关于英文版的中华人民共和国证券法硕士学位论文.doc

Comments on the English Version of Law of the People s Republic of China on Securities By Xin Yun Under the Supervision of Professor Mao Junchun A Thesis Submitted to the College of Foreign Languages of shanghai Maritime University in Partial Fulfillment of the Requirements for the MA Degree Shanghai Maritime University June 2008 毕业设计 论文 原创性声明和使用授权说明毕业设计 论文 原创性声明和使用授权说明 原创性声明原创性声明 本人郑重承诺 所呈交的毕业设计 论文 是我个人在指导教 师的指导下进行的研究工作及取得的成果 尽我所知 除文中特别 加以标注和致谢的地方外 不包含其他人或组织已经发表或公布过 的研究成果 也不包含我为获得 及其它教育机构的学位 或学历而使用过的材料 对本研究提供过帮助和做出过贡献的个人 或集体 均已在文中作了明确的说明并表示了谢意 作 者 签 名 日 期 指导教师签名 日 期 使用授权说明使用授权说明 本人完全了解 大学关于收集 保存 使用毕业设计 论 文 的规定 即 按照学校要求提交毕业设计 论文 的印刷本和 电子版本 学校有权保存毕业设计 论文 的印刷本和电子版 并 提供目录检索与阅览服务 学校可以采用影印 缩印 数字化或其 它复制手段保存论文 在不以赢利为目的前提下 学校可以公布论 文的部分或全部内容 作者签名 日 期 学位论文原创性声明学位论文原创性声明 本人郑重声明 所呈交的论文是本人在导师的指导下独立进行 研究所取得的研究成果 除了文中特别加以标注引用的内容外 本 论文不包含任何其他个人或集体已经发表或撰写的成果作品 对本 文的研究做出重要贡献的个人和集体 均已在文中以明确方式标明 本人完全意识到本声明的法律后果由本人承担 作者签名 日期 年 月 日 学位论文版权使用授权书学位论文版权使用授权书 本学位论文作者完全了解学校有关保留 使用学位论文的规定 同意学校保留并向国家有关部门或机构送交论文的复印件和电子版 允许论文被查阅和借阅 本人授权 大学可以将本学位 论文的全部或部分内容编入有关数据库进行检索 可以采用影印 缩印或扫描等复制手段保存和汇编本学位论文 涉密论文按学校规定处理 作者签名 日期 年 月 日 导师签名 日期 年 月 日 指导教师评阅书指导教师评阅书 指导教师评价 指导教师评价 一 撰写 设计 过程 1 学生在论文 设计 过程中的治学态度 工作精神 优 良 中 及格 不及格 2 学生掌握专业知识 技能的扎实程度 优 良 中 及格 不及格 3 学生综合运用所学知识和专业技能分析和解决问题的能力 优 良 中 及格 不及格 4 研究方法的科学性 技术线路的可行性 设计方案的合理性 优 良 中 及格 不及格 5 完成毕业论文 设计 期间的出勤情况 优 良 中 及格 不及格 二 论文 设计 质量 1 论文 设计 的整体结构是否符合撰写规范 优 良 中 及格 不及格 2 是否完成指定的论文 设计 任务 包括装订及附件 优 良 中 及格 不及格 三 论文 设计 水平 1 论文 设计 的理论意义或对解决实际问题的指导意义 优 良 中 及格 不及格 2 论文的观念是否有新意 设计是否有创意 优 良 中 及格 不及格 3 论文 设计说明书 所体现的整体水平 优 良 中 及格 不及格 建议成绩 建议成绩 优优 良良 中中 及格及格 不及格不及格 在所选等级前的 内画 指导教师 指导教师 签名 单位 单位 盖章 年年 月月 日日 评阅教师评阅书评阅教师评阅书 评阅教师评价 评阅教师评价 一 论文 设计 质量一 论文 设计 质量 1 论文 设计 的整体结构是否符合撰写规范 优 良 中 及格 不及格 2 是否完成指定的论文 设计 任务 包括装订及附件 优 良 中 及格 不及格 二 论文 设计 水平二 论文 设计 水平 1 论文 设计 的理论意义或对解决实际问题的指导意义 优 良 中 及格 不及格 2 论文的观念是否有新意 设计是否有创意 优 良 中 及格 不及格 3 论文 设计说明书 所体现的整体水平 优 良 中 及格 不及格 建议成绩 建议成绩 优优 良良 中中 及格及格 不及格不及格 在所选等级前的 内画 评阅教师 评阅教师 签名 单位 单位 盖章 年年 月月 日日 2 教研室 或答辩小组 及教学系意见教研室 或答辩小组 及教学系意见 教研室 或答辩小组 评价 教研室 或答辩小组 评价 一 答辩过程一 答辩过程 1 毕业论文 设计 的基本要点和见解的叙述情况 优 良 中 及格 不及格 2 对答辩问题的反应 理解 表达情况 优 良 中 及格 不及格 3 学生答辩过程中的精神状态 优 良 中 及格 不及格 二 论文 设计 质量二 论文 设计 质量 1 论文 设计 的整体结构是否符合撰写规范 优 良 中 及格 不及格 2 是否完成指定的论文 设计 任务 包括装订及附件 优 良 中 及格 不及格 三 论文 设计 水平三 论文 设计 水平 1 论文 设计 的理论意义或对解决实际问题的指导意义 优 良 中 及格 不及格 2 论文的观念是否有新意 设计是否有创意 优 良 中 及格 不及格 3 论文 设计说明书 所体现的整体水平 优 良 中 及格 不及格 评定成绩 评定成绩 优优 良良 中中 及格及格 不及格不及格 在所选等级前的 内画 教研室主任 或答辩小组组长 教研室主任 或答辩小组组长 签名 年年 月月 日日 教学系意见 教学系意见 系主任 系主任 签名 年年 月月 日日 3 摘摘 要要 本文通过评析 2006 年中国法制出版社出版的 中华人民共和国证券法 以下 简称 证券法 英译本初步探讨了法律文献英译的特点 并且尝试提出 忠实 顺 畅 的 作为法律英译标准 中华人民共和国证券法于 1998 年 12 月 29 日第九届全国人民代表大会常委会第 六次会议通过 并于 1999 年 7 月 1 日起施行的 2004 年 8 月 28 日 第十届全国人 民代表大会常委会第十一次会议通过了 关于修改的决定 修正后的证券法 势必能更好地保护社会公众投资者特别是中小投资者合法权益 加强和完善对上市公司及证券公司的监管 防范和化解证券市场风险 同时也为资 本市场制度创新和产品创新提供发展空间 证券法 的英译本不仅有助于树立我国法律的国际形象 而且有助于国外投资 者了解和熟悉我国的证券市场的现状和特点 从而有利于吸引外国资本进入我国证 券市场 加强对外经济交流 随着中国改革开放的深入和加入世界贸易组织 越来 越多的法律文献己经翻译成英语 因而 法律文献的翻译显得更为重要 相对于法 律文献英译汉 汉译英是一个较薄弱的环节 翻译的质量尚不稳定 瑕瑜互见 在 这种情况下 本论文的撰写具有一定的实用价值 全文共分五章 第一章简要介绍 中华人民共和国证券法 的背景知识 内容及英译的重要性 第二章简略介绍了中西方翻译的一般理论 以及法律翻译研究成果 第三章阐述了法律翻译的标准为 忠实 顺畅 指出法律翻译应该忠实于原文 内容 并遵循法律英语的风格特点 使用简单的英语 做到目的语的自然体现 第四章归纳法律英语的语言特点和文体特点 第五章通过分析译文 提出译文在翻译方面包括反映法律英语特点的词法 句 法 文体方面的欠妥之处 以及作为语言翻译共性的内容的可能误译 语法错误 漏译等 并提出参考意见及总结法律英语翻译中的一些规律及存在问题 关键词关键词 证券法 翻译 法律文本 简单英语 ABSTRACT 4 In this thesis the author conducts a preliminary study of the features of legal document translation and suggests tentatively that Loyalty and Fluency be the criteria for legal document translation after analyzing the English version of the Law of the People s Republic of China on Securities published by