Legislative Updates | 法宝双语新闻（第15期）

【来源】北大法宝英文译本库

【责任编辑】姜莹；徐光平

【声明】本文由北大法宝编写，转载请注明来源。

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1. 私募基金管理条例征求意见

近日，国务院法制办就《私募投资基金管理暂行条例（征求意见稿）》公开征求意见，截止时间为9月30日。

《征求意见稿》共计11章、58条，分别从私募基金管理人、托管人的职责，资金募集、投资运作、信息提供、行业自律、监督管理、法律责任等方面确立了监管规则。

《征求意见稿》突出风险防范和投资者权益保护，紧紧围绕防范风险和保护投资者合法权益的目标，以规范基金管理人、基金托管人、基金服务机构的行为为着力点，抓住资金募集、投资运作两个关键环节，作出有针对性的制度安排。同时，坚持适度监管，发挥行业自律和诚信约束作用，在有效规范行为的同时，保持市场活力。

1. Comments Requested on a Regulation on Privately Offered Investment Funds

The Legislative Affairs Office of the State Council is requesting public comments on the Interim Regulation on the Administration of Privately Offered Investment Funds (Exposure Draft), and comments may be submitted until September 30.

With a total of 58 articles in eleven chapters, the Exposure Draft establishes regulatory rules for the duties of management institutions of privately offered investment funds and custodians, fundraising, investment operation, information provision, industry self-regulation, supervision and management, and legal liability.

The Exposure Draft highlights risk prevention and investor protection, surrounding which the conduct of fund management institutions, custodians, and fund service institutions is strictly regulated especially in the two critical stages of fundraising and investment operation. The Exposure Draft insists on modest supervision, and allows industry self-regulation and credit restraints to play their roles, so as to maintain market viability while effectively regulating conduct.

2.《关于开展法律援助值班律师工作的意见》出台

近日，最高人民法院、最高人民检察院、公安部、国家安全部、司法部联合印发《关于开展法律援助值班律师工作的意见》。

《意见》规定，法律援助机构在人民法院、看守所派驻值班律师。值班律师职责主要是为犯罪嫌疑人、刑事被告人提供法律咨询、转交法律援助申请等法律帮助。

同时，其职责还包括在认罪认罚从宽制度改革试点中为当事人提供程序选择、申请变更强制措施等法律帮助、对检察机关定罪量刑建议提出意见、见证犯罪嫌疑人签署认罪认罚具结书，以及对刑讯逼供和非法取证情形代理申诉、控告等。

《意见》明确了法律援助值班律师运行模式，对法律援助工作站建设、值班律师选任、值班方式、工作要求等方面作出规定。

《意见》就加强办案机关与法律援助机构的协作配合作出规定，明确了人民法院、人民检察院、公安机关等的告知职责。

2. Opinions on Lawyers on Duty in Legal Aid Released

Recently, the Supreme People’s Court (SPC), the Supreme People’s Procuratorate (SPP), the Ministry of Public Security, the Ministry of State Security, and the Ministry of Justice jointly issued the Opinions on Lawyers on Duty in Legal Aid. 

According to the Opinions, legal aid institutions should dispatch lawyers on duty to the people’s courts and jails. The major duties of lawyers on duty include providing legal advice to criminal suspects and defendants, transfer of legal aid applications, and other legal aid. 

Lawyers on duty also provide procedural choices to the parties and apply for changes of compulsory measures, among others, in the pilot reform program of imposing lenient punishment on those admitting to guilt and accepting punishment; offer opinions on the conviction and sentencing recommendations from the prosecutorial organs; witness criminal suspects’ signing recognizances to admit guilt and accept punishment; and file petitions and accusations against coerced confession and illegally obtained evidence .

The Opinions clarify the operation mode of lawyers on duty in legal aid, construction of legal aid stations, appointment of lawyers on duty, how to be on duty, and working requirements. 

The Opinions require collaboration between case-handling authorities and legal aid institutions, and the people’s courts, the people’s procuratorates, and the public security authorities have obligations of notification.

