锅炉压力容器压力管道特种设备无损检测单位监督管理办法

作者:法律资料网 时间:2024-07-03 23:08:33   浏览:9185   来源:法律资料网
下载地址: 点击此处下载

锅炉压力容器压力管道特种设备无损检测单位监督管理办法

国家质量监督检验检疫总局


关于印发《锅炉压力容器压力管道特种设备无损检测单位监督管理办法》的通知

(国质检锅〔2001〕148号)


各省、自治区、直辖市质量技术监督局,国务院有关部委、集团公司,各有关单位:
  为进一步规范锅炉压力容器压力管道特种设备无损检测工作,加强对专项无损检测单位的监督管理,根据国务院《锅炉压力容器安全监察暂行条例》及其《实施细则》和有关规定的要求,我局制定了《锅炉压力容器压力管道特种设备无损检测单位监督管理办法》,现印发给你们,请遵照执行。
  锅炉压力容器压力管道特种设备制造许可工作对制造单位无损检测能力有其他规定的,仍按有关规定执行。

  附件:锅炉压力容器压力管道特种设备无损检测单位监督管理办法

中华人民共和国质量监督检验检疫总局
二00一年十月十六日
 


附件:

锅炉压力容器压力管道特种设备无损检测单位监督管理办法

第一章 总则

第一条 为规范无损检测工作,提高检验工作质量,根据《锅炉压力容器安全监察暂行条例》及其《实施细则》和有关规定的要求,制定本办法。
第二条 本办法适用于从事锅炉压力容器压力管道特种设备无损检测专项服务的单位(以下简称"无损检测单位")。
第三条 对从事无损检测专项服务的检验单位,按锅炉压力容器压力管道特种设备检验机构进行资格管理。国家质量监督检验检疫总局锅炉压力容器安全监察局(以下简?quot;国家质检总局锅炉局")负责实施。
第四条 无损检测单位检测资格按检测方法分为六项,即RT(射线照相检测)、UT(超声检测)、MT(磁粉检测)、PT(液体渗透检测)。ET(涡流检测)、AE(声发射检测)。无损检测单位取得资格证书后,方可从事批准项目的无损检测工作。
第五条 无损检测单位的检测质量必须接受各级质量技术监督部门锅炉压力容器压力管道特种设备安全监察机构(以下简称"安全监察机构")的监督检查。

第二章 申请

第六条 无损检测单位须具备以下基本条件:
  (一)具有独立的法人资格,有工商行政管理部门核发的营业执照。
  (二)单位技术负责人须有工程师以上技术职称。
  (三)单位注册资本金50万元以上。
  (四)锅炉压力容器压力管道特种设备相关专业的工程技术人员数量不得少于2名)
  (五)申请从事相应检测项目(RT、UT、MT、PT、ET、AE)的无损检测单位,其无损检测持证人数及检测设备台数应满足下表的要求。

申请项目 NDT持证人数 设备台数
Ⅲ级 Ⅱ级
RT ≥1 ≥2 ≥4
UT ≥1 ≥2 ≥2
MT ≥1 ≥2 ≥4
PT ≥1 ≥2 /
ET / ≥2 ≥1
AE / ≥2 ≥1

