证券登记

我国证券登记结算制度及其影响分析

An Analysis of China 's Securities Registration & Settlement System , as Well as Its Impact

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 .

甲方：中国证券登记结算有限责任公司。

Party a : china Securities Depository and Clearing Corporation limited .

证券登记机构在法律上应当定位为特殊的公益法人。

The register should be legally defined as a special public corporation .

条寄交本公司的股份过户登记分处标准证券登记有限公司。

Share registrars in Hong Kong , Standard Registrars Limited , using this aerogram .

因此在商事登记制度中，证券登记制度应是重要的内容之一。

So , in the system of commerce registration , the system of security registration should very important .

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 .

第二章概述证券登记与存管体制，厘清证券登记法律关系与证券存管法律关系的主体、内容等。

The other parts are as follows : Chapter two analyzes the legal relations in securities registration and depository .

证券登记机构应向贷款人出具股票质押登记书面证明。

The securities registry institution shall issue to the loaner the written certification on the registration of stock pledge .

第一百四十九条证券登记结算采取全国集中统一的运营方式。

Article 149 . Registration of securities and settlement of stock transactions shall be centralized and unified in China .

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 .

此外，中国证券登记结算公司还把A股交易过户费下调了大约三分之一。

China Securities Depository and Clearing , the state-backed clearing house , also cut its transfer fee by about a third .

（二）具有证券登记、托管和结算服务所必须的场所和设施；

It has premises and facilities required for rendering services including registration and safekeeping of securities , and settlement of stock transactions .

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 .

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 .

证券登记程序包括当事人提出申请、证券登记机构进行审查、电子记载三个步骤。

The procedure of securities registration including three steps : the application submited by the parties , the review of securities registration institutions , and the electron records .

证券登记结算环节是紧紧围绕交易环节的运行体系，是证券市场风险传输的重要通道，证券登记结算体系的模式的安全性直接制约着证券交易系统的安全性。

It is an important channel which transfers the risk in the stock market . The security in exchange system is restricted by the security model of clearing settlements system .

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 .

借款人和贷款人签订质押贷款合同后，双方应同时在证券登记机构办理出质登记。

After signing the contract of the pledged loan by and between the lender and the borrower , both parties shall concurrently go through pledge registration at the securities registry institution .

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 .

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 .