Measures for the Administration of the Provision of Securities-related Legal Services by Law Firms

律师事务所从事证券法律业务管理办法

This law aims to strengthen the regulation of securities-related legal services by law firms, to maintain order in the securities market, and to protect the interests of investors.

(Promulgated by the China Securities Regulatory Commission and Ministry of Justice on March 9 2007 and effective as of May 1 2007.)

Order of CSRC and MOJ No.41

(中国证券监督管理委员会、司法部于二零零七年三月九日公布，自二零零七年五月一日)

证监会、司法部令第41号

PART ONE: GENERAL PROVISIONS

第一章总 则

Article 1: These Measures have been formulated pursuant to the Securities Law and Lawyers Law in order to strengthen regulation of the provision of securities-related legal services by law firms, regulate the professional acts of lawyers in the course of activities, such as securities offerings, listings and trading, enhance the mechanism for guarding against legal risks, maintain order in the securities market and protect the lawful rights and interests of investors.

第一条为了加强对律师事务所从事证券法律业务活动的监督管理，规范律师在证券发行、上市和交易等活动中的执业行为，完善法律风险防范机制，维护证券市场秩序，保护投资者的合法权益，根据《证券法》和《律师法》，制定本办法。

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