  注:1.NDT持证人数系指持有锅炉压力容器无损检测人员资格证件人数。
    2.申请二个检测项目的单位,持证总人数(Ⅱ级及Ⅱ级以上应不少于6人。
    3.申请三个以上(含三个)检测项目的单位,其持证总人数(Ⅱ级及Ⅱ级以上)应不少于10人,其中Ⅲ级不少于2人。
  (六)聘用人员应是检测单位正式聘用的全职人员,其中技术负责人聘期不得少于五年。
  (七)建立了与申请检测项目相适应的质量保证体系,编制了管理程序性文件和检测作业指导书。
  (八)有30M2以上的固定办公场所。
  (九)申请RT项,须有《射线装置工作许可证》和《放射工作人员证》;使用γ源进行检测的还须持有《放射性同位素工作许可证》。
第七条 申请单位必须提交上述证明文件和有关资料,填写《锅炉压力容器压力管道特种设备无损检测单位检测资格申请书》(见附件1),报所在地的省级质量技术监督行政部门安全监察机构进行审核。
省级安全监察机构须在接到申请资料15天内签署受理初审意见,报国家质检总局锅炉局。国家质检总局锅炉局在15天内给予批复,并向申请单位寄发批复《通知书》(见附件3)。
第八条 国家质检总局锅炉局批准受理后,具体审查工作委托全国锅炉压力容器无损检测人员资格鉴定考核委员会作为审查机构组织实施。
第九条 申请单位接到受理《通知书》后,可通过有关咨询机构获得相关咨询服务,待满足要求后,约请审查机构实施审查。《通知书》有效期为6个月,逾期未进行审查,自行作废。
第十条 咨询机构必须独立于审查机构,经国家质检总局锅炉局备案,并予公布。备案具体要求另行制定。
第十一条 经审查合格的无损检测单位,由国家质检总局锅炉局颁发无损检测资格证书,并予以公告。证书由国家质检总局统一一制作。
证书有效期五年,无损检测单位应在有效期满前六个月提出复查换证申请。逾期,将视为自动放弃资格。
第十二条 无损检测单位申请换证,须向原发证机关提交《锅炉压力容器压力管道特种设备无损检测单位资格复查申请书》(见附件2),并满足以下条件:
  (一)取得资格证后,每年均未间断无损检测工作,并有一定数量锅炉压力容器压力管道特种设备无损检测业绩;
  (二)没有重大检测质量投诉;
  (三)未发生检测责任事故;
  (四)自觉接受各级安全监察机构的监督检查。
第十三条 取证审查及换证审查的内容及具体要求按照《锅炉压力容器压力管道特种设备无损检测单位资格审查实施指南》(以下简称《指南》),《指南》由审查机构编制,国家质检总局锅炉局批准执行。

第三章 监督管理

第十四条 取得资格的无损检测单位可接受锅炉、压力容器、压力管道、特种设备制造、安装、检验、修理、改造单位的委托(以下简称委托单位),从事制造、安装、检验、修理、改造过程中的无损检测工作(不含监督检验)。
第十五条 无损检测单位接受委托,必须与委托单位签订合同。合同至少应包括委托项目、内容、双方的责任(包括检测设备、场地、费用、问题处理以及底片保存的责任方)等内容。合同必须有双方法定代表人签字,合同的有效期应在承担无损检测工作的检测单位的资格有效期内。
第十六条 无损检测单位要按被检测设备的相关法规、规章所要求的格式向委托单位出具无损检测报告。检测报告须经无损检测单位技术负责人签发,并加盖单位公章。无损检测单位出具的无损检测报告,作为证明无损检测结果的有效文书,可以附于委托单位的质量证明、综合检验报告。
第十七条 元损检测单位出现检测质量问题,除按双方签订的合同规定进行处理外,还应由委托单位或检测单位所在地的省级安全监察机构提出意见并报国家质检总局锅炉局,给予相应处理;涉嫌犯罪的,移送司法机关依法追究法律责任。
第十八条 无损检测单位的名称、地址、法定代表人、技术负责人发生变更,必须及时提交变更的有关证明文书,经省级安全监察机构审查后报国家质检总局锅炉局备案。
第十九条 各级安全监察机构发现无损检测单位有下列情况之一,予以警告,并报请发证机关按有关规定进行处理;涉嫌犯罪的,移送司法机关依法追究刑事责任。
  (一)扩散无损检测资格或超出许可项目范围进行检测的;
  (二)不满足基本条件或超过资格证有效期,继续从事授权项目检测工作的;
  (三)检测程序、步骤和内容不符合要求,出具的检测结果和证明失实;
  (四)因检测失误造成重大质量事故的;
  (五)伪造检测数据或出具虚假证明的;
第二十条 各级安全监察机构要对无损检测单位的检测工作质量进行监督检查。省级安全监察机构对所辖区的无损检测单位五年至少进行一次监督检查。检查结果报国家质检总局锅炉局。
第二十一条 审查机构应严格管理,并按有关规定组织审查,对弄虚作假出具失实审查报告的、泄露被审单位秘密造成损失的,国家质检总局锅炉局将依法追究责任。
第二十二条 审查人员应严格按照有关规定依法实施审查,对失职违法、徇私舞弊者,给予相应处理;涉嫌犯罪的,移送司法机关依法追究刑事责任。

