生。分三个等级:一等优秀学生奖学金,按学生人数的5%评定,每人每年三百五十元;二等优秀学生奖学金,按学生人数的10%评定,每人每年二百五十元;三等优秀学生奖学金,按学生人数的10%评定,每人每年一百五十元。⒉专业奖学金:用于考入师范、农林、体育、民族、航海等专业的学生。分三个等级:入学第一年,一律享受三等专业奖学金,每人每年三百元。从第二学年开始,按学生人数的5%评定一等专业奖学金,每人每年四百元;按学生人数的10%评定二等专业奖学金,每人每年三百五十元;其余85%仍享受三等专业奖学金。⒊定向奖学金:用于立志毕业后到边疆地区、经济贫困地区和艰苦行业工作的学生。定向奖学金,由有关部门和有关地区根据计划确定的名额设立,一律从有关地区和部门的预算外资金或自有资金中开支。定向奖学金的标准和办法,可参照专业奖学金的规定拟定,并报经上级教育、财政部门审查同意后执行。为了便于学生有计划安排生活,各类奖学金按月平均发放到个人。
(二)学生贷款制度为了帮助部分确有经济困难、不能部分或全部解决在校学习期间生活费用的学生,实行由中国工商银行提供低息贷款的办法。⒈申请贷款条件及金额经济确有困难、学习努力、遵守国家法律和学校纪律的学生,根据实际需要由本人提出申请,经学校和银行审核批准给予贷款。最高贷款限额每人每年不超过三百元,按月平均发放到贷款学生。⒉发放贷款的控制比例每年发放学生贷款,按最高限额每人每年三百元计算,严格控制在本专科学生人数的30%以内。⒊贷款偿还办法使用贷款的学生毕业后,由其所在工作单位一次垫还给发放贷款的单位。见习期满后,五年之内由所在单位从其本人工资中逐月扣还。凡符合下列条件之一,并保证工作五年以上者,经学校和银行审查批准,可以免还所借贷款:(1)学生毕业到中等学校或初等学校任教;(2)学生毕业到边疆地区、老区、经济贫困地区、少数民族地区、山区工作;(3)学生毕业到条件比较艰苦的行业的基层单位工作。批准免还的贷款数额,从国家核定给高等学校的事业经费预算中补偿银行信贷。学生偿还贷款,只还贷款原额。银行按低利率计算的利息,由学校从国家核定的高等学校事业经费预算中支付。⒋学生贷款资金来源和管理由中国工商银行提供的学生低息贷款资金,列入国家信贷资金计划。高等学校设立学生贷款机构,代表工商银行负责发放学生贷款和还款的具体管理工作。

三、改革人民助学金制度,实行奖学金和学生贷款制度的步骤
根据《中共中央关于教育体制改革的决定》提出的要求,改革人民助学金制度,实行奖学金制度和学生贷款制度,今年先选择一部分条件较好的高等学校在招收的新生中进行试点,总结经验,逐步推广。经与各方面交换意见,今年试点院校方案已经商定,目前正在抓紧进行试点准备工作。以上报告如无不妥,请批转各地区、各部门执行。


