证券登记结算机构

证券登记结算机构应当按照规定以投资者本人的名义为投资者开立证券账户。

A securities registration and clearing institution shall , according to the relevant provisions , open a securities account for an investor in his own name .

共同对手方是指证券登记结算机构在结算过程中，同时作为所有买方的卖方和所有卖方的买方以完成交收的主体。

Common counterpart means the securities registration and clearing institution is a part that plays as the seller for all buyers and the buyer for all sellers at the same time to get through settlement .

证券登记结算机构为本办法所指质押物的法定登记机构。

The securities registration settlement institutions shall be the legal registration institutions for the pledged goods mentioned herein .

证券登记结算机构不得将客户的证券用于质押或者出借给他人。

Securities registration and settlement organizations shall not mortgage their clients ' securities or lend them to others .

证券登记结算机构应根据本管理办法制定相应规定。

The securities registration and clearing institutions shall , in accordance with the related measures , formulate the corresponding provisions .

证券登记结算机构或者证券公司应当出具书面查询结果并加盖业务专用章。

The securities depository and clearing institution or the securities company shall give written inquiry results with its business seal .

第一部分主要是介绍证券登记结算机构的民事法律地位及其职能研究。

The first part primarily introduces the civil legal status and auxiliary study of the securities registration and settlement agency .

第一百五十一条证券登记结算机构应当向证券发行人提供证券持有人名册及其有关资料。

Article 151 . Securities registration and settlement organizations shall supply the list of securities owners and other relevant information to the securities issuers .

第十七条合格投资者应当委托托管人，在证券登记结算机构代其申请开立一个证券账户。

Article 17 . QFII should mandate its custodian to apply for a securities account on its behalf with securities registration and settlement institution .

证券登记结算机构以风险基金赔偿后，应当向有关责任人追偿。

After paying compensations from its risk fund , the relevant securities registration and settlement organization shall seek compensations from those who are responsible for the losses .

第一百五十六条证券登记结算机构申请解散，应当经国务院证券监督管理机构批准。

Article 156 . Before filing for dissolution , securities registration and settlement organizations shall attain prior approval from the securities regulatory body under the State Council .

第一百五十三条证券登记结算机构应当妥善保存登记、托管和结算的原始凭证。

Article 153 . Securities registration and settlement organizations shall properly keep the original evidences for the registration and safekeeping of securities , and settlement of stock transactions .

第一百四十六条证券登记结算机构为证券交易提供集中的登记、托管与结算服务，是不以营利为目的的法人。

Article 146 . Securities registration and settlement organizations are non ? profit legal entities that provide centralized services including registration and safekeeping of securities , and settlement of stock transactions .

结算风险基金用于因技术故障、操作失误、不可抗力造成的证券登记结算机构的损失。

The settlement risk fund shall be used to pay for losses incurred by the securities registration and settlement organization due to technical malfunctions , operational mistakes , and other uncontrollable factors .

查询机关对查询结果有疑问时，证券登记结算机构、证券公司在必要时应当进行书面解释并加盖业务专用章。

Where the inquiry organ holds any doubts about the inquiry results , the securities depository and clearing institution and the securities company shall , when necessary , issue written explanations with its business seal .

证券登记结算机构章程、业务规则应当依法制定，并须经国务院证券监督管理机构批准。

Securities registration and settlement organizations shall formulate their organization articles and rules of operations according to law , and must attain prior approval from the securities regulatory body under the State Council in this regard .

执法人员证件齐全、手续完备的，证券登记结算机构或者证券公司应当签收有关法律文书并协助办理有关事项。

Where the law enforcement officers have presented compete certificates and fulfilled required procedures , the securities depository and clearing institution or the securities company shall sign for relevant legal documents and assist in relevant issues .

证券登记结算机构应当根据证券登记结算的结果，确认证券持有人持有证券的事实，提供证券持有人登记资料。

In accordance with the actual registrations of securities and settlement of stock transactions , securities registration and settlement organizations shall verify the amount of various securities held by securities owners and supply the registered list of securities owners .

轮候冻结生效后，协助冻结的证券登记结算机构或者证券公司应当书面通知做出该轮候冻结的机关。

When the freeze waiting in sequence becomes effective , the securities depository and clearing institution or the securities company which assists in the freeze shall inform in writing the authority that has waited in sequence for the freeze .

第九十条采取协议收购方式的，协议双方可以临时委托证券登记结算机构保管协议转让的股票，并将资金存放于指定的银行。

Article 90 . For the purchases under agreement , either party of the agreement may temporarily entrust the institutions of securities registration and account balancing with safekeeping the agreed transfer securities , and deposit the capital into the designated bank .

近几年的国债回购事件对券商和证券登记结算机构乃至对整个证券金融市场的冲击正是我国证券结算风险控制建设存在缺陷带来的直接后果。

National debt buy-back incident in recent years to securities trader , securities registration and settlement organization and even impact to the financial market , that is of our country security clearing risk that is it build store in the direct consequence that the defect brings to control .

第一百二十六条因违法行为或者违纪行为被开除的证券交易所、证券登记结算机构、证券公司的从业人员和被开除的国家机关工作人员，不得招聘为证券公司的从业人员。

Article 126 . Employees of a stock exchange , a stock registration and accounting institution , and a securities company , as well as government functionaries who are fired for violation of law or discipline are not allowed to be recruited by securities companies .

（一）因违法行为或者违纪行为被解除职务的证券交易所、证券登记结算机构的负责人或者证券公司的董事、监事、经理，自被解除职务之日起未逾五年；

Persons in charge of a stock exchange or a stock registration and accounting institution , members of the board of directors or the board of supervisors , and managers who have been removed from their posts for violation of law or discipline within the last five years .

第三十八条证券交易所、证券公司、证券登记结算机构必须依法为客户所开立的帐户保密。

Article 38 . Stock exchanges , securities companies , and securities registration and settlement institutions shall keep their client accounts confidential in accordance with the law .

第九条国家审计机关对证券交易所、证券公司、证券登记结算机构、证券监督管理机构，依法进行审计监督。

Article 9 . According to law , the state auditing organ shall supervise by auditing the accounts of stock exchanges , securities companies , securities registration and settlement organizations , and securities supervision and administration organizations .

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 .

（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 ;

第一百五十条证券持有人所持有的证券上市交易前，应当全部托管在证券登记结算机构。

Article 150 . Before selling their listed securities , owners of the securities shall leave all their securities to be transacted with a securities registration and settlement organization which will hold them in trust .

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 ;