第四章 附则

第二十三条 申请单位对审查结果有异议时,可向国家质检总局提请复议。
第二十四条 本《办法》由国家质量监督检验检疫总局负责解释。
第二十五条 本《办法》自颁布之日起实行。

下载地址: 点击此处下载

关于进一步推进医疗保险付费方式改革的意见

人力资源和社会保障部


关于进一步推进医疗保险付费方式改革的意见

人社部发〔2011〕63号


各省、自治区、直辖市、人力资源社会保障厅(局),新疆生产建设兵团劳动保障局:

  基本医疗保险制度建立以来,各地积极探索有效的医疗保险付费方式,在保障参保人员权益、规范医疗服务行为、控制医疗费用增长和促进医疗机构发展等方面发挥了重要作用。随着医药卫生体制改革的深化,对完善医疗保险付费体系提出了更新更高的要求。按照党中央、国务院关于深化医药卫生体制改革的总体部署,为进一步推进医疗保险付费方式改革,现提出如下意见:

  一、推进付费方式改革的任务目标与基本原则

  当前推进付费方式改革的任务目标是:结合基金收支预算管理加强总额控制,探索总额预付。在此基础上,结合门诊统筹的开展探索按人头付费,结合住院门诊大病的保障探索按病种付费。建立和完善医疗保险经办机构与医疗机构的谈判协商机制与风险分担机制,逐步形成与基本医疗保险制度发展相适应,激励与约束并重的支付制度。

  推进付费方式改革必须把握以下基本原则:一是保障基本。要根据医疗保险基金规模,以收定支,科学合理确定支付标准,保障参保人员的基本医疗待遇。二是建立机制。要建立医疗保险经办机构和医疗机构之间的谈判协商机制和风险分担机制。三是加强管理。要针对不同付费方式特点,完善监督考核办法,在费用控制的基础上加强对医疗服务的质量控制。四是因地制宜。要从实际出发,积极探索,勇于创新,不断总结经验,完善医疗保险基金支付办法。

  二、结合基金预算管理加强付费总额控制

  付费方式改革要以建立和完善基金预算管理为基础。各统筹地区要按照《国务院关于试行社会保险基金预算的意见》(国发〔2010〕2号)文件要求,认真编制基本医疗保险基金收支预算。对基金支出预算要进行细化,将支出预算与支付方式相结合,进行支出预算分解。

  要根据基金收支预算实行总额控制,探索总额预付办法。各地要按照基金支出总额,确定对每一种付费方式的总额控制指标,根据不同定点医疗机构级别、类别、特点以及承担的服务量等因素,落实到每一个定点医疗机构,以及每一结算周期,并体现在医保经办机构和定点医疗机构的协议中。医保经办机构要根据协议的规定,按时足额向定点医疗机构支付费用。同时,根据基金能力和结算周期,明确预拨定点医疗机构周转金的条件和金额。

  要将定点医疗机构总额控制指标与其定点服务考评结果挂钩,在按周期进行医疗费用结算的基础上,按照“结余奖励、超支分担”的原则实行弹性结算,作为季度或年度最终结算的依据。

  三、结合医保制度改革探索相应的付费办法

  门诊医疗费用的支付,要结合居民医保门诊统筹的普遍开展,适应基层医疗机构或全科医生首诊制的建立,探索实行以按人头付费为主的付费方式。实行按人头付费必须明确门诊统筹基本医疗服务包,首先保障参保人员基本医疗保险甲类药品、一般诊疗费和其他必需的基层医疗服务费用的支付。要通过签订定点服务协议,将门诊统筹基本医疗服务包列入定点服务协议内容,落实签约定点基层医疗机构或全科医生的保障责任。