SECURITIES AND FUTURES COMMISSION ORDINANCE ——附加英文版

Hong Kong


SECURITIES AND FUTURES COMMISSION ORDINANCE
 (CHAPTER 24)
 ARRANGEMENT OF SECTIONS
  
  ion
  I    PRELIMINARY
  hort title
  nterpretation
  II    SECURITIES AND FUTURES COMMISSION
  ecurities and Futures Commission
  unctions of Commission
  onstitution of Commission
  ommission may establish committees
  taff of Commission
  eneral powers of Commission
  elegation and sub-delegation of Commission's functions
  Advisory Committee
  Directions to Commission
  Annual report of Commission
  Commission to furnish information
  Financial year and estimates of income and expenditure
  Accounts
  Auditors and audit
  Investment of funds
  III   SECURITIES AND FUTURES APPEALS PANEL
  Constitution of Appeals Panel
  Appeals (registration, forfeiture and notices)
  Hearing of appeals by tribunal
  Procedure for appeals
  Case stated
  IV    ADDITIONAL REGISTRATION REQUIREMENTS
  Applications under section 51 of Securities Ordinance or section
30 of
  odities Trading Ordinance; supplementary provisions
  Applicant under Securities Ordinance or Commodities Trading
Ordinance
  urnish information to Commission
  Certificates of registration to continue in force
  Section 23 (2) and (3) to apply to inquiries under section 56 of
  rities Ordinance or section 36 of Commodities Trading Ordinance
  Registered persons to notify Commission where records etc. kept
  Financial resources rules
  Modification of financial resources rules in particular cases
  
  V    REGULATION OF REGISTERED PERSONS' BUSINESS, ETC.
  Supervision
  Information relating to transactions
  Certification to High Court relating to non-compliance under
section
  r 31 33. Investigations
  Returns
  Production of computerized information
  Magistrate's warrant
  Destruction etc. of documents
  Powers of intervention
  Restriction of business
  Restriction on dealing with assets
  Maintenance of assets
  Provisions relating to notices under section 39, 40, 41 or 43
  Withdrawal, substitution or variation of notices under section
39, 40
  1 44. Appeals against notices under this Part
  Winding-up orders
  Receiving orders
  VI    SPECIAL PROVISIONS RELATING TO EXCHANGE COMPANIES AND
  RING HOUSES 47. Transfer and resumption of functions
  Information: Exchange Companies and clearing houses
  Notice of closure or re-opening
  Additional powers--restriction notices relating to Exchange
Companies
  clearing houses
  Additional powers--suspension orders relating to Exchange
Companies
  clearing houses
  VII   FUNDING
  Levies
  Appropriation
  Fees and other charges
  VIII MISCELLANEOUS
  Injunctions to restrain contraventions
  Waiver or modification of requirements
  Immunity, etc.
  Liability of directors, etc.
  Evidence
  Preservation of secrecy, etc.
  Service of notices
  Penalties for offences
  Prosecution of certain offences by Commission
  Dissolution of Provisional Securities and Futures Commission
Limited
  transfer of property
  Transitional
  DULE Functions of Commission to which section 9 does not apply
  establish the Securities and Futures Commission and to amend the 
law
  ting to dealing in securities and trading in futures contracts;
and to
  ide for connected or incidental matters.
  he Ordinance other than sections 27 (1) to (8), 30, 31, 32 and 
65 as
  with item 1 (b) of paragraph 4 of Schedule 2 insofar as they 
relate
  he repeal of sections 122 and 123 of the Securities Ordinance
  y 1989 L. N. 126 of 1989
  remaining provisions: 1 August 1989] L. N. 230 of 1989
 PART I PRELIMINARY
  