China Legal Publishing House in 2006 hereinafter referred to as securities law The Law of the People s Republic of China on Securities was adopted at the 6th Meeting of the Standing Committee of the Ninth National People s Congress on December 29 1998 and became effective as of July 1 1999 On August 28 2004 Decision on the Amendment of Law of the People s Republic of China on Securities was passed at the 11th Session of the Standing Committee of the Tenth National People s Congress The revised securities law is conducive definitely to perfecting the regulation mechanism raising the quality of the listed companies guarding against and lessening the risk of Securities market and better protecting the rights and interests of individual investors To translate the Securities Law into English will not only promote legal exchange between China and foreign countries but also help foreign investors acquaint with and invest in China s securities markets With China s accession to the WTO and its deepening of reform and opening up more and more legal documents have been translated into English and introduced to the world However merits and deficiencies co exist in the legal document translation at present and those deficiencies do really reduce the quality of the translation and thus soil the International image of China In the circumstances the thesis attempts to shed some light on standards of legal document translation The thesis consists of five chapters Chapter I is a brief introduction to the background and the main contents of Securities Law and the importance of the English version Chapter II is a brief introduction to traditional Chinese translation theories modern western translation theories and relevant studies on legal translation Chapter III proposes the evaluation principles for C E legal document translation Loyalty and Fluency which connotes that in translating legal documents from Chinese into English the translators must be faithful to the meaning of the original text observe the features of legal English and use plain English Chapter analyzes the lexical syntactic and stylistic features of legal English Chapter points out some improper translations in the English version of Securities Law in lexical syntactical and stylistic aspects with Loyalty and Fluency as the Criteria KEYWORDS Securities Law translation Legal documents plain English 5 CONTENTS CHAPTER 1 INTRODUCTION TO LAW OF THE PEOPLE S REPUBLIC OF CHINA ON SECURITIES 7 1 1 DEFINITIONS OF SECURITY 7 1 2 GENERAL INTRODUCTION TO THE LAW AND ITS CONTENTS 8 1 3 SIGNIFICANCE OF THE TRANSLATION OF THE SECURITIES LAW INTO ENGLISH 10 CHAPTER 2 A GENERAL REVIEW OF TRANSLATION THEORIES AND PRINCIPLES 12 2 1 TRADITIONAL CHINESE TRANSLATION THEORIES AND PRINCIPLES 12 2 2 MODERN WESTERN TRANSLATION THEORIES 14 2 3 STUDIES ON LEGAL TRANSLATION 16 CHAPTER 3 PRINCIPLES OF LEGAL TRANSLATION 19 3 1 LOYALTY 21 3 2 FLUENCY 22 CHAPTER 4 FEATURES OF LEGAL ENGLISH 25 4 1 LEXICAL FEATURES OF LEGAL ENGLISH 26 4 1 1 ARCHAISM 26 4 1 2 LATIN WORDS 26 4 1 3 TERMS OF ART 27 4 1 4 COMMON WORDS WITH UNCOMMON MEANINGS 27 4 1 5 FORMAL WORDS 28 4 1 6 FUZZY WORDS 29 4 2 SYNTACTICAL FEATURES OF LEGAL ENGLISH 29 4 2 1 USE OF LONG COMPLICATED SENTENCE 30 4 2 2 USE OF MODEL VERBS 31 4 2 3 USE OF PASSIVE VOICE 32 4 2 4 USE OF NOMINALIZATION 32 4 3 STYLISTIC FEATURES OF LEGAL ENGLISH 33 4 3 1 PRECISION 34 4 3 2 FORMALNESS 35 4 3 3 IMPASSIVENESS 35 4 3 4 CONCISENESS 35 CHAPTER 5 SOME DEFECTS AND MISTAKES IN THE ENGLISH VERSION OF LAW OF THE PEOPLE S REPUBLIC OF CHINA ON SECURITIES 37 5 1 ON THE TRANSLATION OF THE TITLE 