  住院及门诊大病医疗费用的支付,要结合医疗保险统筹基金支付水平的提高,探索实行以按病种付费为主的付费方式。按病种付费可从单一病种起步,优先选择临床路径明确、并发症与合并症少、诊疗技术成熟、质量可控且费用稳定的常见病、多发病。同时,兼顾儿童白血病、先天性心脏病等当前有重大社会影响的疾病。具体病种由各地根据实际组织专家论证后确定。有条件的地区可逐步探索按病种分组(DRGs)付费的办法。生育保险住院分娩(包括顺产、器械产、剖宫产)医疗费用,原则上要按病种付费的方式,由经办机构与医疗机构直接结算。暂不具备实行按人头或按病种付费的地方,作为过渡方式,可以结合基金预算管理,将现行的按项目付费方式改为总额控制下的按平均定额付费方式。

  各地在改革中要按照不增加参保人员个人负担的原则,根据不同的医疗保险付费方式,适当调整政策,合理确定个人费用分担比例。

  四、结合谈判机制科学合理确定付费标准

  付费标准应在调查测算的基础上确定。可以对改革前3年定点医疗机构的费用数据进行测算,了解掌握不同医疗机构参保人员就医分布以及费用支出水平。在此基础上,根据医保基金总体支付能力和现行医保支付政策,确定医保基础付费标准。要以基础付费标准为参照,通过经办机构与定点医疗机构的谈判协商,根据定点医疗机构服务内容、服务能力以及所承担医疗保险服务量,确定不同类型、不同级别医疗机构的具体的付费标准。同时,综合考虑经济社会发展、医疗服务提供能力、适宜技术服务利用、消费价格指数和医药价格变动等因素,建立付费标准动态调整机制。

  统筹地区要遵循公开透明的原则,制定医保经办机构与定点医疗机构进行谈判的程序和办法,在实践中对谈判的组织、管理、方式、纠纷处理办法等方面进行积极探索。

  五、建立完善医疗保险费用质量监控标准体系

  要建立健全医疗保险服务监控标准体系。要在基本医疗保险药品目录、诊疗项目范围、医疗服务设施标准基础上,针对不同付费方式特点分类确定监控指标。应明确要求定点医疗机构执行相应的出入院标准,确定住院率、转诊转院率、次均费用、参保人自费项目费用比例以及医疗服务质量、临床路径管理、合理用药情况等方面的技术控制标准,并将此纳入协议,加强对医疗机构费用的控制和质量的监管,切实保障参保人权益。

  要针对不同付费方式明确监管重点环节。采取按人头付费的,重点防范减少服务内容、降低服务标准等行为;采取按病种付费的,重点防范诊断升级、分解住院等行为;采取总额预付的,重点防范服务提供不足、推诿重症患者等行为。

  要加强对定点医疗机构的监督检查。通过引入参保人满意度调查、同行评议等评价方式,完善考核评价办法。要充分利用信息管理系统,通过完善数据采集和加强数据分析,查找不同付费方式的风险点并设置阈值,强化对医疗行为和医疗费用的监控,并总结风险规律,建立诚信档案。要将监测、考评和监督检查的结果与医保实际付费挂钩。

  六、统筹规划,精心组织,以点带面推动实施

  推动医疗保险付费方式改革是一个长期的、不断完善的过程,各地要统一思想,提高认识,加强领导,落实责任,抓好组织工作。在推进医疗保险付费方式改革中,要按照有利于提高医疗保险基金使用效率,有利于调动医疗机构及其医务人员的积极性,有利于提高医保管理服务水平,有利于维护参保人员的基本医疗保障权益的指导思想,主动改革,敢于创新,针对改革中遇到的新情况、新问题,不断调整完善付费政策和办法。

  各省级人力资源社会保障部门要按照本意见要求,在认真调研的基础上制定本省(区、市)推进付费方式改革总体规划。要通过建立重点联系城市制度,发现、培育、树立典型,通过搭建交流工作平台,充分发挥典型城市的示范带头作用,以点带面加强对所辖统筹地区的指导。

  各统筹地区人力资源社会保障部门要按照省(区、市)的统一部署,制定本地区推动付费方式改革的工作方案,明确改革目标、改革思路以及推进步骤。统筹地区工作方案应报送省级人力资源社会保障部门备案。

