【正文】 mitment, and build awareness of faithfulness, selfdiscipline, and legality for entering into securities market. 第二十五條保薦機(jī)構(gòu)在推薦發(fā)行人首次公開(kāi)發(fā)行股票并上市前,應(yīng)當(dāng)對(duì)發(fā)行人進(jìn)行輔導(dǎo),對(duì)發(fā)行人的董事、監(jiān)事和高級(jí)管理人員、持有5%以上股份的股東和實(shí)際控制人(或者其法定代表人)進(jìn)行系統(tǒng)的法規(guī)知識(shí)、證券市場(chǎng)知識(shí)培訓(xùn),使其全面掌握發(fā)行上市、規(guī)范運(yùn)作等方面的有關(guān)法律法規(guī)和規(guī)則,知悉信息披露和履行承諾等方面的責(zé)任和義務(wù),樹立進(jìn)入證券市場(chǎng)的誠(chéng)信意識(shí)、自律意識(shí)和法制意識(shí)。 Article 26 After pletion of guidance work of a sponsor institution, the local office of the CSRC situated at the place where the issuer is located shall conduct examination and approval of such guidance work. 第二十六條保薦機(jī)構(gòu)輔導(dǎo)工作完成后,應(yīng)由發(fā)行人所在地的中國(guó)證監(jiān)會(huì)派出機(jī)構(gòu)進(jìn)行輔導(dǎo)驗(yàn)收。 Article 27 A sponsor institution shall conclude the sponsor agreement with the issuer to specify the rights and obligations of both parties, and determine costs in relation to the performance of the sponsor responsibilities upon negotiations in accordance with the industrial standard. After signing the sponsor agreement, the sponsor institution shall, within five working days, submit the agreement to the local office of the CSRC situated at the place where the issuer is located for recordfiling. 第二十七條保薦機(jī)構(gòu)應(yīng)當(dāng)與發(fā)行人簽訂保薦協(xié)議,明確雙方的權(quán)利和義務(wù),按照行業(yè)規(guī)范協(xié)商確定履行保薦職責(zé)的相關(guān)費(fèi)用。 保薦協(xié)議簽訂后,保薦機(jī)構(gòu)應(yīng)在5個(gè)工作日內(nèi)報(bào)發(fā)行人所在地的中國(guó)證監(jiān)會(huì)派出機(jī)構(gòu)備案。 Article 28 The sponsor institution shall ensure that the issuer is in line with the relevant provisions of laws, administrative regulations, and the CSRC before remending the issuance and listing of securities of the issuer. Where the sponsor institution decides to remend issuance and listing of the issuer39。s securities, it may, under the mission of the issuer, organize and prepare the application documents and produce remendation documents. 第二十八條保薦機(jī)構(gòu)應(yīng)當(dāng)確信發(fā)行人符合法律、行政法規(guī)和中國(guó)證監(jiān)會(huì)的有關(guān)規(guī)定,方可推薦其證券發(fā)行上市。 保薦機(jī)構(gòu)決定推薦發(fā)行人證券發(fā)行上市的,可以根據(jù)發(fā)行人的委托,組織編制申請(qǐng)文件并出具推薦文件。 Article 29 With respect to the content of professional opinions as produced by the securities service institution and its signatory as contained in the application documents of the issuer, and the documents for the issuance of securities and fund raising, the sponsor institution shall conduct prudent verification in conjunction with the information made available in the course of due diligence, and form an independent judgment on the information provided and content disclosed by the issuer. In the event of any significant discrepancy between the judgment made by the sponsor institution and the professional opinion by the securities service institution, the sponsor institution may conduct investigation and review the relevant matters, and engage other securities service institution to provide professional services. 第二十九條對(duì)發(fā)行人申請(qǐng)文件、證券發(fā)行募集文件中有證券服務(wù)機(jī)構(gòu)及其簽字人員出具專業(yè)意見(jiàn)的內(nèi)容,保薦機(jī)構(gòu)應(yīng)當(dāng)結(jié)合盡職調(diào)查過(guò)程中獲得的信息對(duì)其進(jìn)行審慎核查,對(duì)發(fā)行人提供的資料和披露的內(nèi)容進(jìn)行獨(dú)立判斷。 保薦機(jī)構(gòu)所作的判斷與證券服務(wù)機(jī)構(gòu)的專業(yè)意見(jiàn)存在重大差異的,應(yīng)當(dāng)對(duì)有關(guān)事項(xiàng)進(jìn)行調(diào)查、復(fù)核,并可聘請(qǐng)其他證券服務(wù)機(jī)構(gòu)提供專業(yè)服務(wù)。 