  hort title
  Ordinance may be cited as the Securities and Futures 
Commission
  nance.
  nterpretation
  his Ordinance, unless the context otherwise requires-
  aring house" means a clearing house within the meaning of section
2
  of the Commodities Trading Ordinance (Cap. 250) or a 
recognized
  ring house within the meaning of section 2 of the Securities
(Clearing
  es) Ordinance (Cap. 420); (Amended 66 of 1990 s. 2; 68 of 1992
s. 20)
  Commission" means the Securities and Futures Commission 
established
  ection 3; "Commodity Exchange" has the meaning assigned to 
it by
  ion 2 (1) of the Commodities Trading Ordinance (Cap. 250);
  pany" means any company within the meaning of the Companies
Ordinance
  . 32) and includes an overseas company within the meaning of 
that
  nance or any other body corporate incorporated in Hong Kong 
having a
  e capital;
  a equipment" has the meaning assigned to it by section 27;
  a material" means any document or other material used in 
connection
  or produced by data equipment;
  ablishment day" means the day on which section 3 comes into
operation;
  hange Company" means-
  the Stock Exchange Company; or
  the Futures Exchange Company,
  "Exchange Companies" means both of those companies;
  cutive director" and "non-executive director" mean a director 
of the
  ission who is appointed under section 5 as an executive director
and a
  executive director thereof, respectively; "exempt dealer" 
has the
  ing assigned to it by section 2 (1) of the Securities Ordinance 
(Cap.
  ;
  ancial resources rules" means rules made under section 28; 
"financial
  " means the period specified in section 14 (1);
  m" has the meaning assigned to it by section 2 (1) of the 
Commodities
  ing Ordinance (Cap. 250);
  ction" includes power and duty;
  ures contract" has the meaning assigned to it by section 2 (1)
of the
  odities Trading Ordinance (Cap. 250);
  ures Exchange Company" means the Exchange Company within the 
meaning
  ection 2 (1) of the Commodities Trading Ordinance (Cap. 250);
  up of companies" has the meaning assigned to it by section 2 (1) 
of
  Companies Ordinance (Cap. 32);
  etary Authority" means the Monetary Authority appointed under 
section
  f the Exchange Fund Ordinance (Cap. 66); (Added 82 of 1992 s. 6)
  icer", in relation to a company, has the meaning assigned to 
it by
  ion 2 (1) of the Companies Ordinance (Cap. 32);
  el" means the Securities and Futures Appeals Panel 
established by
  ion 18;  "property  investment  arrangements"  means 
investment
  ngements as defined in relation to property other than 
securities by
  ion 2 of the Protection of Investors Ordinance (Cap. 335);
  
  ord or other document" includes--
  a book, voucher, receipt or data material, or information 
which is
  rded in a non-legible form but is capable of being reproduced 
in a
  ble form; and (b) any document, disc, tape, sound track or 
other
  ce in which sounds or other data (not being visual 
images) are
  died so as to be capable (with or without the aid of other 
equipment)
  eing reproduced and any film (including a microfilm), tape or 
other
  ce in which visual images are embodied so as to be 
capable (as
  esaid) of being reproduced;
  istered person" means a person who is registered under the 
Securities
  nance (Cap. 333), the Commodities Trading Ordinance (Cap. 
250) (or
  those Ordinances) as a dealer, dealing partnership, 
dealer's
  esentative, investment adviser, commodity trading adviser, 
investment
  sers' partnership, investment representative or a commodity 
trading
  ser's representative;
  relevant Ordinances" means this Ordinance, Part II of the 
Companies
  nance (Cap. 32) (insofar as that Part relates, whether 
directly or
  rectly, to the performance of functions by the Commission in 
relation
  rospectuses and purchase by a company of its own shares) and Part 
XII
  hat Ordinance (insofar as that part relates, whether 
directly or
  rectly, to the performance of functions by the Commission in 
relation
  rospectuses), the Securities Ordinance (Cap. 333), the 
Commodity
  anges (Prohibition) Ordinance (Cap. 82), the Commodities 
Trading
  nance (Cap. 250), the Protection of Investors Ordinance (Cap. 
335),
  Stock Exchanges Unification Ordinance (Cap. 361), the Securities
  aring Houses) Ordinance (Cap. 420), the Securities 
(Disclosure of
  rests) Ordinance (Cap. 396) and the Securities (Insider 
Dealing)
  nance (Cap. 395); (Amended 62 of 1990 s. 41; 68 of 1992 s. 20; 
87 of
  s. 2) "securities" has the meaning assigned to it by section 2
(1) of
  Securities Ordinance (Cap. 333);
  ck Exchange Company" means the Exchange Company within the
meaning of
  ion 2 (1) of the Stock Exchanges Unification Ordinance (Cap. 361);
  ding in commodity futures contracts" has the meaning assigned to
it by
  ion 2 (1) of the Commodities Trading Ordinance (Cap. 250);
  bunal" means a tribunal appointed under section 20;
  fied Exchange" has the meaning assigned to it by section 2 (1)
of the
  k Exchanges Unification Ordinance (Cap. 361).
 PART II SECURITIES AND FUTURES COMMISSION
  