付费方式改革涉及各方利益的调整,在改革中要注意维护政策的连续性和稳定性,妥善处理改革与稳定的关系。要加强与其他部门的沟通协调,充分听取社会各方意见建议,形成改革的合力。遇有重大事项要及时报告。

二○一一年五月三十一日



SECURITIES AND FUTURES COMMISSION ORDINANCE ——附加英文版

Hong Kong


SECURITIES AND FUTURES COMMISSION ORDINANCE
 (CHAPTER 24)
 ARRANGEMENT OF SECTIONS
  
  ion
  I    PRELIMINARY
  hort title
  nterpretation
  II    SECURITIES AND FUTURES COMMISSION
  ecurities and Futures Commission
  unctions of Commission
  onstitution of Commission
  ommission may establish committees
  taff of Commission
  eneral powers of Commission
  elegation and sub-delegation of Commission's functions
  Advisory Committee
  Directions to Commission
  Annual report of Commission
  Commission to furnish information
  Financial year and estimates of income and expenditure
  Accounts
  Auditors and audit
  Investment of funds
  III   SECURITIES AND FUTURES APPEALS PANEL
  Constitution of Appeals Panel
  Appeals (registration, forfeiture and notices)
  Hearing of appeals by tribunal
  Procedure for appeals
  Case stated
  IV    ADDITIONAL REGISTRATION REQUIREMENTS
  Applications under section 51 of Securities Ordinance or section
30 of
  odities Trading Ordinance; supplementary provisions
  Applicant under Securities Ordinance or Commodities Trading
Ordinance
  urnish information to Commission
  Certificates of registration to continue in force
  Section 23 (2) and (3) to apply to inquiries under section 56 of
  rities Ordinance or section 36 of Commodities Trading Ordinance
  Registered persons to notify Commission where records etc. kept
  Financial resources rules
  Modification of financial resources rules in particular cases
  
  V    REGULATION OF REGISTERED PERSONS' BUSINESS, ETC.
  Supervision
  Information relating to transactions
  Certification to High Court relating to non-compliance under
section
  r 31 33. Investigations
  Returns
  Production of computerized information
  Magistrate's warrant
  Destruction etc. of documents
  Powers of intervention
  Restriction of business
  Restriction on dealing with assets
  Maintenance of assets
  Provisions relating to notices under section 39, 40, 41 or 43
  Withdrawal, substitution or variation of notices under section
39, 40
  1 44. Appeals against notices under this Part
  Winding-up orders
  Receiving orders
  VI    SPECIAL PROVISIONS RELATING TO EXCHANGE COMPANIES AND
  RING HOUSES 47. Transfer and resumption of functions
  Information: Exchange Companies and clearing houses
  Notice of closure or re-opening
  Additional powers--restriction notices relating to Exchange
Companies
  clearing houses
  Additional powers--suspension orders relating to Exchange
Companies
  clearing houses
  VII   FUNDING
  Levies
  Appropriation
  Fees and other charges
  VIII MISCELLANEOUS
  Injunctions to restrain contraventions
  Waiver or modification of requirements
  Immunity, etc.
  Liability of directors, etc.
  Evidence
  Preservation of secrecy, etc.
  Service of notices
  Penalties for offences
  Prosecution of certain offences by Commission
  Dissolution of Provisional Securities and Futures Commission
Limited
  transfer of property
  Transitional
  DULE Functions of Commission to which section 9 does not apply
  establish the Securities and Futures Commission and to amend the 
law
  ting to dealing in securities and trading in futures contracts;
and to
  ide for connected or incidental matters.
  he Ordinance other than sections 27 (1) to (8), 30, 31, 32 and 
65 as
  with item 1 (b) of paragraph 4 of Schedule 2 insofar as they 
relate
  he repeal of sections 122 and 123 of the Securities Ordinance
  y 1989 L. N. 126 of 1989
  remaining provisions: 1 August 1989] L. N. 230 of 1989
 PART I PRELIMINARY
  
