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公司法与商法 Part A - China's legal system

公司法与商法 Part A - China's legal system


CHAPTER ONE Court Structure

Supreme people’s court 最高人民法院
? The highest judicial institution of the state.最高人民 法院是国家最高审判机关。 ? It independently exercises the highest judicial right according to the law and without any interruption by administrative organs, social organizations or individuals. ? The president of the Supreme People's Court is elected by the NPC and remains in office for no more than two successive terms with each term of five years.

? 《中华人民共和国人民法院组织法》(Organic Law)
– 第十二条:死刑除依法由最高人民法院判决的以外,应当报请最 高人民法院核准。

– 第十六条:最高人民法院对全国人民代表大会和全国人民代表大 会常务委员会负责并报告工作。地方各级人民法院对本级人民代

Supreme people’s court 最高人民法院
? the Supreme People's Court is charged with three responsibilities:
– Trying审判 cases that have the greatest influence in China, hearing appeals against the legal decisions of higher courts, and trying the cases the Supreme People's Court claims are within its original jurisdiction. – supervising the work of local courts and special courts at every level, overruling wrong judgments they might have made, and deciding interrogations and reviewing cases tried by the lower courts. – giving judicial explanations of the specific utilization of laws in the judicial process that must be carried out nationwide.

? 第三十一条 最高人民法院审判下列案件: (一)法律、法令规定由它管辖的和它认为 应当由自己审判的第一审案件; (二)对高级人民法院、专门人民法院判决 和裁定的上诉案件和抗诉案件; (三)最高人民检察院按照审判监督程序提 出的抗诉案件。 ? 第三十二条 最高人民法院对于在审判过程中 如何具体应用法律、法令的问题,进行解释。

The higher people’s court 高级人民法院
? The Higher People's Courts are courts of provinces, autonomous regions and municipalities directly under the Central Government. ? A higher people‘s court deals with cases of the first instance assigned by laws and decrees, cases of the first instance transferred from people’s courts at the next lower level, cases of appeals上诉 and of protests抗诉 lodged against judgments and orders of people‘s courts at the next lower level, and cases of protests lodged by people’s procuratorates人民检 察院. ? 高级人民法院也管辖少量的第一审民事案件,即管辖在本 辖区内有重大影响的民事案件。

The higher people’s court 高级人民法院
? 《中华人民共和国人民法院组织法》第二十五条规定, 高级人民法院包括: (一)省高级人民法院; (二)自治区高级人民法院; (三)直辖市高级人民法院。 ? 第二十七条 高级人民法院审判下列案件: (一)法律、法令规定由它管辖的第一审案件; (二)下级人民法院移送审判的第一审案件; (三)对下级人民法院判决和裁定的上诉案件和抗诉 案件; (四)人民检察院按照审判监督程序提出的抗诉案件。

Intermediate people’s court 中级人民法院
? They are the courts established in capitals or prefectures in the provincial level. ? The scope of jurisdiction by an intermediate people's court covers cases of first instance assigned by laws and decrees, cases of first instance transferred from the basic people's courts, and appealed and protested cases from the lower court.

Intermediate people’s court 中级人民法院
? 《中华人民共和国人民法院组织法》第二十二条规定, 中级人民法院包括: (一)在省、自治区内按地区设立的中级人民法院; (二)在直辖市内设立的中级人民法院; (三)省、自治区辖市的中级人民法院; (四)自治州中级人民法院。 ? 第二十四条 中级人民法院审判下列案件: (一)法律、法令规定由它管辖的第一审案件; (二)基层人民法院移送审判的第一审案件; (三)对基层人民法院判决和裁定的上诉案件和抗诉 案件; (四)人民检察院按照审判监督程序提出的抗诉案件。

The basic people’s court 基层人民法院
? The basic courts, as the lowest level, are normally located at the county, municipal districts and autonomous counties. ? A basic people‘s court may set up a number of people’s tribunal人民法庭 according to the conditions of the locality, population and cases involved. ? The basic people‘s court adjudicates裁定 all criminal and civil cases of the first instance except where the law provides otherwise. Besides trying cases, a basic people's court is also responsible for settling civil disputes, handling minor criminal cases that do not require formal handling, and directing the work of the people's mediation committees.

The basic people’s court 基层人民法院
? 第十七条 基层人民法院包括: (一)县人民法院和市人民法院;
(二)自治县人民法院; (三)市辖区人民法院。

? 第十九条 基层人民法院根据地区、人口和案件情况可以 设立若干人民法庭。人民法庭是基层人民法院的组成部分, 它的判决和裁定就是基层人民法院的判决和裁定。 ? 第二十条 基层人民法院审判刑事和民事的第一审案件, 但是法律、法令另有规定的案件除外。 基层人民法院对它所受理的刑事和民事案件,认为案情重 大应当由上级人民法院审判的时候,可以请求移送上级人 民法院审判。 ? 第二十一条 基层人民法院除审判案件外,并且办理下列 事项: (一)处理不需要开庭审判的民事纠纷和轻微的刑事案件;
(二)指导人民调解委员会的工作。

Jurisdiction by forum levels 级别管辖
CIVIL PROCEDURE LAW OF THE PEOPLE‘S REPUBLIC OF CHINA 中华人民共和国民事 诉讼法
? Article 18 The basic people's courts shall have jurisdiction as courts of first instance over civil cases, unless otherwise provided in this Law. ? 第十八条 基层人民法院管辖第一审民事案件, 但本法另有规定的除外。

