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境外资本市场重要法律文献译丛7·欧洲卷：欧盟金融监管体制改革法规汇编（中英文对照本）
作者：中国证券监督管理委员会 编
出版社：法律出版社
出版时间：2013-11-01
ISBN：9787511851369
定价：¥223.00
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内容简介
《境外资本市场重要法律文献译丛（7）·欧洲卷：欧盟金融监管体制改革法规汇编（中英文对照本）》选取了欧盟证券监管领域9项重要法律文件进行翻译。这9项法律文件是欧洲议会与欧盟理事会根据欧盟委员会《金融服务行动计划》（Financial Services Action Plan， FSAP）和《莱姆法路西计划》（Lamfalussy Process），于2003年至2009年间针对欧盟内证券市场“招募说明书”、“内幕交易和市场操纵”、“发行人透明度”、“评级机构监管”四大问题所发布的指令及修订。这些指令是当前欧洲证券监管在相关领域的基本原则和规则，旨在协调欧盟各国的有关监管制度，推进欧洲资本市场一体化进程。总体而言，这些指令使欧盟证券市场的运行和监管达到了全新的水平。
作者简介
杨隽，中国人民武装警察部队学院党委书记、院长，武警少将，博士。兼任国家科技奖励评审委员会委员，全国消防工程专业教学指导委员会主任，公安部科技奖励评审委员会委员，全国公安边消警部队、消防研究所高级职称资格评审委员会主任，中国公共安全科学技术学会副理事长，中国科协减轻自然灾害专家组专家，中国消防协会常务理事，中国消防协会学术工作委员会主任委员，灭火救援技术公安部重点实验室主任等职。享受国务院政府特殊津贴。杨隽同志长期从事公安现役高等教育教学管理和消防领域学术科研工作，取得了优异成绩。先后主持国家“十二五”科技支撑计划课题“超大型油罐火灾防治与危险化学品事故现场处置技术研究”等国家级科研项目5项，省部级科研项目5项，教学改革项目7项，获公安高等教育教学成果特等奖、一等奖各1项，公安部科学技术一等奖、三等奖各1项，主编、主审著作、教材9部，在各类期刊和学术会议上发表论文40余篇。梅建明，中国人民公安大学反恐怖研究中心主任、国际警务执法学院副教授、博士；公安部警卫局培训中心特聘专家、中国人民武装警察部队学院客座教授；1990-1997年在中国杨隽，中国人民武装警察部队学院党委书记、院长，武警少将，博士。兼任国家科技奖励评审委员会委员，全国消防工程专业教学指导委员会主任，公安部科技奖励评审委员会委员，全国公安边消警部队、消防研究所高级职称资格评审委员会主任，中国公共安全科学技术学会副理事长，中国科协减轻自然灾害专家组专家，中国消防协会常务理事，中国消防协会学术工作委员会主任委员，灭火救援技术公安部重点实验室主任等职。享受国务院政府特殊津贴。杨隽同志长期从事公安现役高等教育教学管理和消防领域学术科研工作，取得了优异成绩。先后主持国家“十二五”科技支撑计划课题“超大型油罐火灾防治与危险化学品事故现场处置技术研究”等国家级科研项目5项，省部级科研项目5项，教学改革项目7项，获公安高等教育教学成果特等奖、一等奖各1项，公安部科学技术一等奖、三等奖各1项，主编、主审著作、教材9部，在各类期刊和学术会议上发表论文40余篇。梅建明，中国人民公安大学反恐怖研究中心主任、国际警务执法学院副教授、博士；公安部警卫局培训中心特聘专家、中国人民武装警察部队学院客座教授；1990-1997年在中国人民解放军西安陆军学院任教。曾先后被公派赴加拿大维多利亚大学、美国德克萨斯州立山姆 休斯顿大学（Sam Houston State University）、澳大利亚国立大学等高校做访问学者，从事恐怖主义研究。主持或参与国家级、省部级科研项目8项。参与编写著作8本，发表论文20余篇。长期从事恐怖主义、有组织犯罪、公安情报等领域的研究。
目录
DIRECTIVE 2010/78/EU OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
Article 1 Amendments to Directive 98/26/EC
Article 2 Amendments to Directive 2002/87/EC
Article 3 Amendments to Directive 2003/6/EC
Article 4 Amendments to Directive 2003/41/EC
Article 5 Amendments to Directive 2003/71/EC
Article 6 Amendments to Directive 2004/39/EC
Article 7 Amendments to Directive 2004/109/EC
Article 8 Amendments to Directive 2005/60/EC
Article 9 Amendments to Directive 2006/48/EC
Article 10 Amendments to Directive 2006/49/EC
Article 11 Amendments to Directive 2009/65/EC
Article 12 Review
Article 13 Transposition
Article 14 Entry into force
Article 15 Addressees
REGULATION （EU） NO 1092/2010 OF THE EUROPEAN
PARLIAMENT AND OF THE COUNCIL
CHAPTER I GENERAL PROVISIONS
Article 1 Establishment
Article 2 Definitions
Article 3 Mission， objectives and tasks
CHAPTER II ORGANISATION
Article 4 Structure
Article 5 Chair and Vice-Chairs of the ESRB
Article 6 General Board
Article 7 Impartiality
Article 8 Professional secrecy
Article 9 Meetings of the General Board
Article 10 Voting modalities of the General Board
Article 11 Steering Committee
Article 12 Advisory Scientific Committee
Article 13 Advisory Technical Committee
Article 14 Other sources of advice
CHAPTER III TASKS
Article 15 Collection and exchange of information
Article 16 Warnings and recommendations
Article 17 Follow-up of the ESRB recommendations
Article 18 Public warnings and recommendations
CHAPTER IV FINAL PROVISIONS
Article 19 Accountability and reporting obligations
Article 20 Review
Article 21 Entry into force
REGULATION （EU） NO 1093/2010 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
CHAPTER I ESTABLISHMENT AND LEGAL STATUS
Article 1 Establishment and scope of action
Article 2 European System of Financial Supervision
Article 3 Accountability of the Authorities
Article 4 Definitions
Article 5 Legal status
Article 6 Composition
Article 7 Seat
CHAPTER II TASKS AND POWERS OF THE AUTHORITY
Article 8 Tasks and powers of the Authority
Article 9 Tasks related to consumer protection and financial activities
Article 10 Regulatory technical standards
Article 11 Exercise of the delegation
Article 12 Revocation of the delegation