  ecurities and Futures Commission
  There is hereby established a body to be known as the Securities 
and
  res Commission.
  The Commission shall be a body corporate with power to sue 
and be
  . (3) The receipts of the Commission shall not be subject to
taxation
  r the Inland Revenue Ordinance (Cap. 112).
  (a) The Commission shall provide itself with a seal.
  The seal of the Commission shall be authenticated by the signature 
of
  chairman or deputy chairman of the Commission or, if both the
chairman
  deputy chairman of the Commission are absent from Hong Kong or 
unable
  ct, the signature of some other director of the Commission 
authorized
  t to act in that behalf.
  
  unctions of Commission
  The Commission shall have the following functions--
  to advise the Financial Secretary on all matters 
relating to
  rities, futures contracts and property investment arrangements;
  without prejudice to any duties imposed or powers conferred 
on any
  r person in regard to the enforcement of the law 
relating to
  rities, futures contracts and property investment arrangements,
to be
  onsible for ensuring that the provisions of the relevant 
Ordinances,
  the provisions of any other Ordinance so far as they 
relate to
  rities, futures contracts and property investment 
arrangements, are
  lied with;
  to report to the Financial Secretary the occurrence of any dealing 
in
  tion to securities which it reasonably believes or suspects to 
be an
  der dealing within the meaning of section 9 of the Securities
(Insider
  ing) Ordinance (Cap. 395); (Amended 62 of 1990 s. 42)
  to be responsible for supervising and monitoring the activities
of the
  ange Companies and clearing houses;
  to take all reasonable steps to safeguard the interests of 
persons
  ing in securities or trading in futures contracts or entering 
into
  erty investment arrangements;
  to promote and encourage proper conduct amongst members 
of the
  ange Companies and clearing houses, and other registered persons;
  to suppress illegal, dishonourable and improper practices in 
dealing
  ecurities, trading in futures contracts, entering into 
property
  stment arrangements, and the provision of investment advice or 
other
  ices relating to securities, futures contracts and property
investment
  ngements;
  to promote and maintain the integrity of registered 
persons and
  urage the promulgation by registered persons of balanced and 
informed
  ce to their clients and to the public generally;
  to consider and suggest reforms of the law relating to 
securities,
  res contracts and property investment arrangements;
  to encourage the development of securities and futures markets
in Hong
  and the increased use of such markets by investors in Hong Kong 
and
  where; (k) to promote and develop self-regulation by market
bodies in
  securities and futures industries;
  subject to the provisions of this Ordinance, to co-operate with 
and
  st authorities or regulatory organizations, in Hong Kong or
elsewhere,
  are concerned with securities and futures, or with banking,
insurance
  ther financial services or with the affairs of corporations;
(Added 67
  991 s. 2)
  to perform any other functions conferred by or under 
any other
  nance.
  As regards any function, the Commission may, for the 
guidance of
  stered persons and others, prepare and cause to be published in 
the
  tte guidelines indicating the manner in which, in the absence of 
any
  icular consideration or circumstance, it proposes to 
perform the
  tion.
  The Commission may from time to time engage such 
consultants or
  sers as it may consider necessary to assist the Commission 
in the
  ormance of its functions. (4) Nothing in subsection (1) (k)
shall be
  rded as limiting or otherwise affecting any other function 
of the
  ission.
  