  hort title
  Ordinance may be cited as the Securities and Futures 
Commission
  nance.
  nterpretation
  his Ordinance, unless the context otherwise requires-
  aring house" means a clearing house within the meaning of section
2
  of the Commodities Trading Ordinance (Cap. 250) or a 
recognized
  ring house within the meaning of section 2 of the Securities
(Clearing
  es) Ordinance (Cap. 420); (Amended 66 of 1990 s. 2; 68 of 1992
s. 20)
  Commission" means the Securities and Futures Commission 
established
  ection 3; "Commodity Exchange" has the meaning assigned to 
it by
  ion 2 (1) of the Commodities Trading Ordinance (Cap. 250);
  pany" means any company within the meaning of the Companies
Ordinance
  . 32) and includes an overseas company within the meaning of 
that
  nance or any other body corporate incorporated in Hong Kong 
having a
  e capital;
  a equipment" has the meaning assigned to it by section 27;
  a material" means any document or other material used in 
connection
  or produced by data equipment;
  ablishment day" means the day on which section 3 comes into
operation;
  hange Company" means-
  the Stock Exchange Company; or
  the Futures Exchange Company,
  "Exchange Companies" means both of those companies;
  cutive director" and "non-executive director" mean a director 
of the
  ission who is appointed under section 5 as an executive director
and a
  executive director thereof, respectively; "exempt dealer" 
has the
  ing assigned to it by section 2 (1) of the Securities Ordinance 
(Cap.
  ;
  ancial resources rules" means rules made under section 28; 
"financial
  " means the period specified in section 14 (1);
  m" has the meaning assigned to it by section 2 (1) of the 
Commodities
  ing Ordinance (Cap. 250);
  ction" includes power and duty;
  ures contract" has the meaning assigned to it by section 2 (1)
of the
  odities Trading Ordinance (Cap. 250);
  ures Exchange Company" means the Exchange Company within the 
meaning
  ection 2 (1) of the Commodities Trading Ordinance (Cap. 250);
  up of companies" has the meaning assigned to it by section 2 (1) 
of
  Companies Ordinance (Cap. 32);
  etary Authority" means the Monetary Authority appointed under 
section
  f the Exchange Fund Ordinance (Cap. 66); (Added 82 of 1992 s. 6)
  icer", in relation to a company, has the meaning assigned to 
it by
  ion 2 (1) of the Companies Ordinance (Cap. 32);
  el" means the Securities and Futures Appeals Panel 
established by
  ion 18;  "property  investment  arrangements"  means 
investment
  ngements as defined in relation to property other than 
securities by
  ion 2 of the Protection of Investors Ordinance (Cap. 335);
  
  ord or other document" includes--
  a book, voucher, receipt or data material, or information 
which is
  rded in a non-legible form but is capable of being reproduced 
in a
  ble form; and (b) any document, disc, tape, sound track or 
other
  ce in which sounds or other data (not being visual 
images) are
  died so as to be capable (with or without the aid of other 
equipment)
  eing reproduced and any film (including a microfilm), tape or 
other
  ce in which visual images are embodied so as to be 
capable (as
  esaid) of being reproduced;
  istered person" means a person who is registered under the 
Securities
  nance (Cap. 333), the Commodities Trading Ordinance (Cap. 
250) (or
  those Ordinances) as a dealer, dealing partnership, 
dealer's
  esentative, investment adviser, commodity trading adviser, 
investment
  sers' partnership, investment representative or a commodity 
trading
  ser's representative;
  relevant Ordinances" means this Ordinance, Part II of the 
Companies
  nance (Cap. 32) (insofar as that Part relates, whether 
directly or
  rectly, to the performance of functions by the Commission in 
relation
  rospectuses and purchase by a company of its own shares) and Part 
XII
  hat Ordinance (insofar as that part relates, whether 
directly or
  rectly, to the performance of functions by the Commission in 
relation
  rospectuses), the Securities Ordinance (Cap. 333), the 
Commodity
  anges (Prohibition) Ordinance (Cap. 82), the Commodities 
Trading
  nance (Cap. 250), the Protection of Investors Ordinance (Cap. 
335),
  Stock Exchanges Unification Ordinance (Cap. 361), the Securities
  aring Houses) Ordinance (Cap. 420), the Securities 
(Disclosure of
  rests) Ordinance (Cap. 396) and the Securities (Insider 
Dealing)
  nance (Cap. 395); (Amended 62 of 1990 s. 41; 68 of 1992 s. 20; 
87 of
  s. 2) "securities" has the meaning assigned to it by section 2
(1) of
  Securities Ordinance (Cap. 333);
  ck Exchange Company" means the Exchange Company within the
meaning of
  ion 2 (1) of the Stock Exchanges Unification Ordinance (Cap. 361);
  ding in commodity futures contracts" has the meaning assigned to
it by
  ion 2 (1) of the Commodities Trading Ordinance (Cap. 250);
  bunal" means a tribunal appointed under section 20;
  fied Exchange" has the meaning assigned to it by section 2 (1)
of the
  k Exchanges Unification Ordinance (Cap. 361).
 PART II SECURITIES AND FUTURES COMMISSION
  