Article 13 Objections to regulatory technical standards
Article 14 Non-endorsement or amendment of draft regulatory technical standards
Article 15 Implementing technical standards
Article 16 Guidelines and recommendations
Article 17 Breach of Union law
Article 18 Action in emergency situations
Article 19 Settlement of disagreements between competent authorities in cross-
border situations
Article 20 Settlement of disagreements between competent authorities across sectors
Article 21 Colleges of supervisors
Article 22 General provisions
Article 23 Identification and measurement of systemic risk
Article 24 Permanent capacity to respond to systemic risks
Article 25 Recovery and resolution procedures
Article 26 European system of deposit guarantee schemes
Article 27 European system of bank resolution and funding arrangements
Article 28 Delegation of tasks and responsibilities
Article 29 Common supervisory culture
Article 30 Peer reviews of competent authorities
Article 31 Coordination function
Article 32 Assessment of market developments
Article 33 International relations
Article 34 Other tasks
Article 35 Collection of information
Article 36 Relationship with the ESRB
Article 37 Banking Stakeholder Group
Article 38 Safeguards
Article 39 Decision-making procedures
CHAPTER III ORGANISATION
SECTION 1 Board of Supervisors
Article 40 Composition
Article 41 Internal committees and panels
Article 42 Independence
Article 43 Tasks
Article 44 Decision-making
SECTION 2 Management Board
Article 45 Composition
Article 46 Independence
Article 47 Tasks
SECTION 3 Chairperson
Article 48 Appointment and tasks
Article 49 Independence
Article 50 Report
SECTION 4 Executive Director
Article 51 Appointment
Article 52 Independence
Article 53 Tasks
CHAPTER IV JOINT BODIES OF THE EUROPEAN SUPERVISORY
AUTHORITIES
SECTION 1 Joint Committee of European Supervisory Authorities
Article 54 Establishment
Article 55 Composition
Article 56 Joint positions and common acts
Article 57 Sub-Committees
SECTION 2 Board of Appeal
Article 58 Composition and operation
Article 59 Independence and impartiality
CHAPTER V REMEDIES
Article 60 Appeals
Article 61 Actions before the Court of Justice of the European Union
CHAPTER VI FINANCIAL PROVISIONS
Article 62 Budget of the Authority
Article 63 Establishment of the budget
Article 64 Implementation and control of the budget
Article 65 Financial rules
Article 66 Anti-fraud measures
CHAPTER VII GENERAL PROVISIONS
Article 67 Privileges and immunities
Article 68 Staff
Article 69 Liability of the Authority
Article 70 Obligation of professional secrecy
Article 71 Data protection
Article 72 Access to documents
Article 73 Language arrangements
Article 74 Headquarters Agreement
Article 75 Participation of third countries
CHAPTER VIII TRANSITIONAL AND FINAL PROVISIONS
Article 76 Preparatory actions
Article 77 Transitional staff provisions
Article 78 National provisions
Article 79 Amendments
Article 80 Repeal
Article 81 Review
Article 82 Entry into force
REGULATION （EU） NO 1094/2010 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
CHAPTER I ESTABLISHMENT AND LEGAL STATUS
Article 1 Establishment and scope of action
Article 2 European System of Financial Supervision
Article 3 Accountability of the Authorities
Article 4 Definitions
Article 5 Legal status
Article 6 Composition
Article 7 Seat
CHAPTER II TASKS AND POWERS OF THE AUTHORITY
Article 8 Tasks and powers of the Authority
Article 9 Tasks related to consumer protection and financial activities
Article 10 Regulatory technical standards
Article 11 Exercise of the delegation
Article 12 Revocation of the delegation
Article 13 Objections to regulatory technical standards
Article 14 Non-endorsement or amendment of draft regulatory technical standards
Article 15 Implementing technical standards
Article 16 Guidelines and recommendations
Article 17 Breach of Union law
