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Provisions on the Regulatory Functions of Local Offices of the China Securities Regulatory Commission [Effective]
中国证监会派出机构监管职责规定 [现行有效]
【法宝引证码】

Order of the China Securities Regulatory Commission 

中国证券监督管理委员会令

(No. 118) (第118号)

The Provisions on the Regulatory Functions of Local Offices of the China Securities Regulatory Commission, as deliberated and adopted at the 99th Chairman's Executive Meeting of the China Securities Regulatory Commission on June 29, 2015, are hereby issued, and shall come into force on December 1, 2015. 《中国证监会派出机构监管职责规定》已经2015年6月29日中国证券监督管理委员会第99次主席办公会议审议通过,现予公布,自2015年12月1日起施行。
Chairman of the China Securities Regulatory Commission: Xiao Gang 中国证券监督管理委员会主席:肖钢
October 29, 2015 2015年10月29日
Annex: 附件:
Provisions on the Regulatory Functions of Local Offices of the China Securities Regulatory Commission 中国证监会派出机构监管职责规定
Chapter I General Provisions 

第一章 总则

Article 1 For purposes of specifying the regulatory functions of local offices of the China Securities Regulatory Commission (hereinafter referred to as “local offices”), and improving securities and futures supervision, these Provisions are developed in accordance with the Securities Law of the People's Republic of China, the Securities Investment Fund Law of the People's Republic of China, the Regulation on the Administration of Futures Trading, the Regulation on the Supervision and Administration of Securities Companies, the Regulation on the Risk Disposal of Securities Companies, and other relevant laws and administrative regulations.   第一条 为了明确中国证券监督管理委员会派出机构(以下简称派出机构)监管职责,完善证券期货监管,根据《中华人民共和国证券法》、《中华人民共和国证券投资基金法》、《期货交易管理条例》、《证券公司监督管理条例》、《证券公司风险处置条例》等法律、行政法规,制定本规定。
Article 2 Local offices shall be subject to the vertical leadership of the China Securities Regulatory Commission (hereinafter referred to as the “CSRC”), and shall, in accordance with the law, perform regulatory functions in their own name.   第二条 派出机构受中国证券监督管理委员会(以下简称中国证监会)垂直领导,依法以自己的名义履行监管职责。
Article 3 Local offices shall be responsible for conducting the front-line supervision of the securities and futures market, effectively guaranteeing the openness, fairness and impartiality of the capital market, protecting the lawful rights and interests of investors especially minority investors, preventing and legally disposing of market risks within their respective jurisdictions, and promoting the stable and sound development of the capital market within their respective jurisdictions.   第三条 派出机构负责证券期货市场一线监管工作,切实维护资本市场公开、公平、公正,维护投资者特别是中小投资者合法权益,防范和依法处置辖区市场风险,促进辖区资本市场稳定健康发展。
Article 4 The regulatory functions of local offices shall be determined and fulfilled under the principles of statutory functions and powers, legal authorization, consistent powers and responsibilities, openness and transparency, and fairness and impartiality.   第四条 派出机构监管职责的确立和履行,遵循职权法定、依法授权、权责统一、公开透明、公平公正的原则。
The regulatory functions of local offices shall be authorized by the rules of the CSRC, unless they are expressly provided for by any law or administrative regulation. 派出机构履行的监管职责,除法律、行政法规明确规定外,由中国证监会规章授权。
Where specific arrangements need to be made since the matters on regulatory functions involve the coordination and cooperation of functional departments or local offices of the CSRC, stock and futures exchanges, securities depository and clearing institutions, and industry associations, among others, the CSRC shall develop work rules. 监管职责事项涉及中国证监会职能部门、派出机构、证券期货交易场所、证券登记结算机构、行业协会等的协调配合,需要做出具体安排的,由中国证监会制定工作规程。
Article 5 Local offices shall perform the following regulatory functions as required:   第五条 派出机构按照规定履行下列监管职责:
(1) Conducting routine supervision over the relevant market players within their respective jurisdictions. (一)对辖区有关市场主体实施日常监管;
(2) Preventing and disposing of the relevant market risks within their respective jurisdictions. (二)防范和处置辖区有关市场风险;
(3) Investigating the violations of securities and futures laws and regulations, and imposing on administrative penalties. (三)对证券期货违法违规行为实施调查、作出行政处罚;
(4) Providing education to and protecting securities and futures investors. (四)证券期货投资者教育和保护;
(5) Other functions prescribed by laws and administrative regulations and authorized by the CSRC. (五)法律、行政法规规定和中国证监会授权的其他职责。
Article 6 Local offices shall, within the scope of their respective functions, establish and improve the mechanisms for information sharing and regulatory cooperation with stock and futures exchanges, securities depository and clearing institutions, industry associations and other self-disciplinary organizations, the relevant entities administered by the CSRC and other local offices.   第六条 派出机构在其职责范围内,按照中国证监会规定建立健全与证券期货交易场所、证券登记结算机构、行业协会等自律组织、相关会管单位及其他派出机构之间的信息共享和监管合作机制。
Article 7 Local offices shall establish and improve the mechanisms for regulatory cooperation with the relevant departments of local people's governments and the local offices of other financial regulatory authorities within their respective jurisdictions, build the comprehensive supervision system, optimize the supervision law enforcement environment, promote the standard operation and sound development of the capital market within their respective jurisdictions, and cooperate with each other in effectively preventing and disposing of financial risks in the regions.   第七条 派出机构应当与辖区地方人民政府相关部门、其他金融监管机构的派出机构建立健全监管协作机制,构建综合监管体系,优化监管执法环境,促进辖区资本市场规范运行和健康发展,协同做好区域内金融风险防范和处置工作。
Chapter II Daily Supervision 

