{"id":7740,"date":"2018-08-27T11:24:57","date_gmt":"2018-08-27T11:24:57","guid":{"rendered":"https:\/\/marc.deschenaux.com\/?p=7740"},"modified":"2023-05-14T20:40:12","modified_gmt":"2023-05-14T20:40:12","slug":"standard-documentation-of-a-securities-issuer","status":"publish","type":"post","link":"https:\/\/marc.deschenaux.com\/cn\/articles\/standard-documentation-of-a-securities-issuer\/","title":{"rendered":"\u8bc1\u5238\u53d1\u884c\u4eba\u7684\u6807\u51c6\u6587\u4ef6"},"content":{"rendered":"
\n\t\t\t\t\t\t
\n\t\t\t\t\t\t
\n\t\t\t\t\t
\n\t\t\t
\n\t\t\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t

\u5728\u4e0a\u4e00\u7bc7\u6587\u7ae0\u4e2d\u63cf\u8ff0\u4e86\u878d\u8d44\u539f\u5219\u4e4b\u540e\uff0c\u73b0\u5728\u662f\u63cf\u8ff0\u8bc1\u5238\u53d1\u884c\u4eba\u6807\u51c6\u6587\u4ef6\u7684\u65f6\u5019\u4e86\uff0c\u4f46\u6211\u89c9\u5f97\u6709\u5fc5\u8981\u91cd\u590d\u62ab\u9732\u539f\u5219\u548c\u62ab\u9732\u6587\u4ef6\u3002<\/p>

\u62ab\u9732<\/h2>

\u8c01\u60f3\u8981\u8d44\u672c\u5c31\u5fc5\u987b\u63d0\u4f9b\u7ed9\u4efb\u4f55\u6f5c\u5728\u5ba2\u6237\u800c\u4e0d\u9700\u8981\u5b83\u3002\u4efb\u4f55\u5177\u6709\u4f7f\u5176\u80fd\u591f\u5f62\u6210\u51c6\u786e\u548c\u5b8c\u6574\u7684\u610f\u89c1\u6216\u80fd\u591f\u5f71\u54cd\u5176\u4f5c\u4e3a\u6295\u8d44\u8005\u7684\u5224\u65ad\u7684\u6027\u8d28\u7684\u91cd\u8981\u4fe1\u606f\u3002<\/p>

\u63d0\u4f9b\u865a\u5047\u4fe1\u606f\u3001\u7701\u7565\u771f\u5b9e\u4fe1\u606f\u3001\u6709\u5229\u6216\u4e0d\u5229\u4f1a\u5ef6\u8fdf\u6d41\u7a0b\u5e76\u4f7f\u4fb5\u6743\u8005\u66b4\u9732\u4e8e \u6c11\u4e8b\u8d23\u4efb\u548c\u5211\u4e8b\u5236\u88c1<\/u><\/strong>.<\/p>

\u6807\u51c6\u62ab\u9732\u6587\u4ef6<\/h2>

\u6295\u8d44\u8005\u5e0c\u671b\u5bfb\u6c42\u4ece\u4ed6\u4eec\u90a3\u91cc\u7b79\u96c6\u8d44\u91d1\u7684\u53d1\u884c\u4eba\u63d0\u4f9b\u4ee5\u4e0b\u6587\u4ef6\uff1a<\/strong><\/p>

  1. \u5b8c\u5168\u7684 \u7ecf\u5ba1\u8ba1\u7684\u8d22\u52a1\u62a5\u8868\u548c\u5ba1\u8ba1\u5e08\u7684\u6ce8\u91ca<\/strong> \u4ece\u516c\u53f8\u6210\u7acb\u4e4b\u65e5\u8d77\uff0c\u5982\u679c\u516c\u53f8\u6210\u7acb\u65f6\u95f4\u8d85\u8fc7 7 \u5e74\uff0c\u81f3\u5c11\u6700\u8fd1\u4e09\u5e74\u3002<\/li>
  2. A \u7b80\u77ed\u7684\u6458\u8981<\/strong> \u4e00\u4e24\u9875\u7eb8\uff0c\u5feb\u901f\u8bc4\u4f30\u6295\u8d44\u8005\u662f\u5426\u6709\u5174\u8da3\u6295\u8d44\u53d1\u884c\u4eba\u7684\u8bc1\u5238\u53d1\u884c\u3002<\/li>
  3. A \u7f51\u7ad9<\/strong> \u5b8c\u6574\u8bb0\u5f55\uff0c\u4ee5\u4fbf\u6295\u8d44\u8005\u53ef\u4ee5\u4e86\u89e3\u53d1\u884c\u4eba\u5728\u516c\u4f17\u9762\u524d\u7684\u8868\u73b0\u3002<\/li>
  4. A \u9884\u7b97<\/strong>\uff0c\u6b63\u5982\u6211\u7684\u6587\u7ae0\u4e2d\u6240\u89e3\u91ca\u7684\uff0c\u5305\u62ec \u5047\u8bbe\u548c\u8d22\u52a1\u9884\u6d4b<\/a> \u663e\u793a\u9884\u671f\u7684\u8d22\u52a1\u7ed3\u679c\u3002\u4e0d\u8981\u4ec5\u5411\u6295\u8d44\u8005\u5c55\u793a\u6210\u672c\u8d2d\u7269\u6e05\u5355\uff0c\u5426\u5219\u60a8\u5c06\u4e00\u5206\u94b1\u4e5f\u7b79\u4e0d\u5230\u3002<\/li>
  5. A \u62ab\u9732\u6587\u4ef6 <\/strong>\u6211\u5c06\u5728\u4e0b\u6587\u4e2d\u66f4\u8be6\u7ec6\u5730\u63cf\u8ff0\u3002<\/li><\/ol>