Article 18 Action in emergency situations
Article 19 Settlement of disagreements between competent authorities in cross-border situations
Article 2 Settlement of disagreements between competent authorities across sectors
Article 21 Colleges of supervisors
Article 22 General provisions
Article 23 Identification and measurement of systemic risk
Article 24 Permanent capacity to respond to systemic risks
Article 25 Recovery and resolution procedures
Article 26 Development of a European network of national insurance guarantee schemes
Article 27 Crisis prevention， management and resolution
Article 28 Delegation of tasks and responsibilities
Article 29 Common supervisory culture
Article 30 Peer reviews of competent authorities
Article 31 Coordination function
Article 32 Assessment of market developments
Article 33 International relations
Article 34 Other tasks
Article 35 Collection of information
Article 36 Relationship with the ESRB
Article 37 Insurance and Reinsurance Stakeholder Group and Occupational Pensions Stakeholder Group
Article 38 Safeguards
Article 39 Decision-making procedures
CHAPTER III ORGANISATION SECTION 1 Board of Supervisors
Article 40 Composition
Article 41 Internal committees and panels
Article 42 Independence
Article 43 Tasks
Article 44 Decision making
SECTION 2 Management Board
Article 45 Composition
Article 46 Independence
Article 47 Tasks
SECTION 3 Chairperson
Article 48 Appointment and tasks
Article 49 Independence
Article 50 Report
SECTION 4 Executive Director
Article 51 Appointment
Article 52 Independence
Article 53 Tasks
CHAPTER IV JOINT BODIES OF THE EUROPEAN SUPERVISORY AUTHORITIES
SECTION 1 Joint Committee of European Supervisory Authorities
Article 54 Establishment
Article 55 Composition
Article 56 Joint positions and common acts
Article 57 Sub-Committees
SECTION 2 Board of Appeal
Article 58 Composition and operation
Article 59 Independence and impartiality
CHAPTER V REMEDIES
Article 60 Appeals
Article 61 Actions before the Court of Justice of the European Union CHAPTER VI FINANCIAL PROVISIONS
Article 62 Budget of the Authority
Article 63 Establishment of the budget
Article 64 Implementation and control of the budget
Article 65 Financial rules
Article 66 Anti-fraud measures
CHAPTER VII GENERAL PROVISIONS
Article 67 Privileges and immunities
Article 68 Staff
Article 69 Liability of the Authority
Article 70 Obligation of professional secrecy
Article 71 Data protection
Article 72 Access to documents
Article 73 Language arrangements
Article 74 Headquarters Agreement
Article 75 Participation of third countries
CHAPTER VIII TRANSITIONAL AND FINAL PROVISIONS
Article 76 Preparatory actions
Article 77 Transitional staff provisions
Article 78 National provisions
Article 79 Amendments
Article 80 Repeal
Article 81 Review
Article 82 Entry into force
Article 1 Amendments to Directive 98/26/EC
Article 2 Amendments to Directive 2002/87/EC
Article 3 Amendments to Directive 2003/6/EC
Article 4 Amendments to Directive 2003/41/EC
Article 5 Amendments to Directive 2003/71/EC
Article 6 Amendments to Directive 2004/39/EC
Article 7 Amendments to Directive 2004/109/EC
Article 8 Amendments to Directive 2005/60/EC
Article 9 Amendments to Directive 2006/48/EC
Article 10 Amendments to Directive 2006/49/EC
Article 11 Amendments to Directive 2009/65/EC
Article 12 Review
Article 13 Transposition
Article 14 Entry into force
Article 15 Addressees
REGULATION （EU） NO 1092/2010 OF THE EUROPEAN
PARLIAMENT AND OF THE COUNCIL
CHAPTER I GENERAL PROVISIONS
Article 1 Establishment
Article 2 Definitions
Article 3 Mission， objectives and tasks
CHAPTER II ORGANISATION
Article 4 Structure
Article 5 Chair and Vice-Chairs of the ESRB
Article 6 General Board
Article 7 Impartiality
Article 8 Professional secrecy
Article 9 Meetings of the General Board
Article 10 Voting modalities of the General Board
Article 11 Steering Committee
Article 12 Advisory Scientific Committee