3.十部门严查虚假违法广告

近日，工商总局等十部门近日印发《严肃查处虚假违法广告维护良好广告市场秩序工作方案》。

《工作方案》明确了工作重点：加大对含有不良影响内容广告的查处力度；继续严肃查处含有“特供”“专供”国家机关内容广告；加强重点领域广告监管执法力度；加大对互联网金融广告的监管力度；加大对重点媒体的监管力度；持续加强互联网广告监管；切实督促广告发布者履行广告审查责任；落实属地监管责任加大案件查办力度。

3. Ten Departments Strictly Investigate Deceptive and Illegal Advertisements

Recently, the State Administration for Industry and Commerce and other 9 departments issued the Working Plan for Strict Investigation and Punishment of Deceptive and Illegal Advertisements to Maintain a Good Advertising Market Order.

The Plan focuses on: intensifying investigation and punishment of advertisements with any content producing adverse effects; continuing to investigate and punish advertisements containing “special supply” or “exclusive supply” to state agencies; intensifying law enforcement in the regulation of major advertisement fields; intensifying supervision over Internet financial advertisements; strengthening regulation of major media; continuing to enhance regulation of Internet advertisements; urging advertisement publishers to fulfill their advertisement examination responsibilities; and effective territorial supervision to enhance case handling.

4.《互联网群组信息服务管理规定》出台

近日，国家互联网信息办公室印发《互联网群组信息服务管理规定》，并于2017年10月8日正式施行。

《规定》明确，互联网群组信息服务提供者应当落实信息内容安全管理主体责任，配备与服务规模相适应的专业人员和技术能力，建立健全用户注册、信息审核、应急处置、安全防护等管理制度。

《规定》强调，互联网群组信息服务提供者应当对互联网群组信息服务使用者进行真实身份信息认证，建立信用等级管理体系，合理设定群组规模，实施分级分类管理，并采取必要措施保护使用者个人信息安全。

《规定》要求，互联网群组建立者、管理者应当履行群组管理责任，依据法律法规、用户协议和平台公约，规范群组网络行为和信息发布，构建文明有序的网络群体空间。互联网群组成员在参与群组信息交流时，应当遵守相关法律法规，文明互动、理性表达。

4. Rules to Regulate Internet Group Information Services Released

The Cyberspace Administration of China recently issued the Rules for the Administration of Internet Group Information Services, effective from October 8, 2017.

According to the Rules, internet group information service provider should fulfill their primary responsibility for information security management, employ professionals and own technical capabilities suitable for the service scale, and establish adequate and effective rules for user registration, information review, emergency response, and safety protection.

The Rules stress that internet group information service providers should authenticate a user’s legal name, establish a system of credit rating management, reasonably set group scales, manage groups by grade and category, and take necessary measures to protect the safety of users’ personal information.

The Rules require that internet group founders and administrators fulfill their duties of group management and regulate Internet conduct and information releases of groups according to laws and regulations, user agreements and platform covenants to maintain civil an orderly network group spaces. Internet group members should obey relevant laws and regulations, interact in a civil manner, and express themselves rationally when participating in group information exchange.

5.《证券发行与承销管理办法》出台

近日，证监会修订发布了《证券发行与承销管理办法》，可转债及可交换债券今日起，按新规执行。

本次改革将申购时预先缴款调整为确定配售数量后再进行缴款。取消申购环节预缴款后，为约束网上投资者获配后不缴款的失信行为，借鉴现行首发新股申购监管经验，建立统一的首发和可转债、可交换债网上信用申购违约惩戒机制；承销商还可根据发行规模设置合理的网上申购上限。

对于网下投资者，承销商今后不再按申购金额的比例收取保证金，基于管理承销风险的考虑，可向网下单一申购账户收取不超过50万元的申购保证金，并在发行公告中明确约定网下投资者违约时申购保证金处理方式。可交换债的网上发行由现行时间优先的配售方式调整为与可转债相同的摇号中签方式进行分配。

5. Measures for Securities Offering and Underwriting Released

The China Securities Regulatory Commission (CSRC) recently issued the Measures for the Administration of Securities Offering and Underwriting as revised, and convertible bonds and exchangeable bonds are now governed by the new rules. 