  ecurities and Futures Commission
  There is hereby established a body to be known as the Securities 
and
  res Commission.
  The Commission shall be a body corporate with power to sue 
and be
  . (3) The receipts of the Commission shall not be subject to
taxation
  r the Inland Revenue Ordinance (Cap. 112).
  (a) The Commission shall provide itself with a seal.
  The seal of the Commission shall be authenticated by the signature 
of
  chairman or deputy chairman of the Commission or, if both the
chairman
  deputy chairman of the Commission are absent from Hong Kong or 
unable
  ct, the signature of some other director of the Commission 
authorized
  t to act in that behalf.
  
  unctions of Commission
  The Commission shall have the following functions--
  to advise the Financial Secretary on all matters 
relating to
  rities, futures contracts and property investment arrangements;
  without prejudice to any duties imposed or powers conferred 
on any
  r person in regard to the enforcement of the law 
relating to
  rities, futures contracts and property investment arrangements,
to be
  onsible for ensuring that the provisions of the relevant 
Ordinances,
  the provisions of any other Ordinance so far as they 
relate to
  rities, futures contracts and property investment 
arrangements, are
  lied with;
  to report to the Financial Secretary the occurrence of any dealing 
in
  tion to securities which it reasonably believes or suspects to 
be an
  der dealing within the meaning of section 9 of the Securities
(Insider
  ing) Ordinance (Cap. 395); (Amended 62 of 1990 s. 42)
  to be responsible for supervising and monitoring the activities
of the
  ange Companies and clearing houses;
  to take all reasonable steps to safeguard the interests of 
persons
  ing in securities or trading in futures contracts or entering 
into
  erty investment arrangements;
  to promote and encourage proper conduct amongst members 
of the
  ange Companies and clearing houses, and other registered persons;
  to suppress illegal, dishonourable and improper practices in 
dealing
  ecurities, trading in futures contracts, entering into 
property
  stment arrangements, and the provision of investment advice or 
other
  ices relating to securities, futures contracts and property
investment
  ngements;
  to promote and maintain the integrity of registered 
persons and
  urage the promulgation by registered persons of balanced and 
informed
  ce to their clients and to the public generally;
  to consider and suggest reforms of the law relating to 
securities,
  res contracts and property investment arrangements;
  to encourage the development of securities and futures markets
in Hong
  and the increased use of such markets by investors in Hong Kong 
and
  where; (k) to promote and develop self-regulation by market
bodies in
  securities and futures industries;
  subject to the provisions of this Ordinance, to co-operate with 
and
  st authorities or regulatory organizations, in Hong Kong or
elsewhere,
  are concerned with securities and futures, or with banking,
insurance
  ther financial services or with the affairs of corporations;
(Added 67
  991 s. 2)
  to perform any other functions conferred by or under 
any other
  nance.
  As regards any function, the Commission may, for the 
guidance of
  stered persons and others, prepare and cause to be published in 
the
  tte guidelines indicating the manner in which, in the absence of 
any
  icular consideration or circumstance, it proposes to 
perform the
  tion.
  The Commission may from time to time engage such 
consultants or
  sers as it may consider necessary to assist the Commission 
in the
  ormance of its functions. (4) Nothing in subsection (1) (k)
shall be
  rded as limiting or otherwise affecting any other function 
of the
  ission.
  