? Article 19 The intermediate people's courts shall have jurisdiction as courts of first instance over the following civil cases:

(1) major cases involving foreign element;
(2) cases that have major impact on the area under their jurisdiction; and (3) cases as determined by the Supreme People's Court to be under the jurisdiction of the intermediate people's courts. ? 第十九条 中级人民法院管辖下列第一审民事案件: (一)重大涉外案件; (二)在本辖区有重大影响的案件; (三)最高人民法院确定由中级人民法院管辖的案件。

? Article 20 The high people's courts shall have jurisdiction as courts of first instance over civil cases that have major impact on the areas under their jurisdiction. ? 第二十条 高级人民法院管辖在本辖区有重大影 响的第一审民事案件。

? Article 21 The Supreme People's Court shall have jurisdiction as the court of first instance over the following civil cases: (1) cases that have major impact on the whole country; and (2) cases that the Supreme People's Court deems it should try. ? 第二十一条 最高人民法院管辖下列第一审民事案件: (一)在全国有重大影响的案件; (二)认为应当由本院审理的案件。

Territorial jurisdiction 地域管辖
? Article 22 A civil lawsuit brought against a citizen shall be under the jurisdiction of the people‘s court of the place where the defendant被告 has his domicile; if the place of the defendant's domicile is different from that of his habitual residence, the lawsuit shall be under the jurisdiction of the people's court of the place of his habitual residence. A civil lawsuit brought against a legal person or any other organization shall be under the jurisdiction of the people's court of the place where the defendant has his domicile. Where the domiciles or habitual residences of several defendants in the same lawsuit are in the areas under the jurisdiction of two or more people's courts, all of those people's courts shall have

? 第二十二条 对公民提起的民事诉讼,由被告 住所地人民法院管辖;被告住所地与经常居住 地不一致的,由经常居住地人民法院管辖。 对法人或者其他组织提起的民事诉讼,由 被告住所地人民法院管辖。 同一诉讼的几个被告住所地、经常居住地 在两个以上人民法院辖区的,各该人民法院都 有管辖权。

? Article 23 The civil lawsuits described below shall be under the jurisdiction of the people‘s court of the place where the plaintiff has his domicile; if the place of the plaintiff's domicile is different from that of his habitual residence, the lawsuit shall be under the jurisdiction of the people's court of the place of the plaintiff's habitual residence: (1) those concerning personal status brought against persons not residing within the territory of the People's Republic of China; (2) those concerning the personal status of persons whose whereabouts are unknown or who have been declared as missing; (3) those brought against persons who are undergoing rehabilitation through labor; and (4) those brought against persons who are in imprisonment.

? 第二十三条 下列民事诉讼,由原告住所地人 民法院管辖;原告住所地与经常居住地不一致 的,由原告经常居住地人民法院管辖: (一)对不在中华人民共和国领域内居住 的人提起的有关身份关系的诉讼; (二)对下落不明或者宣告失踪的人提起 的有关身份关系的诉讼; (三)对被劳动教养的人提起的诉讼; (四)对被监禁的人提起的诉讼。

? Article 24 A lawsuit brought on a contract dispute shall be under the jurisdiction of the people's court of the place where the defendant has his domicile or where the contract is performed. ? 第二十四条 因合同纠纷提起的诉讼,由被告住 所地或者合同履行地人民法院管辖。

? Article 25 The parties to a contract may agree to choose in their written contract the people's court of the place where the defendant has his domicile, where the contract is performed, where the contract is signed, where the plaintiff has his domicile or where the object of the action is located to exercise jurisdiction over the case, provided that the provisions of this Law regarding jurisdiction by forum level and exclusive jurisdiction are not violated. ? 第二十五条 合同的双方当事人可以在书面合同中协议选 择被告住所地、合同履行地、合同签订地、原告住所地、 标的物所在地人民法院管辖,但不得违反本法对级别管辖 和专属管辖的规定。

? Some Provisions of Supreme People‘s Court on

Trying Cases Involving False Statements Related to Securities Market 最高 人民法院关于审理证券市场因虚假陈述引发的民事赔偿案 件的若干规定
– Article 8 Actions involving false statements in the securities market is under the jurisdiction of the Intermediate People's courts of the city, where the government of province, municipality directly under the Central Government, autonomous region lies in, and the Intermediate People's courts of municipality with independent planning status, and special economic zone. – 第八条 虚假陈述证券民事赔偿案件,由省、直辖市、自治区人 民政府所在的市、计划单列市和经济特区中级人民法院管辖。

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Article 9 If there are multiple defendants in an action involving false statements in the securities market, the jurisdiction of this action can be determined according to the following principles: (1) The Intermediate People's Courts of the city, where the issuer or the publicly listed company lies in, shall have the jurisdiction, with the exception of the situation as stipulated in section 2 of Article 10. (2) Actions against a party disseminating false statements (apart from the issuer or publicly listed company) should be heard by the Intermediate People's Courts of the defendant's domicile. (3) If the defendant is a natural person, the Intermediate People's Courts of the defendant's domicile shall have the jurisdiction. 第九条 投资人对多个被告提起证券民事赔偿诉讼的,按下列原则确定管辖: (一)由发行人或者上市公司所在地有管辖权的中级人民法院管辖。但有 本规定第十条第二款规定的情形除外。 (二)对发行人或者上市公司以外的虚假陈述行为人提起的诉讼,由被告 所在地有管辖权的中级人民法院管辖。 (三)仅以自然人为被告提起的诉讼,由被告所在地有管辖权的中级人民 法院管辖。