38 5 2 TECHNICAL TERMS 39 5 3 ARTICLES 43 6 5 4 SINGULAR OR PLURAL NOUNS 46 5 5 ABUSE OF MODAL AUXILIARY SHALL 47 5 6 SUPERFLUOUS WORDS OR PHRASES 50 5 7 USE OF WHICH TO INTRODUCE NON RESTRICTIVE RELATIVE CLAUSES 53 5 8 INCONSISTENCY 56 5 9 OVERTRANSLATION 59 5 10 UNDERTRANSLATION 61 5 11 GRAMMATICAL MISTAKES 63 CONCLUSION 66 BIBLIOGRAPHY 68 7 Chapter 1 Introduction to Law of the People s Republic of China on Securities 1 1 Definitions of Securities In a thesis on the English version of Chinese securities law the term Securities should be first defined In old Chinese 券 is a noun which originally means indentures or vouchers Over 2000 years ago when paper hadn t been invented Chinese people would use a piece of wood or bamboo to perform the function of a paper indenture or voucher First they marked the piece of wood or bamboo so as to tell its genuineness in future and then split it with the right half piece owned by the debtor and the left half taken care of by the creditor From this originated the famous Chinese idiom 胜券在握 Later the meaning of the character 券 is broadened and it generally refers to bills and vouchers In modern Chinese dictionaries we often find a similar definition of security like this a security is an evidence of property or indebtedness including shares and bonds etc The famous American Securities Law of 1933 give us this definition The term security means any note stock treasury stock security future bond debenture evidence of indebtedness certificate of interest or participation in any profit sharing agreement collateral trust certificate preorganization certificate or subscription transferable share investment contract voting trust certificate certificate of deposit for a security fractional undivided interest in oil gas or other mineral rights any put call straddle option or privilege on any security certificate of deposit or group or index of securities including any interest therein or based on the value thereof or any put call straddle option privilege entered into on a national securities exchange relating to foreign currency or in general any interest or instrument commonly known as a security or any certificate of interest or participation in temporary or interim certificate for receipt for guarantee of or warrant or right to subscribe to or purchase any of the forgoing Securities Act of 1933 as Amended 8 1 2 General Introduction to the Law and Its Contents Since the implementation of the historic policy of reform and opening in 1978 securities markets in socialist China gradually began to bud In 1981 the Chinese government started to issue state bonds On December 12 1991 Shanghai Stock Exchange the first stock exchange in the People s Republic of China was established In the following year the Shenzhen Stock Exchange and the securities association of China were founded respectively in July and August In the 1990s China entered into the brand new lawmaking phase In order to carry out the promised principle of governing the state by law our government made a series of laws on or relating to securities including Company law Interim Regulations on the administration of the Issuing and Trading of Stocks Interim Measures for Administration of Convertible Corporate bonds Measures for Administration of Clients Securities Translation Clearing Funds Measures For Administration of Issuance of New Shares by Listed Companies and Law of the People s Republic of China on Funds for Investment in Securities It is true that the above mentioned laws and regulations are all conducive to the development of securities markets in