  onstitution of Commission
  Subject to subsection (2), the Commission shall consist of a 
chairman
  inted by the Governor and such uneven number, not being less than 
7,
  ther directors so appointed as the Governor may determine; and 
when
  number of such other directors ceases to be an uneven 
number the
  rnor shall make such appointment or appointments as may be 
necessary
  omply with this subsection.
  Half of the directors of the Commission, including the chairman,
shall
  ppointed to be executive directors and the remainder 
shall be
  inted to be non-executive directors.
  The Governor may appoint an executive director to be deputy 
chairman
  he Commission.
  (a) If no appointment has been made under subsection (3) or if 
the
  ce of deputy chairman of the Commission is vacant, the 
Financial
  etary may designate an executive director to act as chairman of 
the
  ission during any period during which the chairman of the 
Commission
  nable to act as chairman due to illness or other incapacity 
or is
  nt from Hong Kong.
  A designation under this subsection shall cease when revoked 
by the
  ncial Secretary or an appointment is made under 
subsection (3),
  hever first occurs. (5) The terms and conditions of office 
of a
  ctor of the Commission shall be such as the Governor may
determine.
  A director of the Commission may at any time resign his 
office by
  er sent to the Governor.
  A director of the Commission shall be paid by the Commission 
such
  neration, allowances or expenses as the Governor may determine.
  The Governor may by notice in writing remove from office any 
director
  he Commission whose removal appears to him to be desirable 
for the
  ctive performance by the Commission of its functions.
  Meetings of the Commission shall be held as often as may be 
necessary
  the performance of its functions, and may be convened by the 
chairman
  he deputy chairman or any 2 other directors.
  If the office of chairman of the Commission is vacant or the
chairman
  he Commission is unable to act as chairman due to illness or 
other
  pacity or is absent from Hong Kong the deputy chairman or an
executive
  ctor designated under subsection (4) shall act as chairman 
in his
  e.
  At a meeting of the Commission--
  the chairman shall be chairman of the meeting; or
  if the chairman is not present, the deputy chairman shall be 
chairman
  he meeting; or
  if neither the chairman nor the deputy chairman is 
present, the
  ctors present shall choose one of their number to be chairman of 
the
  ing.
  The quorum for a meeting of the Commission shall be 4 directors 
of
  2 shall be executive directors and 2 shall be non-
executive
  ctors.
  Each director of the Commission present at a meeting thereof 
shall
  a vote. (14) (a) Every question for decision at a meeting of 
the
  ission shall be determined by a majority of votes of the 
directors
  ent and, in the event that voting is equally divided, 
subject to
  graph (b) the chairman of the meeting shall have a casting vote. 
(b)
  chairman of a meeting shall not exercise a casting vote until
after he
  consulted the Financial Secretary as regards that exercise.
  The Commission may act notwithstanding a vacancy among its
directors.
  The Commission shall organize and regulate its 
administration,
  edure and business.
  
  ommission may establish committees
  The Commission may establish standing or special committees 
and may
  r or assign to any such committee any matter for 
consideration,
  iry or management by the committee.
  The Commission may appoint any person to be a member of any 
committee
  blished under this section, whether that person is a director of 
the
  ission or not. (3) Any reference or assignment under 
subsection (1)
  every appointment under subsection (2) may be withdrawn or
revoked by
  Commission at any time, and no such reference or assignment 
shall
  ent the performance by the Commission of any of its functions.
  A committee established under this section may elect any 
of its
  ers to be chairman and may regulate its own procedure and 
business;
  in the exercise of its powers under this subsection such 
committee
  l be subject to and act in accordance with any direction given
to the
  ittee by the Commission for the purposes of this subsection.
  Meetings of a committee established under this section shall be 
held
  uch times and places as the chairman of that committee may,
subject to
  ection (4), determine.
  taff of Commission
  The Commission may from time to time employ persons who shall be 
paid
  remuneration and allowances and shall hold their employment on 
such
  r terms and conditions as the Commission shall determine.
  The Commission may make arrangements for or in respect 
of the
  ision and maintenance of such schemes (whether contributory or 
not)
  the payment to its employees and their dependants of such 

不分页显示   总共8页  1 [2] [3] [4] [5] [6] [7] [8]

  下一页