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Article 10 After the People's Court accepts the action involving false statements in the securities market against the party disseminating false statements (apart from an issuer or a publicly listed company), on the application of the plaintiff or upon receiving the approval of all plaintiffs, the Court can add the issuer or the publicly listed company as a joint defendant, and transfer the case to the Intermediate People's courts where the issuer or the listed company lies in. If the plaintiff does not apply or the plaintiffs do not agree to add the defendant, but the Court is of the opinion that it is necessary to add the defendant, the Court should inform the issuer or the publicly listed company that it has been added as a joint defendant in the action, but it should not transfer the action. 第十条 人民法院受理以发行人或者上市公司以外的虚假陈述行为人为被告 提起的诉讼后,经当事人申请或者征得所有原告同意后,可以追加发行人或 者上市公司为共同被告。人民法院追加后,应当将案件移送发行人或者上市 公司所在地有管辖权的中级人民法院管辖。 当事人不申请或者原告不同意追加,人民法院认为确有必要追加的,应 当通知发行人或者上市公司作为共同被告参加诉讼,但不得移送案件。

Exclusive jurisdiction 专属管辖权
? Article 34 The following cases shall be under the exclusive jurisdiction of the people's courts herein specified: (1) a lawsuit brought on a dispute over real estate shall be under the jurisdiction of the people's court of the place where the estate is located; (2) a lawsuit brought on a dispute over harbor operations shall be under the jurisdiction of the people's court of the place where the harbor is located; and (3) a lawsuit brought on a dispute over succession shall be under the jurisdiction of the people's court of the place where the decedent had his domicile upon his death, or where the principal part of his estate is located. ? 第三十四条 下列案件,由本条规定的人民法院专属管辖: (一)因不动产纠纷提起的诉讼,由不动产所在地人民法 院管辖; (二)因港口作业中发生纠纷提起的诉讼,由港口所在地 人民法院管辖; (三)因继承遗产纠纷提起的诉讼,由被继承人死亡时住

Jurisdiction by transfer & designation 移送管辖和指定管辖
? Article 36 If a people's court finds that a case it has entertained is not under its jurisdiction, it shall refer the case to the people's court that has jurisdiction over the case. The people's court to which a case has been referred shall entertain the case, and if it considers that, according to the relevant regulations, the case referred to it is not under its jurisdiction, it shall report to a superior people's court for the designation of jurisdiction and shall not independently refer the case again to another people's court.
? 第三十六条 人民法院发现受理的案件不属于本院管辖的, 应当移送有管辖权的人民法院,受移送的人民法院应当受 理。受移送的人民法院认为受移送的案件依照规定不属于 本院管辖的,应当报请上级人民法院指定管辖,不得再自

? Article 37 If a people's court which has jurisdiction over a case is unable to exercise the jurisdiction for special reasons, a superior people's court shall designate another court to exercise jurisdiction. In the event of a jurisdictional dispute between two or more people's courts, it shall be resolved by the disputing parties through consultation; if the dispute cannot be so resolved, it shall be reported to their common superior people's court for the designation of jurisdiction. ? 第三十七条 有管辖权的人民法院由于特殊原因,不能行 使管辖权的,由上级人民法院指定管辖。 人民法院之间因管辖权发生争议,由争议双方协商解 决;协商解决不了的,报请它们的共同上级人民法院指定 管辖。

? Article 38 If a party to an action objects to the jurisdiction of a people's court after the court has entertained the case, the party must raise the objection within the period prescribed for the submission of defence. The people's court shall examine the objection. If the objection is established, the people's court shall order the case to be transferred to the people's court that has jurisdiction over it; if not, the people's court shall reject it. ? 第三十八条 人民法院受理案件后,当事人对管辖权有异 议的,应当在提交答辩状期间提出。人民法院对当事人提 出的异议,应当审查。异议成立的,裁定将案件移送有管 辖权的人民法院;异议不成立的,裁定驳回。

? Article 39 The people's courts at higher levels shall have the power to try civil cases over which the people's courts at lower levels have jurisdiction as courts of first instance; they may also transfer civil cases over which they themselves have jurisdiction as courts of first instance to people's courts at lower levels for trial. If a people's court at a lower level that has jurisdiction over a civil case as court of first instance deems it necessary to have the case to be tried by a people's court at a higher level, it may submit it to and request the people's court at a higher level to try the case. ? 第三十九条 上级人民法院有权审理下级人民法院管辖的 第一审民事案件,也可以把本院管辖的第一审民事案件交 下级人民法院审理。 下级人民法院对它所管辖的第一审民事案件,认为需 要由上级人民法院审理的,可以报请上级人民法院审理。

CHAPTER TWO Sources of Law

Constitutional law 宪法
? The constitution is the highest & fundamental law of the PRC. ? It establishes the framework and principles of government, and lists the fundamental rights and duties of Chinese citizens. ? The current version was adopted by the 5th National People's Congress on December 4, 1982 with further revisions in 1988, 1993, 1999, and 2004. ? 宪法是由全国人民代表大会依特别程序制定的具有最高效 力的根本法。宪法是我国的根本大法,在我国法律体系中 具有最高的法律地位和法律效力,是我国最高的法律渊源。