Article 30 If there is no content supporting the professional opinion of the securities service institution or its signatory in the application documents and documents for the issuance of securities and fund raising by the issuer, a sponsor institution shall obtain sufficient due diligence evidence to formulate its independent judgment on the information provided and content disclosed by the issuer on the basis of having prehensively analyzed various evidences, and shall have every reason to believe that there is no substantial difference between the judgement made by the securities service institution or its signatory and contents of the application documents and documents for the issuance of securities and fund raising by the issuer. 第三十條對(duì)發(fā)行人申請(qǐng)文件、證券發(fā)行募集文件中無(wú)證券服務(wù)機(jī)構(gòu)及其簽字人員專業(yè)意見(jiàn)支持的內(nèi)容,保薦機(jī)構(gòu)應(yīng)當(dāng)獲得充分的盡職調(diào)查證據(jù),在對(duì)各種證據(jù)進(jìn)行綜合分析的基礎(chǔ)上對(duì)發(fā)行人提供的資料和披露的內(nèi)容進(jìn)行獨(dú)立判斷,并有充分理由確信所作的判斷與發(fā)行人申請(qǐng)文件、證券發(fā)行募集文件的內(nèi)容不存在實(shí)質(zhì)性差異。 Article 31 In remending the issuer to issue securities, a sponsor institution shall make submissions of a sponsor letter for issuance, special power of attorney for sponsor representative, as well as other documents relating to sponsor business as required by the CSRC. The sponsor letter for issuance shall include the following: (1) Making an itemized specification of whether the issuance is in line with the conditions and procedures for issuance as prescribed in the Company Law and Securities Law. (2) Making an itemized specification of whether the issuance is in line with the relevant provisions of the CSRC, and indicating the verification process of every conclusion and the basis of facts。 (3) Major risks facing the issuer。 (4) Evaluation on the development prospects of the issuer。 (5) Description of internal check procedure of a sponsor institution and opinions on the internal check。 (6) Relationship of the sponsor and the issuer。 (7) Relevant mitments。 and(8) Other matters as required by the CSRC. 第三十一條保薦機(jī)構(gòu)推薦發(fā)行人發(fā)行證券,應(yīng)當(dāng)向中國(guó)證監(jiān)會(huì)提交發(fā)行保薦書、保薦代表人專項(xiàng)授權(quán)書以及中國(guó)證監(jiān)會(huì)要求的其他與保薦業(yè)務(wù)有關(guān)的文件。發(fā)行保薦書應(yīng)當(dāng)包括下列內(nèi)容: （一）逐項(xiàng)說(shuō)明本次發(fā)行是否符合《公司法》、《證券法》規(guī)定的發(fā)行條件和程序。 （二）逐項(xiàng)說(shuō)明本次發(fā)行是否符合中國(guó)證監(jiān)會(huì)的有關(guān)規(guī)定，并載明得出每項(xiàng)結(jié)論的查證過(guò)程及事實(shí)依據(jù)。 （三）發(fā)行人存在的主要風(fēng)險(xiǎn)。 （四）對(duì)發(fā)行人發(fā)展前景的評(píng)價(jià)。 （五）保薦機(jī)構(gòu)內(nèi)部審核程序簡(jiǎn)介及內(nèi)核意見(jiàn)。 （六）保薦機(jī)構(gòu)與發(fā)行人的關(guān)聯(lián)關(guān)系。 （七）相關(guān)承諾事項(xiàng)。 （八）中國(guó)證監(jiān)會(huì)要求的其他事項(xiàng)。 Article 32 In remending the issuer to list its securities, a sponsor shall make submissions to the stock exchange of the requisite sponsor letter for listing and other documents relating to the sponsor business, and file them with the CSRC. The sponsor letter for listing shall: (1) Make an itemized specification of whether the listing of securities is in line with the conditions for listing as prescribed in the Company Law, the Securities Law, and by the stock exchange。(2) Arrange for continuous supervision after listing of the issuer39。s securities。 (3) State the relationship of the sponsor institution and the issuer。 (4) Specify the relevant mitment。 and (5) List other matters as required by the CSRC or the stock exchange. 第三十二條保薦機(jī)構(gòu)推薦發(fā)行人證券上市,應(yīng)當(dāng)向證券交易所提交上市保薦書以及證券交易所要求的其他與保薦業(yè)務(wù)有關(guān)的文件,并報(bào)中國(guó)證監(jiān)會(huì)備案。上市保薦書應(yīng)當(dāng)包括下列內(nèi)容: （一）逐項(xiàng)說(shuō)明本次證券上市是否符合《公司法》、《證券法》及證券交易所規(guī)定的上市條件。 （二）對(duì)發(fā)行人證券上市后持續(xù)督導(dǎo)工作的具體安排。 （三）保薦機(jī)構(gòu)與發(fā)行人的關(guān)聯(lián)關(guān)系。 （四）相關(guān)承諾事項(xiàng)。 （五）中國(guó)證監(jiān)會(huì)或者證券