    \u62ab\u9732\u6587\u4ef6<\/h2>

    \u4fe1\u606f\u4ee5\u4e00\u79cd\u5f62\u5f0f\u63d0\u4f9b \u62db\u80a1\u8bf4\u660e\u4e66<\/strong> \u79f0\u4e3a \u62ab\u9732\u6587\u4ef6<\/strong> \u63cf\u8ff0\u95ee\u9898\uff0c\u6216\u591a\u6216\u5c11\u5b8c\u6574\uff0c\u53ef\u80fd\u6709\u51e0\u4e2a\u540d\u79f0\uff1a<\/p>

    \u8fd9 \u62ab\u9732\u6587\u4ef6<\/strong> \u548c \u62db\u80a1\u8bf4\u660e\u4e66<\/strong> \u662f\u901a\u7528\u672f\u8bed\u3002<\/p>

    \u8fd9 \u6982\u62ec<\/strong>, \u62bd\u8c61\u7684<\/strong> \u6216\u8005 \u6267\u884c\u6458\u8981<\/strong> \u662f\u4e00\u4efd\u6458\u8981\uff0c\u5e94\u4ec5\u9650\u4e8e\u786e\u5b9a\u6295\u8d44\u524d\u666f\u7684\u5229\u76ca\u3002<\/p>

    \u8fd9 \u767e\u4e07\u5206\u7387<\/strong>, \u79c1\u52df\u5907\u5fd8\u5f55<\/strong> \u6216\u8005 \u805a\u7532\u919b<\/strong>, \u79c1\u52df\u5907\u5fd8\u5f55<\/strong> \u662f\u6307\u5b9a\u63cf\u8ff0\u79c1\u4eba\u53d1\u884c\u7684\u62db\u80a1\u8bf4\u660e\u4e66\u7684\u672f\u8bed\u3002<\/p>

    \u8fd9 \u521d\u6b65\u62db\u80a1\u8bf4\u660e\u4e66<\/strong> \u6216\u8005 \u7ea2\u9cb1\u9c7c<\/strong> \u662f\u6307\u5b9a\u63cf\u8ff0\u516c\u5f00\u53d1\u884c\u7684\u4e34\u65f6\u62db\u80a1\u8bf4\u660e\u4e66\uff08\u65e0\u4ef7\u683c\u6216\u53d1\u884c\u65e5\u671f\uff09\u7684\u672f\u8bed\u3002<\/p>

    \u8fd9 \u516c\u5f00\u52df\u80a1\u8bf4\u660e\u4e66<\/strong> \u662f\u6307\u5b9a\u63cf\u8ff0\u516c\u5f00\u53d1\u552e\u7684\u62db\u80a1\u8bf4\u660e\u4e66\u7684\u672f\u8bed\u3002<\/p>

    \u652f\u6301\u6587\u4ef6<\/h2>
    1. A \u5546\u4e1a\u8ba1\u5212<\/strong><\/a> \u5efa\u7acb\u6216\u53d1\u5c55\u516c\u53f8\u6216\u9879\u76ee\u7684\u8be6\u7ec6\u8ba1\u5212\u3002

      \u7edd\u4e0d\u80fd\u4f7f\u7528\u5546\u4e1a\u8ba1\u5212\u6765\u7b79\u96c6\u8d44\u91d1\u3002<\/p><\/blockquote><\/li>

    2. A \u7ade\u4e89\u5206\u6790<\/strong> \u8bc6\u522b\u7ade\u4e89\u5bf9\u624b\u5e76\u8bc4\u4f30\u4ed6\u4eec\u7684\u6218\u7565\uff0c\u4ee5\u786e\u5b9a\u4ed6\u4eec\u76f8\u5bf9\u4e8e\u53d1\u884c\u4eba\u7684\u4ea7\u54c1\u6216\u670d\u52a1\u7684\u4f18\u52bf\u548c\u52a3\u52bf\u3002\u7ade\u4e89\u5206\u6790\u662f\u53d1\u884c\u4eba\u8425\u9500\u8ba1\u5212\u7684\u91cd\u8981\u7ec4\u6210\u90e8\u5206\u3002<\/li>
    3. \u8425\u9500\u8ba1\u5212<\/li>
    4. \u884c\u52a8\u8ba1\u5212<\/li><\/ol>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/section>\n\t\t\t\t<\/div>","protected":false},"excerpt":{"rendered":"

      After describing the Financing principle in a previous article, it is now time to describe the Standard Documentation of a Securities Issuer but I feel obliged to repeat the Disclosure Principle and the Disclosure Document. Disclosure Who wants a Capital must provide to any Prospect without it requiring it. Any material information of such a … \u9605\u8bfb\u66f4\u591a<\/a><\/p>","protected":false},"author":1,"featured_media":7742,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"wds_primary_category":3,"footnotes":""},"categories":[3,49],"tags":[],"class_list":["post-7740","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-articles","category-beginners"],"_links":{"self":[{"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/posts\/7740","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/comments?post=7740"}],"version-history":[{"count":0,"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/posts\/7740\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/media\/7742"}],"wp:attachment":[{"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/media?parent=7740"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/categories?post=7740"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/tags?post=7740"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}