  onstitution of Commission
  Subject to subsection (2), the Commission shall consist of a 
chairman
  inted by the Governor and such uneven number, not being less than 
7,
  ther directors so appointed as the Governor may determine; and 
when
  number of such other directors ceases to be an uneven 
number the
  rnor shall make such appointment or appointments as may be 
necessary
  omply with this subsection.
  Half of the directors of the Commission, including the chairman,
shall
  ppointed to be executive directors and the remainder 
shall be
  inted to be non-executive directors.
  The Governor may appoint an executive director to be deputy 
chairman
  he Commission.
  (a) If no appointment has been made under subsection (3) or if 
the
  ce of deputy chairman of the Commission is vacant, the 
Financial
  etary may designate an executive director to act as chairman of 
the
  ission during any period during which the chairman of the 
Commission
  nable to act as chairman due to illness or other incapacity 
or is
  nt from Hong Kong.
  A designation under this subsection shall cease when revoked 
by the
  ncial Secretary or an appointment is made under 
subsection (3),
  hever first occurs. (5) The terms and conditions of office 
of a
  ctor of the Commission shall be such as the Governor may
determine.
  A director of the Commission may at any time resign his 
office by
  er sent to the Governor.
  A director of the Commission shall be paid by the Commission 
such
  neration, allowances or expenses as the Governor may determine.
  The Governor may by notice in writing remove from office any 
director
  he Commission whose removal appears to him to be desirable 
for the
  ctive performance by the Commission of its functions.
  Meetings of the Commission shall be held as often as may be 
necessary
  the performance of its functions, and may be convened by the 
chairman
  he deputy chairman or any 2 other directors.
  If the office of chairman of the Commission is vacant or the
chairman
  he Commission is unable to act as chairman due to illness or 
other
  pacity or is absent from Hong Kong the deputy chairman or an
executive
  ctor designated under subsection (4) shall act as chairman 
in his
  e.
  At a meeting of the Commission--
  the chairman shall be chairman of the meeting; or
  if the chairman is not present, the deputy chairman shall be 
chairman
  he meeting; or
  if neither the chairman nor the deputy chairman is 
present, the
  ctors present shall choose one of their number to be chairman of 
the
  ing.
  The quorum for a meeting of the Commission shall be 4 directors 
of
  2 shall be executive directors and 2 shall be non-
executive
  ctors.
  Each director of the Commission present at a meeting thereof 
shall
  a vote. (14) (a) Every question for decision at a meeting of 
the
  ission shall be determined by a majority of votes of the 
directors
  ent and, in the event that voting is equally divided, 
subject to
  graph (b) the chairman of the meeting shall have a casting vote. 
(b)
  chairman of a meeting shall not exercise a casting vote until
after he
  consulted the Financial Secretary as regards that exercise.
  The Commission may act notwithstanding a vacancy among its
directors.
  The Commission shall organize and regulate its 
administration,
  edure and business.
  
  ommission may establish committees
  The Commission may establish standing or special committees 
and may
  r or assign to any such committee any matter for 
consideration,
  iry or management by the committee.
  The Commission may appoint any person to be a member of any 
committee
  blished under this section, whether that person is a director of 
the
  ission or not. (3) Any reference or assignment under 
subsection (1)
  every appointment under subsection (2) may be withdrawn or
revoked by
  Commission at any time, and no such reference or assignment 
shall
  ent the performance by the Commission of any of its functions.
  A committee established under this section may elect any 
of its
  ers to be chairman and may regulate its own procedure and 
business;
  in the exercise of its powers under this subsection such 
committee
  l be subject to and act in accordance with any direction given
to the
  ittee by the Commission for the purposes of this subsection.
  Meetings of a committee established under this section shall be 
held
  uch times and places as the chairman of that committee may,
subject to
  ection (4), determine.
  taff of Commission
  The Commission may from time to time employ persons who shall be 
paid
  remuneration and allowances and shall hold their employment on 
such
  r terms and conditions as the Commission shall determine.
  The Commission may make arrangements for or in respect 
of the
  ision and maintenance of such schemes (whether contributory or 
not)
  the payment to its employees and their dependants of such 

不分页显示   总共8页  1 [2] [3] [4] [5] [6] [7] [8]

  下一页