Prepayment upon subscription is replaced with payment after allotment of securities. After cancellation of the prepayment, in order to discipline the dishonest conduct of public subscription investors who fail to pay for their allotted securities, a unified public subscription default credit punishment mechanism for IPOs, convertible bonds and exchangeable bonds should be established by learning from experience in the current regulation of subscriptions for IPOs. The underwriters may also set reasonable upper limits for public subscriptions according to the size of an issue.

Underwriters will no longer collect security deposits from investors under the placing tranche according to the amount of subscription, but for underwriting risk considerations, may collect a subscription security deposit of less than CNY500,ooo from a single subscribing account, and how such deposits will be handled when investors under the placing tranche default should be clearly stated in the announcement of a securities issue. As for the mode of allotment, the public subscription for exchangeable bonds is changed from time priority to the lottery mode same as that for convertible bonds.

6.《证券交易所管理办法》修订

近日，中国证监会就修订《证券交易所管理办法》向社会公开征求意见。

修订的重点体现在两个方面：一是优化证券交易所内部治理结构，进一步体现和发挥会员的法律地位及作用；二是进一步促进证券交易所履行一线监管职责，充分发挥自律管理作用。

6. Measures for Regulating Stock Exchanges Released

The China Securities Regulatory Commission (CSRC) is requesting public comments on the revision of the Measures for the Administration of Stock Exchanges. 

The revision primarily aims to optimize the internal governance structure of a stock exchange to further reflect the legal status and role of its members and to further impel a stock exchange to fulfill its front-line supervisory duties as a self-regulatory body. 

7.《国家开发银行监督管理办法》征求意见

近日，银监会制定了《国家开发银行监督管理办法》，现向社会公开征求意见。

《办法》内容包括总则、市场定位、公司治理、风险管理、内部控制、资本管理、激励约束、监督管理、附则九个章节，覆盖了国家开发银行经营管理和审慎性监管主要方面。《办法》的目的在于进一步明确国家开发银行立足职能定位，推进其依法合规经营，审慎稳健发展。同时，构建资本约束机制，不断完善公司治理机制，构建全面风险管理体系，强化内部控制，优化激励约束机制。

7. Public Comments Requested on Measures for the Regulation of China Development Bank

The China Banking Regulatory Commission (CBRC) is requesting public comments on the Measures for the Supervision and Administration of China Development Bank (CDB). 

The Measures contain nine chapters: General Provisions, Market Positioning, Corporate Governance, Risk Management, Internal Control, Capital Management, Incentives and Constraints, Supervision and Administration, and Supplemental Provisions, covering the main aspects of the business management and prudential supervision of CDB. The Measures aim to further clarify the functional orientation of CDB and promote its operation in compliance with laws and regulations and development in a prudent and robust manner. In addition, the Measures require the establishment of a capital constraint mechanism, continuous improvement of its corporate governance mechanism, development of a comprehensive risk management system, reinforcement of its internal controls, and optimization of its incentive and restraint mechanisms. 

8.最高检印发司法办案组织办法

近日，最高人民检察院印发《最高人民检察院机关司法办案组织设置及运行办法（试行）》。

《办法》共十五条，按照“谁办案谁负责、谁决定谁负责”要求，结合最高检机关实际，明确了最高检机关司法办案组织的类型、设置和运行机制，细化了检察官、业务部门负责人、检察长（分管副检察长）、检察委员会专职委员在司法办案中的职责权限，使最高检机关司法办案活动遵循司法属性，体现检察职业特点。

8. SPP Issues Measures for Procuratorial Case Handling Organizations

The Supreme People’s Procuratorate (SPP) recently issued the Measures for the Setup and Operation of the Procuratorial Case Handling Organizations of the Headquarters of the Supreme People’s Procuratorate (for Trial Implementation). 

With a total of 15 articles, as required by “whoever handles a case or makes a decision is accountable” and based on the actual circumstances of the SPP headquarters, the Measures specify the types, setup, and operational mechanism of the procuratorial case handling organizations of the SPP headquarters, as well as the responsibilities and powers of the prosecutors, heads of operation departments, procurator-generals (deputy procurator-generals in charge), and full-time members of the procuratorial committees during the process of handling procuratorial cases, so that the procuratorial case handling of the SPP could adhere to procuratorial attributes and embody the characteristics of the procuratorial profession. 