Laws 法律
? Laws, resolutions决议, orders enacted by the NPC and its Standing Committee. ? The NPC and its Standing Committee has the highest legislative authority. ? 法律是指由全国人民代表大会和全国人民代表大 会常务委员会制定颁布的规范性法律文件,即狭 义的法律,其法律效力仅次于宪法。

Regulations 行政法规
? Rules & regulations are enacted by State Council. ? Under the current Constitution, the State Council exercises the power of administrative legislation, the power to submit proposals, the power of administrative leadership, the power of economic management, the power of diplomatic administration, the power of social administration, and other powers granted by the NPC and its Standing Committee. ? 行政法规是国家最高行政机关国务院根据宪法和法律就有 关执行法律和履行行政管理职权的问题,以及依据全国人 大的特别授权所制定的规范性文件的总称。 ? 地方性法规是指依法由有地方立法权的地方人民代表大会 及其常委会就地方性事务以及根据本地区实际情况执行法 律、行政法规的需要所制定的规范性文件。

Substantive Law 实体法
? Substantive law is a statutory law that deals with the legal relationship between people or the people and the state. Therefore, substantive law defines the rights and duties of the people, but procedural law lays down the rules with the help of which they are enforced. The differences between the two need to be studied in greater detail, for better understanding. ? 实体法是指规定具体权利义务内容或者法律保护 的具体情况的法律,如民法、合同法、婚姻法、 公司法等。

Procedual Law 程序法
? Procedural law comprises the set of rules that govern the proceedings of the court in criminal lawsuits as well as civil and administrative proceedings. ? 程序法是规定以保证权利和职权得以实现或行使, 义务和责任得以履行的有关程序为主要内容的法 律,如行政诉讼法、行政程序法、民事诉讼法、 刑事诉讼法、立法程序法等。

Procedural Law vs Substantive Law
Procedural Law Substantive Law

Structure:

Elaborates on the steps which the case passes through
Creates the machinery for the enforcement No independent powers Can be applied in non legal contexts

Deals with the structure and facts of the case
Defines the rights and duties of citizens Independent powers to decide the fate of a case Cannot be applied in non legal contexts

Enforcement:

Powers:

Application:

Common Law 普通法/习惯法
? Common law is a legal system that is largely formed by the decisions previously made by courts and not imposed by legislatures or other government officials. ? 与欧陆法系相比,英美法系多采不成文法,尤 其是判例法,强调“遵循先例”原则;审判中 采取当事人进行主义和陪审团制度,对于司法 程序比较重视;法律制度和法学理论的发展往 往依赖司法实务人员(尤其是高等法院法官) 的推动,即法官实质上通过做出判决起到了司 法的效果。

Statutory Law 成文法
? Statutory law is the written law established by enactments expressing the will of the legislature, as distinguished from the unwritten law or common law. ? 成文法主要是指国家机关根据法定程序制定发布 的具体系统的法律文件。

Common Law vs Statutory Law
Common Law Creation of new laws: The law evolves with new decisions made by judges in courts. Procedural Case law 判例法 Instructive 启发的 Precedent or judiciary Statutory Law New laws are issued by various government agencies. Substantive Written law 成文法 Prescriptive 规定的 Government or legislature

Operational Level: Also known as: Nature: Origin:

Public law 公法
? Those laws which regulate the structure and administration of the government, the conduct of the government in its relations with its citizens, the responsibilities of government employees and the relationships with foreign governments. ? 公法是配置和调整公权力的法律规范的总和。

Private Law 私法
? Private law is the branch of law that governs individuals' relationships with each other. It relates to an individual's obligations to the state and to society as a whole. Private law governs tort liability as well as contracts cases. ? 指的是规范私权关系、保护私人利益的法律,如民法、 商法等。

Public Law vs Private Law
? 公法与私法的划分是大陆法系国家所公认的基本法律分类。 ? 宪法、刑法、行政法、国际法为公法,民法,广义上包括商 法、劳动法和其他民事特别法为私法。
– 在固有性质上,私法是以个人与个人之间的平等和自决即私法自治 为基础,规定个人与个人之间的关系。国家原则上不作干预,只在 发生纠纷不能协商解决时,才由司法机关出面进行裁决。它所强调 的是平等与自治,直接维护个人利益。与之相对的公法,则规定国 家、被赋予公共权力的机关团体之间的关系,它们与它们的成员之 间的关系,以及它们自身的组织结构。它所强调的是强制与服从, 直接维护公共利益。 – 在调整方式上,私法通过广泛的授权性规定,最大程度地将民事权 利的行使交由权利人自我决定,由权利人自享利益也自担风险。与 之相对的公法,更多具有的是强制性、禁止性的规范。

Civil Law 民法
? Civil law seeks to resolve non-criminal disputes such as disagreements over the meaning of contracts, property ownership, divorce, child custody, and damages for personal and property damage. ? 是规定并调整平等主体的公民间、法人间及其他非法 人组织之间的财产关系和人身关系的法律规范的总称。

Civil Law
? GENERAL PRINCIPLES OF THE CIVIL LAW

OF THE PEOPLE'S REPUBLIC OF CHINA 中华 人民共和国民法通则
– Article 2. The Civil Law of the People's Republic of China shall adjust property relationships and personal relationships between civil subjects with equal status, that is, between citizens, between legal persons and between citizens and legal persons. – 第二条 中华人民共和国民法调整平等主体的公民之 间、法人之间、公民和法人之间的财产关系和人身 关系。

