| Notice of the Supreme People's Court and the China Securities Regulatory Commission on Matters concerning Inquiry and Freeze of Securities of Persons Subject to Enforcement by Pilot Courts through the Network | | 最高人民法院、中国证券监督管理委员会关于试点法院通过网络查询、冻结被执行人证券有关事项的通知 |
| (No. 72 [2016] of the Supreme People's Court) | | （法[2016]72号） |
| The higher people's courts of Beijing Municipality, Shanghai Municipality, Zhejiang Province, Fujian Province, and Guangdong Province; China Securities Depository and Clearing Co., Ltd.; and the securities regulatory bureaus of Beijing Municipality, Shanghai Municipality, Zhejiang Province, Fujian Province, and Guangdong Province: | | 北京、上海、浙江、福建、广东省（市）高级人民法院，中国证券登记结算有限责任公司，北京、上海、浙江、福建、广东证监局： |
| In order to assist people's courts in improving the enforcement efficiency and protecting the lawful rights and interests of persons subject to enforcement according to the law, the Supreme People's Court and the China Securities Regulatory Commission (hereinafter referred to as the “CSRC”) decide to establish a system for network enforcement inquiry and control and carry out the pilot program of inquiring and freeze securities of persons subject to enforcement by people's courts through the network. You are hereby notified of the relevant matters as follows: | | 为协助人民法院提高执行效率、依法保护被执行人合法权益，最高人民法院、中国证券监督管理委员会（以下简称中国证监会）决定建立网络执行查控系统，开展人民法院通过网络查询、冻结被执行人证券的试点工作。现将有关事项通知如下： |
| I. Establishing a Working Mechanism for Network Inquiry and Control | | 一、建立网络查控工作机制 |
| The Supreme People's Court and the CSRC shall establish a “head office to head office” working mechanism for network inquiry and control. The Supreme People's Court and the CSRC shall be responsible for coordinating the solution of major issues involved in the pilot phase of establishing a system for network enforcement inquiry and control and conducting the network inquiry and control. The Enforcement Bureau of the Supreme People's Court and China Securities Depository and Clearing Co., Ltd. (hereinafter referred to as “CSDC”) shall be responsible for the specific work of establishing a system for network enforcement inquiry and control, and inquiring and freezing securities through the system. | | 最高人民法院与中国证监会建立“总对总”的网络执行查控工作机制。最高人民法院和中国证监会负责协调解决建立网络执行查控系统及网络查控试点阶段有关的重大问题。建立和通过网络执行查控系统查询、冻结证券的具体工作由最高人民法院执行局和中国证券登记结算有限责任公司（以下简称中国结算）负责。 |
| The CSDC and the Supreme People's Court shall establish a dedicated connection for network inquiry and control. The pilot court shall, through the system for network enforcement inquiry and control of the Supreme People's Court, make a request for inquiry and freeze (including initial freeze, continued freeze, freeze waiting in the sequence, and freeze removal) of securities of persons subject to enforcement. The CSDC shall, according to the request of the people's court, complete the corresponding matters for assistance in enforcement and give feedback on inquiry and freeze results to the Supreme People's Court. The Supreme People's Court shall, through the system for network enforcement inquiry and control, give feedback on inquiry and freeze results to the requesting pilot court. | | 中国结算与最高人民法院之间建立网络查控专线联接。试点法院通过最高人民法院网络执行查控系统提出查询、冻结（含初次冻结、续冻、轮候冻结、解除冻结）被执行人证券的请求。中国结算按照人民法院的请求完成相应的协助执行事项，并将查询、冻结结果反馈最高人民法院。最高人民法院通过网络执行查控系统将查询、冻结结果反馈提出查询、冻结请求的试点法院。 |
| II. Adhering to the Principle of Conducting Inquiry and Control and Keeping the Relevant Information Confidential according to the Law | | 二、坚持依法查控、依法保密原则 |
| When inquiring and freezing securities of persons subject to enforcement through the system for network enforcement inquiry and control, the people's court shall adhere to the principle of “using information on inquiry and freeze only in one case,” that is, only the securities of persons subject to enforcement in the case of enforcement and other relevant information shall be inquired and frozen, and the securities of non-subjects of enforcement obligations other than persons subject to enforcement and other relevant information may not be inquired and frozen; and the relevant information on securities of persons subject to enforcement obtained through inquiry and freeze shall be only used in the enforcement work of the case and may not be used for any purpose other than the enforcement of the case. | | 人民法院通过网络执行查控系统查询、冻结被执行人证券的，应当坚持“一案一查一冻一用原则”，即只查询、冻结执行案件中被执行人证券及相关信息，不得查询、冻结被执行人以外的非执行义务主体的证券及相关信息；查询、冻结所获被执行人证券相关信息只用于该案件的执行工作，不得用于该案件执行以外的其他任何用途。 |
| The people's court shall protect the relevant obtained information on securities of persons subject to enforcement as internal case-handling information, effectively conduct the work of information protection in the process of information handling, transmission, reception, and use, and prevent the disclosure and diffusion of the relevant information. | | 人民法院应当将所获得的被执行人证券相关信息作为内部办案信息予以保护，做好信息处理、传输、接收、使用中的信息保护工作，切实防范相关信息被违规泄露、扩散。 |
| Information on the total market value of securities held by persons subject to enforcement may be provided to the enforcement applicant and other personnel directly related to the case enforcement, but the feedback results of such sensitive and detailed information on the variety, quantity, and price of securities held by persons subject to enforcement may not be provided to any person other than case-handling personnel of the people's court. | | 被执行人持有证券的市值总额信息可以提供给申请执行人等与案件执行直接相关的人员，但被执行人持有证券的品种、数量、价格等敏感、明细信息的反馈结果不得提供给法院办案人员以外的其他任何人。 |
Any entity and individual related to information on securities of persons subject to enforcement involved in the network inquiry and control shall observe the laws and regulations, and business rules on information disclosure and prohibition of insider trading at the securities market.
．．．．．． | | 网络查控涉及的与被执行人证券信息有关的单位和个人，应当遵守证券市场有关信息披露、禁止内幕交易等法律法规和业务规则。
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