9. 《外商投资企业知识产权保护行动方案》出台

全国打击侵犯知识产权和制售假冒伪劣商品工作领导小组办公室、国家知识产权局、公安部等十二部门近日联合印发了《外商投资企业知识产权保护行动方案》。

《方案》提出11项工作任务，明确相关部门职责分工。其中，侵犯商业秘密、专利权、植物新品种权、恶意抢注商标和“傍名牌”，以及互联网领域侵权盗版等违法犯罪行为为打击重点。

《方案》还要求，强化进出口和寄递等重点环节监管，重点查办一批情节严重、影响恶劣的侵权假冒犯罪案件，有效保护权利人利益。

《方案》要求相关行政执法和刑事司法部门密切衔接配合，完善协作机制，提高办案效率，对相关案件及时受理、依法快速处置，进一步营造公平竞争的市场环境和良好的投资环境。

9. Action Plan to Protect Intellectual Property Rights of Foreign-funded Enterprises Released

Recently, 12 departments, including the Office of the Leading Group of the National Campaign against Intellectual Property Right Infringements and Production and Sale of Counterfeit and Inferior Commodities, the State Intellectual Property Office, and the Ministry of Public Security, jointly issued the Action Plan for the Protection of Intellectual Property Rights of Foreign-funded Enterprises. 

The Plan sets forth 11 tasks and specifies the division of duties of relevant departments. The crack-down will focus on infringements upon trade secrets, patents, rights in new varieties of plants, trademark squatting, and “trademark free riding,” infringements and piracy on the Internet, and other illegal and criminal acts.

The Plan requires that the supervision over import and export, delivery services, and other major processes be strengthened and a group of criminal infringement and counterfeiting cases with serious circumstances and egregious impacts be investigated in priority, so as to effectively protect the interests of right holders.

The Plan also requires close connection and cooperation between agency law enforcement and the criminal justice system to improve their cooperation mechanisms and case handling efficiency, accept in a timely manner and handle relevant cases at a faster pace as permitted by the law, and further develop a market environment of fair competition and a good investment environment.

10.《关于适用〈中华人民共和国保险法〉若干问题的解释（四）》征求意见

近日，最高人民法院发布《关于适用〈中华人民共和国保险法〉若干问题的解释（四）》（征求意见稿）向社会公开征求意见的公告，意见反馈截止于10月20日。

《征求意见稿》共26条，包括保险合同当事人权利义务、保险责任认定、保险代位求偿权和责任保险四部分内容，旨在明确保险法中关于保险合同章财产保险部分有关法律适用问题。

10. Public Comments Requested on Insurance Law Interpretation (IV)

The Supreme People's Court (SPC) is requesting public comments on the Interpretation (IV) of Several Issues on the Application of the Insurance Law of the People's Republic of China (Exposure Draft), and comments may be submitted until October 20.

With a total of 26 Articles, the Draft includes four parts: the rights and obligations of the parties to an insurance contract; determination of coverage; insurance subrogation; and liability insurance, aiming to address issues on the application of law to property insurance in the insurance contract chapter of the Insurance Law.

11. 《关于加强保险消费风险提示工作的意见》出台

近日，中国保监会印发《关于加强保险消费风险提示工作的意见》。

《意见》提出了三项重点工作内容：一是建立完善工作机制，要求行业有关单位加强制度建设、明确职责分工、构建各司其职的工作格局；

二是推进风险提示平台建设，建立信息汇集、发布、共享联动机制；

三是规范运作流程，加强保险消费风险监测、识别，增强保险消费风险提示有效性。

11. Opinions on Enhancing Risk Warnings for Insurance Consumption Released

Recently, the China Insurance Regulatory Commission (CIRC) issued the Opinions on Enhancing Risk Warnings for Insurance Consumption.

The Opinions set forth three priorities: First, an effective working mechanism should be established, and the relevant parties in the industry should attach great importance to the development of rules, clear division of responsibilities, and establishment of a working pattern where each party duly plays its role.

Second, the building of a risk warning platform should be advanced, and an interactive mechanism for information gathering, release, and sharing should be established.

Third, the operation process should be regulated, the monitoring and identification of insurance consumption risks should be strengthened, and the effectiveness of risk warnings for insurance consumption should be improved.