Criminal Law 刑法
? Criminal law is the body of rules and statutes defining the offences against the community at large. ? It regulates how suspects are investigated, charged and tried. The law also provides the punishments for convicted offenders. ? 刑法是规定犯罪、刑事责任和刑罚的法律,是掌 握政权的统治阶极为了维护本阶级政治上的统治 和经济上的利益,根据其阶级意志,规定哪些行 为是犯罪并应当负刑事责任,给予犯罪人何种刑 事处罚的法律。

Criminal Law of the People's Republic of China (97 Revision)
? Article 158. Using forged certifications to apply for company registration or using other fraudulent means to falsely declare registered capital with intent to deceive company registration departments, where the registered capital so falsely declared is large in figures with serious consequences or of a severe nature, shall be punished by imprisonment or criminal detention of less than three years, with a fine or a separately imposed fine of over 1 percent but less than 5 percent of the falsely declared registered capital. Units committing offenses under the preceding paragraph shall be punished with a fine, with personnel directly in charge and other directly responsible personnel being punished with imprisonment or criminal detention of less than three years.

? 第一百五十八条 【虚报注册资本罪】申请公 司登记使用虚假证明文件或者采取其他欺诈手 段虚报注册资本,欺骗公司登记主管部门,取 得公司登记,虚报注册资本数额巨大、后果严 重或者有其他严重情节的,处三年以下有期徒 刑或者拘役,并处或者单处虚报注册资本金额 百分之一以上百分之五以下罚金。 ? 单位犯前款罪的,对单位判处罚金,并对 其直接负责的主管人员和其他直接责任人员, 处三年以下有期徒刑或者拘役。

? Article 159. Company promoters, shareholders who, in violation of provisions under the Company law, fail to pay up with currency notes, provide actual property, or transfer property rights; or falsely claim to have paid up the capital; or withdraw their capital upon registration of company, where the amount involved is large with serious consequences or of a serious nature, shall be punished with imprisonment or criminal detention of less than five years, with a fine or a separately imposed fine of over 2 percent but less than 10 percent of the amount of capital so falsely claimed to have been paid up or so withdrawn. ? Units committing offenses under the preceding paragraph shall be punished with a fine, with personnel directly in charge and other directly responsible personnel being punished with imprisonment or criminal detention of less than five

? 第一百五十九条 【虚假出资、抽逃出资罪】公司发 起人、股东违反公司法的规定未交付货币、实物或者 未转移财产权,虚假出资,或者在公司成立后又抽逃 其出资,数额巨大、后果严重或者有其他严重情节的, 处五年以下有期徒刑或者拘役,并处或者单处虚假出 资金额或者抽逃出资金额百分之二以上百分之十以下 罚金。 ? 单位犯前款罪的,对单位判处罚金,并对其直接 负责的主管人员和其他直接责任人员,处五年以下有 期徒刑或者拘役。

? Article 160. Concealment of material facts or fabrication of major fraudulent contents in sharesoliciting prospectuses, share-subscription applications, and bond solicitation by companies and enterprises for the purpose of issuing shares or company or enterprise bonds shall, in cases involving large amounts, with serious consequences, or of a serious nature, be punished with imprisonment or criminal detention of less than five years, with a fine or a separately imposed fine of over 1 percent and less than 5 percent of the illegally raised capital. ? Units committing offenses under the preceding paragraph shall be punished with a fine, with personnel directly in charge and other personnel directly responsible being punished with

? 第一百六十条 【欺诈发行股票、债券罪】在 招股说明书、认股书、公司、企业债券募集办 法中隐瞒重要事实或者编造重大虚假内容,发 行股票或者公司、企业债券,数额巨大、后果 严重或者有其他严重情节的,处五年以下有期 徒刑或者拘役,并处或者单处非法募集资金金 额百分之一以上百分之五以下罚金。 ? 单位犯前款罪的,对单位判处罚金,并对 其直接负责的主管人员和其他直接责任人员, 处五年以下有期徒刑或者拘役。

? Article 161. Personnel directly in charge and other directly responsible personnel of a company that presents false financial accounts or financial accounts with concealment of material facts to its shareholders and members of the public, that seriously hurt their interests, shall be punished with imprisonment or criminal detention of less than three years, with a fine or a separately imposed fine of over 20,000 yuan and less than 200,000 yuan.

? 第一百六十一条 【提供虚假财会报告罪】公司 向股东和社会公众提供虚假的或者隐瞒重要事实 的财务会计报告,严重损害股东或者其他人利益 的,对其直接负责的主管人员和其他直接责任人 员,处三年以下有期徒刑或者拘役,并处或者单 处二万元以上二十万元以下罚金。

? Article 162. Personnel directly in charge and other directly responsible personnel of a company or an enterprise that, during its liquidation process, conceal property or make false entries in its balance sheet or asset list, or distribute company or enterprise assets before repaying debts that seriously hurt the interests of creditors and other people, shall be punished with imprisonment or criminal detention of less than five years, with a fine or a separately imposed fine of over 20,000 yuan but less than 200,000 yuan.

