证券服务机构

文章第一部分以证券服务机构为中心，概述了信息披露规则下的证券服务机构民事责任主体和法律地位。

The first section of this article focuses on the securities service agencies and provides an overview of their legal status in legal relationship under the securities information disclosure rule .

第二部分从民事责任性质和规则原则入手，明确了证券服务机构虚假陈述的责任性质为侵权责任并适用过错推定原则。

The second section discusses the nature and criterion of civil liability and points out that the false statement is a kind of tort and the principle of presumed-fault liability shall be applied .

作为证券服务机构的证券公司面对日益增长的资本市场投资服务的需求，现阶段只单纯通过增加营业部的粗放式经营来满足投资者需求。

The securities as securities services companies face the growing demand for capital market investment services , at this stage simply by increasing the sales department only the extensive operation to meet the needs of investors .

第八章证券交易服务机构

Chapter VIII . Stock Exchange Service Organizations

花旗集团（Citigroup）旗下证券与基金服务机构CitiTrust的亚洲首席执行官斯图尔特攠尔德克罗夫特（StewartAldcroft）表示：“很少有合资企业在中国取得成功。大多合资企业都处于二流甚至更低位置，（而且）由中方合作伙伴主导。”

Stewart Aldcroft , Asia chief executive of CitiTrust , Citigroup 's securities and fund services business , said : " Very few joint-venture companies have succeeded in China . Most are second tier or lower , [ and ] have been dominated by the local Chinese partner .

证券市场专业服务机构虚假信息民事责任的请求权基础

Basis of Claim Right over Civil Liability of False Statement of Professional Institutions of Securities Market

对银行、证券等金融服务机构提出了新的挑战和机遇。

EC brings up many challenges and opportunities on banks , securities markets , and other financial institutions .

在欧美发达国家，已出现了多家提供网上证券交易服务的机构，取得了良好的业绩。

Developed countries in Europe and America , have emerged to provide a number of online securities trading services , and have achieved good performance .

证券服务部由派出机构实施属地监管，证券服务部下列变更事项应报请派出机构批准。

Securities service departments shall be regulated and supervised by the branches within their jurisdiction and the following items shall be submitted to the branches for approval .

第三章研究了操纵行为民事责任主体。分别分析了个人、证券商、上市公司、证券专业服务机构承担民事责任的情形。

Chapter 3 focused on the cases under which , individual , securities company , listed corporation , securities professional service institution should take the civil liability .

第七十七条证券交易所、证券公司、证券登记结算机构、证券交易服务机构、社会中介机构及其从业人员对证券交易中发现的禁止的交易行为，应当及时向证券监督管理机构报告。

Article 77 . Securities exchanges , securities companies , organs for securities registration and account settlement , and organs providing security trading services , intermediary organs and their workers must promptly report to securities regulatory organs any trading activity banned in securities trading .

禁止证券交易所、证券公司、证券登记结算机构、证券交易服务机构、社会中介机构及其从业人员，证券业协会、证券监督管理机构及其工作人员，在证券交易活动中作出虚假陈述或者信息误导。

During securities trading , securities exchanges , securities companies , organs for securities registration and settlement , organs providing securities trading services , and intermediary organs and their workers , and securities regulatory organs and their workers are now allowed to give falsified statements or provide misleading information .

但近年来，证券发行市场和交易市场虚假陈述的案例层出不穷，很多证券服务机构和从业人员也参与其中，给投资者财产造成巨大损失。

However , in recent years , more and more false statement issues arise in the securities market .

（六）由于法定职责而参与证券交易的社会中介机构或者证券登记结算机构、证券交易服务机构的有关人员；

Personnel of intermediary organs , organs of securities registration and settlement , and organs providing security exchange services , who take part in securities trading because of their official responsibilities ;

对证券发行人、上市公司、证券公司、证券投资基金管理公司、证券服务机构、证券交易所、证券登记结算机构进行现场检查；

Carrying an on-the-spot examination of a securities issuer , listing company , securities company , securities investment fund management company , securities trading service company , stock exchange or securities registration and clearing institution ;