12. 《关于在更大范围推进“证照分离”改革试点工作的意见》出台

近日，国务院印发《关于在更大范围推进“证照分离”改革试点工作的意见》。

《意见》明确，在天津、辽宁、浙江、福建、河南、湖北、广东、重庆、四川、陕西10个自贸试验区，复制推广上海市浦东新区“证照分离”改革试点成熟做法。试点期为本意见印发之日起至2018年12月21日。

同时明确，经省级人民政府批准，各地有条件的国家自主创新示范区、国家高新技术产业开发区、国家级经济技术开发区、国家级新区，可从实际出发复制推广上海市浦东新区“证照分离”改革的具体做法。

此外，《意见》提出了四方面改革重点。一是清理规范各类许可，除涉及国家安全、公共安全、生态安全和公众健康等重大公共利益外，能分离的许可类的“证”都分离出去；二是切实加强事中事后监管；三是加快推进信息共享；四是统筹推进“证照分离”和“多证合一”改革。

12. Pilot Program Launched to Promote "Separation of Permits from Business License" in a Lager Scope

Recently, the State Council issued the Opinions on Promoting the Pilot Program of the "Separation of Permits from Business License" Reform in a Lager Scope.

According to the Opinions, the mature practice of "separation of permits from business license" of Pudong New Area, Shanghai will be replicated and promoted in ten pilot free trade zones: Tianjin, Liaoning, Zhejiang, Fujian, He’nan, Hubei, Guangdong, Chongqing, Sichuan, and Shaanxi. The pilot program starts from the date of issuance of the Opinions and ends on December 21, 2018.

With the approval of the people's governments at the provincial level, state independent innovation model zones, state hi-tech industry development zones, state-level economic and technological development zones, and state-level new areas which meet the proscribed conditions may, based on their actual circumstances, replicate and promote the specific practices of "separation of permits from business license" of Pudong New Area, Shanghai.

In addition, the Opinions underscore four aspects of the reform: First, various types of licenses should be reviewed and regulated, and all government "permits" that could be separated from business license should be separated unless any major public interest such as national security, public safety, ecological safety, and public health is involved. Second, interim and ex post supervision should be effectively strengthened. Third, information sharing should be accelerated. Fourth, coordinated efforts should be made to promote the "separation of permits from business license" and "unification of multiple licenses and certificates" reform.

13. 最高人民法院出台规范行使行政诉权意见

近日，最高人民法院印发了《关于进一步保护和规范当事人依法行使行政诉权的若干意见》。

《意见》分为两个部分，第一部分为“进一步强化诉权保护意识，积极回应人民群众合理期待，有力保障当事人依法合理行使诉权”，《意见》从提高诉权保护意识、巩固新法实施成果、坚持立案登记制度、加强诉讼服务建设、完善司法救济措施、防止不当干预诉讼等方面，对各级人民法院提出了明确要求。

第二部分为“正确引导当事人依法行使诉权，严格规制恶意诉讼和无理缠诉等滥诉行为”，《意见》从正确理解立案登记制的精神实质、准确把握利害关系的法定内涵、引导当事人依法行使诉权、有效规制滥用诉权行为等方面，提出了有针对性的措施。

13. SPC Issues Opinions to Regulate Exercise of Right to File an Administrative Lawsuit

Recently, the Supreme People's Court (SPC) issued the Opinions on Further Protecting and Regulating a Party's Exercise of Right to File an Administrative Lawsuit according to the Law.

The Opinions are divided into two parts. The first part is “further raising the awareness of protection of right to sue, actively responding to the public’s reasonable expectations, and strongly safeguarding a party’s lawful and reasonable exercise of right to sue.” The Opinions put forward specific requirements for all the people’s courts in terms of improving awareness of protection of right to sue, consolidating results of implementation of the new law, insisting on the form review-based case registration system, providing better litigation services, improving judicial remedies, and preventing inappropriate intervention in litigation.

The second part is “correctly guiding the parties in exercising right to sue according to the law and strictly controlling malicious and vexatious litigation and other abuses of right to sue.” The Opinions set forth targeted measures in terms of correctly understanding the spirit of the form-based case registration system, accurately applying the legal connotation of interested parties, guiding the parties in legally exercising right to sue, and effectively controlling abuses of right to sue.

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