【文章內(nèi)容簡(jiǎn)介】 utstanding debt which is overdue. 第十一條個(gè)人申請(qǐng)保薦代表人資格,應(yīng)當(dāng)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(xiàng)目中擔(dān)任過(guò)項(xiàng)目協(xié)辦人。 （三）參加中國(guó)證監(jiān)會(huì)認(rèn)可的保薦代表人勝任能力考試且成績(jī)合格有效。 （四）誠(chéng)實(shí)守信，品行良好，無(wú)不良誠(chéng)信記錄，最近3年未受到中國(guó)證監(jiān)會(huì)的行政處罰。 （五）未負(fù)有數(shù)額較大到期未清償?shù)膫鶆?wù)。（六）中國(guó)證監(jiān)會(huì)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(gè)人申請(qǐng)保薦代表人資格,應(yīng)當(dāng)通過(guò)所任職的保薦機(jī)構(gòu)向中國(guó)證監(jiān)會(huì)提交下列材料: （一）申請(qǐng)報(bào)告。 （二）個(gè)人簡(jiǎn)歷、身份證明文件和學(xué)歷學(xué)位證書(shū)。 （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(jī)合格的證明。 （四）證券業(yè)執(zhí)業(yè)證書(shū)。 （五）從事保薦相關(guān)業(yè)務(wù)的詳細(xì)情況說(shuō)明，以及最近3年內(nèi)擔(dān)任本辦法第二條規(guī)定的境內(nèi)證券發(fā)行項(xiàng)目協(xié)辦人的工作情況說(shuō)明。 （六）保薦機(jī)構(gòu)出具的推薦函，其中應(yīng)當(dāng)說(shuō)明申請(qǐng)人遵紀(jì)守法、業(yè)務(wù)水平、組織能力等情況。 （七）保薦機(jī)構(gòu)對(duì)申請(qǐng)文件真實(shí)性、準(zhǔn)確性、完整性承擔(dān)責(zé)任的承諾函，并應(yīng)由其董事長(zhǎng)或者總經(jīng)理簽字。 （八）中國(guó)證監(jiān)會(huì)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(gè)人應(yīng)當(dāng)保證申請(qǐng)文件真實(shí)、準(zhǔn)確、完整。申請(qǐng)期間,申請(qǐng)文件內(nèi)容發(fā)生重大變化的,應(yīng)當(dāng)自變化之日起2個(gè)工作日內(nèi)向中國(guó)證監(jiān)會(huì)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(guó)證監(jiān)會(huì)依法受理、審查申請(qǐng)文件。對(duì)保薦機(jī)構(gòu)資格的申請(qǐng),自受理之日起45個(gè)工作日內(nèi)做出核準(zhǔn)或者不予核準(zhǔn)的書(shū)面決定。對(duì)保薦代表人資格的申請(qǐng),自受理之日起20個(gè)工作日內(nèi)做出核準(zhǔn)或者不予核準(zhǔn)的書(shū)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(jī)構(gòu)資格后,應(yīng)當(dāng)持續(xù)符合本辦法第九條規(guī)定的條件。保薦機(jī)構(gòu)因重大違法違規(guī)行為受到行政處罰的,中國(guó)證監(jiān)會(huì)撤銷(xiāo)其保薦機(jī)構(gòu)資格。不再具備第九條規(guī)定其他條件的,中國(guó)證監(jiān)會(huì)可責(zé)令其限期整改,逾期仍然不符合要求的,中國(guó)證監(jiān)會(huì)撤銷(xiāo)其保薦機(jī)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(gè)人取得保薦代表人資格后,應(yīng)當(dāng)持續(xù)符合本辦法第十一條第(四)項(xiàng)、第(五)項(xiàng)和第(六)項(xiàng)規(guī)定的條件。保薦代表人被吊銷(xiāo)、注銷(xiāo)證券業(yè)執(zhí)業(yè)證書(shū),或者受到中國(guó)證監(jiān)會(huì)行政處罰的,中國(guó)證監(jiān)會(huì)撤銷(xiāo)其保薦代表人資格。不再符合其他條件的,中國(guó)證監(jiān)會(huì)責(zé)令其限期整改,逾期仍然不符合要求的,中國(guó)證監(jiān)會(huì)撤銷(xiāo)其保薦代表人資格。 個(gè)人通過(guò)中國(guó)證監(jiān)會(huì)認(rèn)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(dāng)定期參加中國(guó)證券業(yè)協(xié)會(huì)或者中國(guó)證監(jiān)會(huì)認(rèn)可的其他機(jī)構(gòu)組織的保薦代表人年度業(yè)務(wù)培訓(xùn)。保薦代表人未按要求參加保薦代表人年度業(yè)務(wù)培訓(xùn)的,中國(guó)證監(jiān)會(huì)撤銷(xiāo)其保薦代表人資格。通過(guò)保薦代表人勝任能力考試而未取得保薦代表人資格的個(gè)人,未按要求參加保薦代表人年度業(yè)務(wù)培訓(xùn)的,其保薦代表人勝任能力考試成績(jī)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(guó)證監(jiān)會(huì)依法對(duì)保薦機(jī)構(gòu)、保薦代表人進(jìn)行注冊(cè)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