Article 13 Advisory Technical Committee
Article 14 Other sources of advice
CHAPTER III TASKS
Article 15 Collection and exchange of information
Article 16 Warnings and recommendations
Article 17 Follow-up of the ESRB recommendations
Article 18 Public warnings and recommendations
CHAPTER IV FINAL PROVISIONS
Article 19 Accountability and reporting obligations
Article 20 Review
Article 21 Entry into force
REGULATION （EU） NO 1093/2010 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
CHAPTER I ESTABLISHMENT AND LEGAL STATUS
Article 1 Establishment and scope of action
Article 2 European System of Financial Supervision
Article 3 Accountability of the Authorities
Article 4 Definitions
Article 5 Legal status
Article 6 Composition
Article 7 Seat
CHAPTER II TASKS AND POWERS OF THE AUTHORITY
Article 8 Tasks and powers of the Authority
Article 9 Tasks related to consumer protection and financial activities
Article 10 Regulatory technical standards
Article 11 Exercise of the delegation
Article 12 Revocation of the delegation
Article 13 Objections to regulatory technical standards
Article 14 Non-endorsement or amendment of draft regulatory technical standards
Article 15 Implementing technical standards
Article 16 Guidelines and recommendations
Article 17 Breach of Union law
Article 18 Action in emergency situations
Article 19 Settlement of disagreements between competent authorities in cross-
border situations
Article 20 Settlement of disagreements between competent authorities across sectors
Article 21 Colleges of supervisors
Article 22 General provisions
Article 23 Identification and measurement of systemic risk
Article 24 Permanent capacity to respond to systemic risks
Article 25 Recovery and resolution procedures
Article 26 European system of deposit guarantee schemes
Article 27 European system of bank resolution and funding arrangements
Article 28 Delegation of tasks and responsibilities
Article 29 Common supervisory culture
Article 30 Peer reviews of competent authorities
Article 31 Coordination function
Article 32 Assessment of market developments
Article 33 International relations
Article 34 Other tasks
Article 35 Collection of information
Article 36 Relationship with the ESRB
Article 37 Banking Stakeholder Group
Article 38 Safeguards
Article 39 Decision-making procedures
CHAPTER III ORGANISATION
SECTION 1 Board of Supervisors
Article 40 Composition
Article 41 Internal committees and panels
Article 42 Independence
Article 43 Tasks
Article 44 Decision-making
SECTION 2 Management Board
Article 45 Composition
Article 46 Independence
Article 47 Tasks
SECTION 3 Chairperson
Article 48 Appointment and tasks
Article 49 Independence
Article 50 Report
SECTION 4 Executive Director
Article 51 Appointment
Article 52 Independence
Article 53 Tasks
CHAPTER IV JOINT BODIES OF THE EUROPEAN SUPERVISORY
AUTHORITIES
SECTION 1 Joint Committee of European Supervisory Authorities
Article 54 Establishment
Article 55 Composition
Article 56 Joint positions and common acts
Article 57 Sub-Committees
SECTION 2 Board of Appeal
Article 58 Composition and operation
Article 59 Independence and impartiality
CHAPTER V REMEDIES
Article 60 Appeals
Article 61 Actions before the Court of Justice of the European Union
CHAPTER VI FINANCIAL PROVISIONS
Article 62 Budget of the Authority
Article 63 Establishment of the budget
Article 64 Implementation and control of the budget
Article 65 Financial rules
Article 66 Anti-fraud measures
CHAPTER VII GENERAL PROVISIONS
Article 67 Privileges and immunities
Article 68 Staff
Article 69 Liability of the Authority
Article 70 Obligation of professional secrecy
Article 71 Data protection
Article 72 Access to documents
Article 73 Language arrangements
Article 74 Headquarters Agreement
Article 75 Participation of third countries
CHAPTER VIII TRANSITIONAL AND FINAL PROVISIONS
Article 76 Preparatory actions