? 第一百六十二条 【妨害清算罪】公司、企业进 行清算时,隐匿财产,对资产负债表或者财产清 单作虚伪记载或者在未清偿债务前分配公司、企 业财产,严重损害债权人或者其他人利益的,对 其直接负责的主管人员和其他直接责任人员,处 五年以下有期徒刑或者拘役,并处或者单处二万 元以上二十万元以下罚金。

? Article 163. Enterprise work personnel who make use of their job opportunity to demand property from others, or illegally receive others property in exchange for benefits, shall, in cases involving relatively large amounts, be punished with imprisonment or criminal detention for less than five years; for cases involving a large amount, with imprisonment of over five years, and may be subject to forfeiture of property. ? Company and enterprise work personnel, who, in the course of economic contacts, receive personal kick-backs and commissions in various forms in violation of state rules, shall be punished according to provisions under the preceding paragraph. Personnel performing public duties in state-owned companies and enterprises, and personnel assigned by state- owned companies and enterprises to non-state-owned companies and enterprises for performance of public duties found to be committing the acts mentioned in the two preceding paragraphs, shall be convicted and punished according to provisions under Articles

? 第一百六十三条 【公司、企业人员受贿罪】公司、企业 的工作人员利用职务上的便利,索取他人财物或者非法收 受他人财物,为他人谋取利益,数额较大的,处五年以下 有期徒刑或者拘役;数额巨大的,处五年以上有期徒刑, 可以并处没收财产。 ? 公司、企业的工作人员在经济往来中,违反国家规定, 收受各种名义的回扣、手续费,归个人所有的,依照前款 的规定处罚。 ? 国有公司、企业中从事公务的人员和国有公司、企业 委派到非国有公司、企业从事公务的人员有前两款行为的, 依照本法第三百八十五条、第三百八十六条的规定定罪处 罚。

? Article 164. Offering property to company and enterprise work personnel for improper benefits shall in cases involving relatively large amounts be punished with imprisonment or criminal detention for less than three years, for cases involving a large amount, with imprisonment of over three years but less than 10 years, and with fine. ? Units committing offenses under the preceding paragraph shall be punished with a fine, with personnel directly in charge and other directly responsible personnel being punished according to provisions of the preceding paragraph. A briber who confesses his bribery act before prosecution may receive a lighter sentence or a waiver for punishment.

? 第一百六十四条 【对公司、企业人员行贿罪 】为谋取不正当利益,给予公司、企业的工作 人员以财物,数额较大的,处三年以下有期徒 刑或者拘役;数额巨大的,处三年以上十年以 下有期徒刑,并处罚金。 ? 单位犯前款罪的,对单位判处罚金,并对 其直接负责的主管人员和其他直接责任人员, 依照前款的规定处罚。 ? 行贿人在被追诉前主动交待行贿行为的, 可以减轻处罚或者免除处罚。

? Article 165. Directors and managers of stateowned companies or enterprises who, in order to gain illegal benefits, make use of their job opportunity to conduct for themselves or others business similar to that conducted by companies or enterprises to which they attach, shall, in cases involving a large amount, be punished with imprisonment or criminal detention for less than three years, with a fine or a separately imposed fine, for cases involving extraordinarily large amounts, with imprisonment of over three years but less than seven years, and with fine.

? 第一百六十五条 【非法经营同类营业罪】国有 公司、企业的董事、经理利用职务便利,自己经 营或者为他人经营与其所任职公司、企业同类的 营业,获取非法利益,数额巨大的,处三年以下 有期徒刑或者拘役,并处或者单处罚金;数额特 别巨大的,处三年以上七年以下有期徒刑,并处 罚金。

? Article 166. Work personnel in state-owned companies, enterprises, or institutions, who use their job opportunity to commit the following acts that seriously hurt state interests, shall be punished with imprisonment or criminal detention of less than three years, with a fine or a separately imposed fine; for cases that cause extraordinary huge losses to state interests, with imprisonment of over three years and less than seven years, and with fine: ? (1) offering profitable business conducted by their own units to their relatives and friends for operation; ? (2) buying merchandise from units operated and managed by their relatives and friends at a price apparently higher than market price or selling merchandise to units operated and managed by their relatives and friends at a price apparently lower than market price; or ? (3) buying substandard merchandise from units operated and managed by their relatives and friends.

? 第一百六十六条 【为亲友非法牟利罪】国有公司、 企业、事业单位的工作人员,利用职务便利,有下列 情形之一,使国家利益遭受重大损失的,处三年以下 有期徒刑或者拘役,并处或者单处罚金;致使国家利 益遭受特别重大损失的,处三年以上七年以下有期徒 刑,并处罚金: ? (一)将本单位的盈利业务交由自己的亲友进行 经营的; ? (二)以明显高于市场的价格向自己的亲友经营 管理的单位采购商品或者以明显低于市场的价格向自 己的亲友经营管理的单位销售商品的; ? (三)向自己的亲友经营管理的单位采购不合格 商品的。

? Article 167. People directly in charge of state-owned companies, enterprises, or institutions who are defrauded because of serious irresponsibility during the process of signing or fulfilling contracts and thus cause great damage to national interests shall be sentenced to not more than three years in prison or criminal detention. If they cause especially serious damage to national interests, they shall be sentenced to not less than three years and not more than seven years in prison.

