【文章內(nèi)容簡介】 utstanding debt which is overdue. 第十一條個人申請保薦代表人資格,應(yīng)當具備下列條件: （一）具備3年以上保薦相關(guān)業(yè)務(wù)經(jīng)歷。 （二）最近3年內(nèi)在本辦法第二條規(guī)定的境內(nèi)證券發(fā)行項目中擔任過項目協(xié)辦人。 （三）參加中國證監(jiān)會認可的保薦代表人勝任能力考試且成績合格有效。 （四）誠實守信，品行良好，無不良誠信記錄，最近3年未受到中國證監(jiān)會的行政處罰。 （五）未負有數(shù)額較大到期未清償?shù)膫鶆?wù)。（六）中國證監(jiān)會規(guī)定的其他條件。 Article 12 In applying for qualification of sponsor representative, an individual shall have the following material submitted to the CSRC by the sponsor institution he/she works for: (1) Application report。 (2) Resume, identify document, and academic certificates。 (3) Certification of eligible results in securities practitioner39。s qualifying examination and petence examination for sponsor representative。 (4) Securities practicing certificate。 (5) Detailed description of engagement in sponsorrelated business, and an overview of the work performed as the coordinator of domestic securities issuance project, as prescribed in Article 2 of these Measures, in the immediately preceding three years。 (6) Remendation letter as produced by the sponsor institution, which shall specify the applicant39。s pliance with laws and disciplines, petence, organization capacity and skills, etc.。 (7) The mitment letter specifying that the sponsor institution shall be responsible for the authenticity, accuracy, and pleteness of the application documents, shall be signed by the board chairman or general manager of the sponsor。 and (8) Other materials as required by the CSRC. 第十二條個人申請保薦代表人資格,應(yīng)當通過所任職的保薦機構(gòu)向中國證監(jiān)會提交下列材料: （一）申請報告。 （二）個人簡歷、身份證明文件和學歷學位證書。 （三）證券業(yè)從業(yè)人員資格考試、保薦代表人勝任能力考試成績合格的證明。 （四）證券業(yè)執(zhí)業(yè)證書。 （五）從事保薦相關(guān)業(yè)務(wù)的詳細情況說明，以及最近3年內(nèi)擔任本辦法第二條規(guī)定的境內(nèi)證券發(fā)行項目協(xié)辦人的工作情況說明。 （六）保薦機構(gòu)出具的推薦函，其中應(yīng)當說明申請人遵紀守法、業(yè)務(wù)水平、組織能力等情況。 （七）保薦機構(gòu)對申請文件真實性、準確性、完整性承擔責任的承諾函，并應(yīng)由其董事長或者總經(jīng)理簽字。 （八）中國證監(jiān)會要求的其他材料。 Article 13 The securities pany or the individual shall ensure the authenticity, accuracy, and pleteness of the application documents. In the event of any significant change in the content of the application documents during the period of application, the securities pany or the individual shall, within two working days from the date of such changes, submit the updated material to the CSRC. 第十三條證券公司和個人應(yīng)當保證申請文件真實、準確、完整。申請期間,申請文件內(nèi)容發(fā)生重大變化的,應(yīng)當自變化之日起2個工作日內(nèi)向中國證監(jiān)會提交更新資料。 Article 14 The CSRC shall accept and verify the application documents according to law, and make written decision approving or disapproving the application for qualification of a sponsor institution within 45 working days from the date of acceptance thereof, and make a decision of approval or disapproval in writing, for the application for qualification of sponsor representative within 20 working days from the date of acceptance thereof. 第十四條中國證監(jiān)會依法受理、審查申請文件。對保薦機構(gòu)資格的申請,自受理之日起45個工作日內(nèi)做出核準或者不予核準的書面決定。對保薦代表人資格的申請,自受理之日起20個工作日內(nèi)做出核準或者不予核準的書面決定。 Article 15 After obtaining the sponsor institution qualification, a securities pany shall continue to meet the conditions as prescribed in Article 9 of these Measures. Where a sponsor institution is subject to an administrative penalty due to a material violation of laws and regulations, the CSRC may revoke the qualification as a sponsor institution。 or if the sponsor institution ceases to ply with the other conditions as prescribed in Article 9 hereof, the CSRC may order it to make corrections within the prescribed time limit, and in case of the sponsor institution39。s failure to meet the requirements within such time limit, the CSRC may revoke its qualification as a sponsor institution. 第十五條證券公司取得保薦機構(gòu)資格后,應(yīng)當持續(xù)符合本辦法第九條規(guī)定的條件。保薦機構(gòu)因重大違法違規(guī)行為受到行政處罰的,中國證監(jiān)會撤銷其保薦機構(gòu)資格。不再具備第九條規(guī)定其他條件的,中國證監(jiān)會可責令其限期整改,逾期仍然不符合要求的,中國證監(jiān)會撤銷其保薦機構(gòu)資格。 Article 16 After obtaining the qualification of a sponsor representative, an individual shall continue to meet the conditions as prescribed in subparagraph (4), (5), and (6) of Article 11 of these Measures. Where the securities practicing certificate of a sponsor representative is revoked or cancelled, or the sponsor representative is imposed with an administrative penalty of the CSRC , the CSRC will revoke the qualification of sponsor representative of the individual。 or if the individual does not meet the other conditions, the CSRC may order such individual to make corrections within the prescribed period, and where the individual still fails to meet the requirements beyond the time limit, the CSRC will revoke such person39。s qualification of sponsor representative. After passing through the petence examination for sponsor representative as approved by the CSRC or obtaining qualification of sponsor representative, an individual shall participate in the yearly business training for sponsor representative on a regular basis, as is conducted by an institution approved by the Securities Association of China or the CSRC. Should a sponsor representative fail to participate in the requisite yearly business training for sponsor representative, the CSRC shall revoke such individual39。s qualification of sponsor representative. Should an individual who has passed through the petence examination for sponsor representative, but has not obtained the qualification of sponsor representative, fail to participate in the yearly business training for sponsor representative, the result in petence examination for sponsor representative of the individual shall be invalid. 第十六條個人取得保薦代表人資格后,應(yīng)當持續(xù)符合本辦法第十一條第(四)項、第(五)項和第(六)項規(guī)定的條件。保薦代表人被吊銷、注銷證券業(yè)執(zhí)業(yè)證書,或者受到中國證監(jiān)會行政處罰的,中國證監(jiān)會撤銷其保薦代表人資格。不再符合其他條件的,中國證監(jiān)會責令其限期整改,逾期仍然不符合要求的,中國證監(jiān)會撤銷其保薦代表人資格。 個人通過中國證監(jiān)會認可的保薦代表人勝任能力考試或者取得保薦代表人資格后,應(yīng)當定期參加中國證券業(yè)協(xié)會或者中國證監(jiān)會認可的其他機構(gòu)組織的保薦代表人年度業(yè)務(wù)培訓。保薦代表人未按要求參加保薦代表人年度業(yè)務(wù)培訓的,中國證監(jiān)會撤銷其保薦代表人資格。通過保薦代表人勝任能力考試而未取得保薦代表人資格的個人,未按要求參加保薦代表人年度業(yè)務(wù)培訓的,其保薦代表人勝任能力考試成績不再有效。 Article 17 The CSRC conducts registration management for the sponsor institutions and sponsor representatives in accordance with laws. 第十七條中國證監(jiān)會依法對保薦機構(gòu)、保薦代表人進行注冊登記管理。 Article 18 Registered items of a sponsor institution shall include: (1) Name of the sponsor institution, time of its establishment, registered capi