Article 77 Transitional staff provisions
Article 78 National provisions
Article 79 Amendments
Article 80 Repeal
Article 81 Review
Article 82 Entry into force
REGULATION （EU） NO 1094/2010 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
CHAPTER I ESTABLISHMENT AND LEGAL STATUS
Article 1 Establishment and scope of action
Article 2 European System of Financial Supervision
Article 3 Accountability of the Authorities
Article 4 Definitions
Article 5 Legal status
Article 6 Composition
Article 7 Seat
CHAPTER II TASKS AND POWERS OF THE AUTHORITY
Article 8 Tasks and powers of the Authority
Article 9 Tasks related to consumer protection and financial activities
Article 10 Regulatory technical standards
Article 11 Exercise of the delegation
Article 12 Revocation of the delegation
Article 13 Objections to regulatory technical standards
Article 14 Non-endorsement or amendment of draft regulatory technical standards
Article 15 Implementing technical standards
Article 16 Guidelines and recommendations
Article 17 Breach of Union law
Article 18 Action in emergency situations
Article 19 Settlement of disagreements between competent authorities in cross-border situations
Article 2 Settlement of disagreements between competent authorities across sectors
Article 21 Colleges of supervisors
Article 22 General provisions
Article 23 Identification and measurement of systemic risk
Article 24 Permanent capacity to respond to systemic risks
Article 25 Recovery and resolution procedures
Article 26 Development of a European network of national insurance guarantee schemes
Article 27 Crisis prevention， management and resolution
Article 28 Delegation of tasks and responsibilities
Article 29 Common supervisory culture
Article 30 Peer reviews of competent authorities
Article 31 Coordination function
Article 32 Assessment of market developments
Article 33 International relations
Article 34 Other tasks
Article 35 Collection of information
Article 36 Relationship with the ESRB
Article 37 Insurance and Reinsurance Stakeholder Group and Occupational Pensions Stakeholder Group
Article 38 Safeguards
Article 39 Decision-making procedures
CHAPTER III ORGANISATION SECTION 1 Board of Supervisors
Article 40 Composition
Article 41 Internal committees and panels
Article 42 Independence
Article 43 Tasks
Article 44 Decision making
SECTION 2 Management Board
Article 45 Composition
Article 46 Independence
Article 47 Tasks
SECTION 3 Chairperson
Article 48 Appointment and tasks
Article 49 Independence
Article 50 Report
SECTION 4 Executive Director
Article 51 Appointment
Article 52 Independence
Article 53 Tasks
CHAPTER IV JOINT BODIES OF THE EUROPEAN SUPERVISORY AUTHORITIES
SECTION 1 Joint Committee of European Supervisory Authorities
Article 54 Establishment
Article 55 Composition
Article 56 Joint positions and common acts
Article 57 Sub-Committees
SECTION 2 Board of Appeal
Article 58 Composition and operation
Article 59 Independence and impartiality
CHAPTER V REMEDIES
Article 60 Appeals
Article 61 Actions before the Court of Justice of the European Union CHAPTER VI FINANCIAL PROVISIONS
Article 62 Budget of the Authority
Article 63 Establishment of the budget
Article 64 Implementation and control of the budget
Article 65 Financial rules
Article 66 Anti-fraud measures
CHAPTER VII GENERAL PROVISIONS
Article 67 Privileges and immunities
Article 68 Staff
Article 69 Liability of the Authority
Article 70 Obligation of professional secrecy
Article 71 Data protection
Article 72 Access to documents
Article 73 Language arrangements
Article 74 Headquarters Agreement
Article 75 Participation of third countries
CHAPTER VIII TRANSITIONAL AND FINAL PROVISIONS
Article 76 Preparatory actions
Article 77 Transitional staff provisions
Article 78 National provisions
Article 79 Amendments
Article 80 Repeal
Article 81 Review
Article 82 Entry into force
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