? 第一百六十七条 【签订、履行合同失职被骗罪 】国有公司、企业、事业单位直接负责的主管人 员,在签订、履行合同过程中,因严重不负责任 被诈骗,致使国家利益遭受重大损失的,处三年 以下有期徒刑或者拘役;致使国家利益遭受特别 重大损失的,处三年以上七年以下有期徒刑。

? Article 168. People directly in charge of state-owned companies or enterprises who cause their companies or enterprises to go bankrupt or suffer serious losses through the practice of favoritism and thus cause great damage to national interests shall be sentenced to not more than three years in prison or criminal detention. ? 第一百六十八条 【徇私舞弊造成破产、亏损罪 】国有公司、企业直接负责的主管人员,徇私舞 弊,造成国有公司、企业破产或者严重亏损,致 使国家利益遭受重大损失的,处三年以下有期徒 刑或者拘役。

? Article 169. People directly in charge of state-owned companies or enterprises or higher competent departments who cause great damage to national interests by practicing favoritism and converting stateowned assets into low-value stocks or selling them at a low price shall be sentenced to not more than three years in prison or criminal detention. They shall be sentenced to not less than three years and not more than seven years in prison if they cause especially serious damage to national interests.

? 第一百六十九条 【徇私舞弊低价折股、出售国 有资产罪】国有公司、企业或者其上级主管部门 直接负责的主管人员,徇私舞弊,将国有资产低 价折股或者低价出售,致使国家利益遭受重大损 失的,处三年以下有期徒刑或者拘役;致使国家 利益遭受特别重大损失的,处三年以上七年以下 有期徒刑。

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Article 178. Whoever forges or alters treasury bonds or other negotiable securities issued by the state involving a substantial amount of money shall be sentenced to not more than three years in prison or criminal detention. He or she shall be fined, additionally or exclusively, not less than 20,000 yuan and not more than 200,000 yuan. If the amount is large, he or she shall be sentenced to not less than three years and not more than 10 years in prison. In addition, he or she shall be fined not less than 50,000 yuan and not more than 500,000 yuan. If the amount is especially large, he or she shall be sentenced to not less than 10 years in prison or life imprisonment. In addition, he or she shall be fined not less than 50,000 yuan and not more than 500,000 yuan or have his or her property confiscated. Whoever forges or alters share certificates or company and enterprise bonds involving a substantial amount of money shall be sentenced to not more than three years in prison or criminal detention. He or she shall be fined, additionally or exclusively, not less than 10,000 yuan and not more than 100,000 yuan. If the amount is large, he or she shall be sentenced to not less than three years and not more than 10 years in prison. In addition, he or she shall be fined not less than 20,000 yuan and not more than 200,000 yuan. If the crimes mentioned in the preceding two paragraphs are committed by a unit, the unit in question shall be fined, and the individual directly in charge of it and other people who are directly responsible shall be punished in accordance with the provisions in the preceding two paragraphs.

? 第一百七十八条 【伪造、变造国家有价证券罪;伪造、 变造股票、公司、企业债券罪】伪造、变造国库券或者国 家发行的其他有价证券,数额较大的,处三年以下有期徒 刑或者拘役,并处或者单处二万元以上二十万元以下罚金; 数额巨大的,处三年以上十年以下有期徒刑,并处五万元 以上五十万元以下罚金;数额特别巨大的,处十年以上有 期徒刑或者无期徒刑,并处五万元以上五十万元以下罚金 或者没收财产。 ? 伪造、变造股票或者公司、企业债券,数额较大的, 处三年以下有期徒刑或者拘役,并处或者单处一万元以上 十万元以下罚金;数额巨大的,处三年以上十年以下有期 徒刑,并处二万元以上二十万元以下罚金。 ? 单位犯前两款罪的,对单位判处罚金,并对其直接负 责的主管人员和其他直接责任人员,依照前两款的规定处 罚。

? Article 179. Whoever issues shares or company and enterprise bonds involving a large amount of money without the permission of relevant state departments shall be sentenced to not more than five years in prison or criminal detention if the consequences are serious or if the circumstances are otherwise serious. He or she shall be fined, additionally or exclusively, a sum not less than 1 percent and not more than 5 percent of the illegally raised funds. ? If the crime mentioned in the preceding paragraph is committed by a unit, the unit in question shall be fined, and the individual directly in charge of it and other people who are directly responsible shall be sentenced to not more than five years in prison or criminal detention.

? 第一百七十九条 【擅自发行股票、公司、企 业债券罪】未经国家有关主管部门批准,擅自 发行股票或者公司、企业债券,数额巨大、后 果严重或者有其他严重情节的,处五年以下有 期徒刑或者拘役,并处或者单处非法募集资金 金额百分之一以上百分之五以下罚金。 ? 单位犯前款罪的,对单位判处罚金,并对 其直接负责的主管人员和其他直接责任人员, 处五年以下有期徒刑或者拘役。

? Article 180. People who have inside information on securities trading, illegally obtain inside information on securities trading, or buy or sell securities or leak relevant information prior to the release of information that could have a major effect on the issuance and trading of the securities concerned or on the price of other securities shall be sentenced to not more than five years in prison or criminal detention, provided the circumstances are serious. They shall be fined, additionally or exclusively, a sum not less than 100 percent and not more than 500 percent as high as their illegal proceeds. If the circumstances are especially serious, they shall be sentenced to not less than five years and not more than 10 years in prison. In addition, they shall be fined a sum not less than 100 percent and not more than 500 percent as high as their illegal proceeds. ? If the crimes mentioned in the preceding paragraph are committed by a unit, the unit in question shall be fined, and the individual directly in charge of it or people who are directly responsible shall be sentenced to not more than five years in prison or criminal detention. ? The scope of inside information shall be defined by relevant provisions in laws and administrative rules. ? People with inside information shall be defined by relevant