the country but a whole legal system governing various activities in securities market has yet to be established As a step toward this objective after years of preparation and drafting Securities Law of the People s Republic of China was adopted at the Sixth Session of the Standing Committee of the Ninth National People s Congress on December 19 1998 and became effective as of July 1 1999 The securities law not only clearly states its basic principles but also stipulates the norms for issuing trading and listing of securities and acquisition of listed companies and the liabilities of listed companies stock exchanges securities companies securities service companies Because of the fast development of China s securities market many new problems and situations concerning issuing trading and regulation of securities emerge soon after the enforcement of the 1999 law In light of the fact that the 1999 securities law can barely tackle those new problems and situations our government began to amend the law in July 2003 After several rounds of discussions and examinations Law of the People s Republic of China on Securities was revised and adopted at the 18th Session of the Standing Committee of the Tenth national People s Congress on October 27 2005 Consisting of 12 chapters and 240 articles in all the newly revised law complements and adds some new contents to the 1999 law which includes how to perfect the regulation mechanism to raise the quality of the listed companies and to guard against and lessen the risk of Securities market and how to better protect the rights and interests of individual investors And its main contents are as follows Chapter General Provisions Chapter Issuing of Securities 9 Chapter III Trading of Securities Section 1 General Regulations Section 2 Listing of securities Section 3 Continuous Disclosure of Information Section 4 Prohibited Trading Activities Chapter IV Acquisition of Listed Companies Chapter V Stock Exchanges Chapter VI Securities Companies Chapter VII Securities Registrar and Clearance Institutions Chapter VIII Securities Service Institutions Chapter IX Securities Industries Association Chapter Securities Regulatory Authority Chapter Legal Liability Chapter Supplementary Provisions 10 1 3 Significance of the Translation of the Securities Law into English History has now stridden through the threshold of 21st century for about 8 years The two major trends in the globe are still peace and development though some countries and regions are still being ravaged by conflicts and wars and trade protectionism are still popular with some western governments as a means of protecting their industries at the cost of the fledging industries of those developing countries Globalization is deepening and it is not what any governments or persons can resist Hate it or not people must face the reality and actively participate in the globalization to take advantage of it and instead of being overwhelmed by it Out of this consideration our government started to negotiate with relevant foreign governments and international organizations with regard to its entry to the WTO as early as in late 1980s It is 5 years since China entered the WTO In these 5 years on one hand China s economic ties with the outside world have been further deepening with many overseas multinationals and well known businesses having or intending to set their branches or subsidiaries in China on the other hand many Chinese enterprises have gone abroad to seek their fortune in overseas markets Therefore in the context of globalization China is required to quicken