Re: Q&A in connection with the influence of an intermediary is under register and investigation 

中介机构被立案调查是否影响上市公司并购重组行政许可的受理？（2015年9月18日）

 Does the circumstance that an intermediary is under register and investigation have influence on the acceptance of administrative licensing for merger, acquisition and restructuring of listed companies? (September 18, 2015)

答复：上市公司并购重组行政许可中，涉及的中介机构主要有：独立财务顾问、律师事务所、审计机构、评估机构。

Reply: The intermediaries involved in the administrative licensing for merger, acquisition and restructuring of listed companies mainly include: independent financial adviser, law firm, audit institution, appraisal agency.

根据《上市公司并购重组财务顾问业务管理办法》以及《证券发行上市保荐业务管理办法》的规定，独立财务顾问（暨保荐机构）因从事并购重组、保荐业务被立案调查后，我会对其出具的文件暂不受理，待立案调查影响消除后，视情况受理。

According to the stipulations of the Measures for Management of Financial Advisor Business for Merger & Acquisition and Restructuring of Listed Companies and the Measures for Management of Listing Sponsor Business of Securities Issuance, CSRC will temporarily not accept the documents issued by the dependent financial advisor (that is also sponsor institution) which is under register and investigation due to its conducting of merger, acquisition and restructuring as well as sponsor business. Such documents will be accepted as appropriate after such register and investigation affect is eliminated.

根据《律师事务所从事证券法律业务管理办法》的规定，律师事务所被立案调查后，我会对其出具的文件暂不受理，待立案调查影响消除后，视情况受理。

According to the stipulations of the Measures for Management of Conducting Securities Legal Business by Law Firms, CSRC will temporarily not accept the documents issued by the law firm which is under register and investigation. Such documents will be accepted as appropriate after such register and investigation affect is eliminated.

审计机构、评估机构被立案调查的，我会在受理其出具的财务报告、评估报告等文件后，在审核中将重点关注其诚信信息及执业状况。

After CSRC accepts the documents such as financial report, appraisal report and etc. issued by the audit institution and appraisal agency which are under register and investigation, it will focus on their integrity information and practice status in the process of approval and examination.

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