? 第一百八十条 【内幕交易、泄露内幕信息罪】证券交易 内幕信息的知情人员或者非法获取证券交易内幕信息的人 员,在涉及证券的发行、交易或者其他对证券的价格有重 大影响的信息尚未公开前,买入或者卖出该证券,或者泄 露该信息,情节严重的,处五年以下有期徒刑或者拘役, 并处或者单处违法所得一倍以上五倍以下罚金;情节特别 严重的,处五年以上十年以下有期徒刑,并处违法所得一 倍以上五倍以下罚金。 ? 单位犯前款罪的,对单位判处罚金,并对其直接负责 的主管人员和其他直接责任人员,处五年以下有期徒刑或 者拘役。 ? 内幕信息的范围,依照法律、行政法规的规定确定。 ? 知情人员的范围,依照法律、行政法规的规定确定。

? Article 181. Whoever disrupts securities trading markets and causes serious consequences by fabricating or disseminating false information that could have an effect on securities trading shall be sentenced to not more than five years in prison or criminal detention. He or she shall be fined, additionally or exclusively, not less than 10,000 yuan and not more than 100,000 yuan. ? Employees of securities exchanges, securities companies, securities associations, or securities management departments shall be sentenced to not more than five years in prison or criminal detention if they intentionally provide false information; forge, alter, or destroy trading records; or trick investors into buying or selling securities, giving rise to serious consequences. They shall be fined, additionally or exclusively, not less than 10,000 yuan and not more than 100,000 yuan. If the circumstances are especially adverse, they shall be sentenced to not less than five years and not more than 10 years in prison. In addition, they shall be fined not less than 20,000 yuan and not more than 200,000 yuan. If the crimes mentioned in the preceding two paragraphs are committed by a unit, the unit in question shall be fined, and the individual directly in charge of it and other people who are directly responsible shall be sentenced to not more than five years in prison or

? 第一百八十一条 【编造并传播证券交易虚假信息罪;诱 骗投资者买卖证券罪】编造并且传播影响证券交易的虚假 信息,扰乱证券交易市场,造成严重后果的,处五年以下 有期徒刑或者拘役,并处或者单处一万元以上十万元以下 罚金。 ? 证券交易所、证券公司的从业人员,证券业协会或者 证券管理部门的工作人员,故意提供虚假信息或者伪造、 变造、销毁交易记录,诱骗投资者买卖证券,造成严重后 果的,处五年以下有期徒刑或者拘役,并处或者单处一万 元以上十万元以下罚金;情节特别恶劣的,处五年以上十 年以下有期徒刑,并处二万元以上二十万元以下罚金。 ? 单位犯前两款罪的,对单位判处罚金,并对其直接负 责的主管人员和其他直接责任人员,处五年以下有期徒刑 或者拘役。

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Article 182. Whoever rigs securities trading prices and obtains illegitimate benefits or shifts the risk in any of the following ways shall be sentenced to not more than five years in prison or criminal detention, provided the circumstances are serious. He or she shall be fined, additionally or exclusively, a sum not less than 100 percent and not more than 500 percent as high as his or her illegal proceeds: (1) Taking advantage of one's financial strength, stock holdings, or information to jointly or continuously sell or buy securities and rig securities trading prices, either on one's own or by conspiring with other people; (2) Affecting securities trading prices or volume by conducting securities transactions with each other or by buying or selling each other's securities at a predetermined time and price and through a predetermined method in collaboration with other people; (3) Affecting securities trading prices or volume by taking oneself as the only party to a transaction and buying from or selling to oneself without transferring the right to own the securities; (4) Rigging securities trading prices by other means. If the crimes mentioned in the preceding paragraph are committed by a unit, the unit in question shall be fined, and the individual directly in charge of it or other people directly responsible shall be sentenced to not more than five years in prison or criminal detention.

? 第一百八十二条 【操纵证券交易价格罪】有下列情形之 一,操纵证券交易价格,获取不正当利益或者转嫁风险, 情节严重的,处五年以下有期徒刑或者拘役,并处或者单 处违法所得一倍以上五倍以下罚金: ? (一)单独或者合谋,集中资金优势、持股优势或者 利用信息优势联合或者连续买卖,操纵证券交易价格的; ? (二)与他人串通,以事先约定的时间、价格和方式 相互进行证券交易或者相互买卖并不持有的证券,影响证 券交易价格或者证券交易量的; ? (三)以自己为交易对象,进行不转移证券所有权的 自买自卖,影响证券交易价格或者证券交易量的; ? (四)以其他方法操纵证券交易价格的。 ? 单位犯前款罪的,对单位判处罚金,并对其直接负责 的主管人员和其他直接责任人员,处五年以下有期徒刑或 者拘役。

CHAPTER THREE Judicial Interpretations

Judicial interpretation 司法解释
? Judicial Interpretation is a mode or technique that explains how the judiciary should interpret the law, specifically constitutional documents and legislation. ? Judicial interpretation by the Supreme People's Court (SPC) is one of three forms of legal interpretation in China, the other two being legislative interpretation and administrative in terpretation.

Role of judicial interpretation
? can make up for the omissions of the law ? can help to accumulate legislative experience ? can guide judicial practice

Importance of judicial interpretation
? interpreting any issues that are new & uncertain, causing difficulties in understanding and execution. ? adapting the law to changed circumstances & atoning for legislative insufficiency. ? developing & applying a coherent & unified approach to the application of business law. ? determining on jurisdiction & giving guidance on operational criteria.


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