its pace in improving the market economy system and in strengthening its legal system so as to meet the international standards on each stage of its economic life The English version of Law of the People s Republic of China on Securities serves as an effective means of publicizing the government s policies and information in investing in Chinese securities markets The purpose of translating securities Law into English is to make foreign investors familiar with the relevant rules and regulations governing the markets so as to help listed companies to tap the new financing resources and help foreign investors to share the fruit of fast economic development of China Besides translating Chinese legal documents into English is challenging and needs more special attention and efforts because its target readers are foreigner especially those English speaking people and the quality of the translation will directly reflect the image of China Compared with E C legal document translation C E legal translation is a weak link One reason is that people engaged in legal document translation are very often legal specialists who seldom have great commands of English Another reason is that few people have taken the trouble to study legal document translation This thesis while making comments on the English version of Law of the People s Republic of China on Securities attempts to improve standards of legal translation from Chinese to English to throw some light on the principles and techniques of C E legal document translation 11 Chapter 2 A General Review of Translation Theories and Principles 2 1 Traditional Chinese Translation Theories and Principles When it comes to the twentieth century Chinese translation theories the first to reach one s mind must be Yan Fu s three principles faithfulness 信 expressiveness 达 elegance 雅 In 1898 Yan Fu in the preface to his own translation of T H Huxley s Evolution and Ethics first defined his three principles Translation involves three requirements difficult to fulfill faithfulness expressiveness and elegance Faithfulness is difficult enough to attain but a translation that is faithful but not fluent is no translation at all According to Yan Fu the principle of faithfulness requires that the meaning in the translated text should be faithful to that of the original Expressiveness is the requirement of readability it means that the translated text must be in accordance with the target language rules elegance requires that a translation should be esthetically pleasing in refined words and the classic prose style of Tongcheng School is the best language of translations In this tripartite criterion the principle of faithfulness is the most important and then comes expressiveness and elegance comes last Since its appearance there have been many different comments on and criticisms of Yan Fu s criterion in the modern Chinese translation history Most translators or translation critics accept Yan Fu s faithfulness and expressiveness Some people criticize his principle of elegance and suggest that the reason for Yan Fu to include elegance in his translation criterion is that he has to serve people s literary taste at that time Now that the taste of that era is outdated so should be the principle of elegance For more than a century Yan Fu three principles have influenced generations of Chinese translators and theorists and have been widely accepted as the essential translation criterion which must be followed by ordinary translators Therefore no one can deny that Yan Fu s three principles are the most important and influential a