第二章 日常监管

Article 8 Local offices shall be responsible for implementing administrative licensing matters in accordance with the provisions of laws and administrative regulations and the CSRC's authorization.   第八条 派出机构负责根据法律、行政法规规定以及中国证监会的授权实施行政许可事项。
Local offices shall, as required, accept administrative licensing matters on which local offices conduct preliminary examination and the CSRC conducts reexamination and make decisions, and issue preliminary examination opinions. 派出机构进行初步审查、中国证监会复审并作出决定的行政许可,由派出机构按照规定受理,出具初步审查意见。
Where the relevant functional departments of the CSRC require local offices' inspection and verification of the relevant matters or issuance of regulatory opinions when handling administrative licensing matters, local offices shall provide assistance. 中国证监会相关职能部门办理行政许可,需要派出机构检查、核查相关事项或者出具监管意见的,派出机构应当提供协助。
Article 9 Local offices shall be responsible for inspecting the following market players:   第九条 派出机构负责对下列市场主体实施检查:
(1) Securities issuers, listed companies, non-listed public companies and their controlling shareholders, actual controllers, acquirers, and other parties with information disclosure obligations. (一)证券发行人、上市公司、非上市公众公司及其控股股东、实际控制人、收购人等信息披露义务人;
(2) Securities companies, management institutions of publicly offered funds, futures companies and their subsidiary companies, branch offices, and their controlling shareholders and actual controllers. (二)证券公司、公募基金管理人、期货公司及其子公司、分支机构,以及其控股股东、实际控制人;
(3) Entrusted management institutions of corporate bonds, custodians of publicly offered funds, depository banks of client trading settlement funds, and other institutions. (三)公司债券受托管理人、公募基金托管人、客户交易结算资金存管银行等机构;
(4) Service institutions such as the sales of publicly offered funds, sales payment, share registration, valuation, investment consulting, and evaluation. (四)公募基金销售、销售支付、份额登记、估值、投资顾问、评价等服务机构;
(5) Management institutions of privately offered funds, custodians of privately offered funds and other relevant service institutions of privately offered funds. (五)私募基金管理人、私募基金托管人及其他相关私募基金服务机构;
(6) Securities and futures investment consulting institutions and their branch offices. (六)证券期货投资咨询机构及其分支机构;
(7) Accounting firms, asset appraisal institutions, credit rating institutions, and law firms that engage in the securities and futures businesses and their branch offices. (七)从事证券期货业务的会计师事务所、资产评估机构、资信评级机构、律师事务所及其分支机构;
(8) Financial consulting institutions that engage in securities and futures businesses. (八)从事证券期货业务的财务顾问机构;
(9) Equity crowd funding financing service institutions, fundraisers and other subjects relating to equity crowd funding financing activities. (九)股权众筹融资服务机构、融资者等股权众筹融资活动相关主体;
(10) Information technology system service institutions in the securities and futures industry. (十)证券期货业信息技术系统服务机构;
(11) Representative offices of overseas securities institutions in China. (十一)境外证券类机构驻华代表机构;
(12) Other market players prescribed by laws, administrative regulations and the provisions of the CSRC. (十二)法律、行政法规和中国证监会规定的其他市场主体。
Article 10 The matters subject to inspection may cover the information disclosure, governance, internal control, business rules, and practicing activities, among others, of market players, and the specific inspection matters shall be determined by local offices in accordance with laws, administrative regulations and the provisions of the CSRC.   第十条 检查的事项可以包括市场主体的信息披露、治理情况、内部控制、经营规范、执业活动等,具体检查事项由派出机构依照法律、行政法规和中国证监会规定予以确定。
Where market players shall continuously meet statutory conditions in accordance with the law so as to obtain administrative licensing or conduct recordation as required, local offices shall, as required, inspect their continuous satisfaction of statutory conditions. 市场主体取得行政许可或者按照规定进行备案,依法应当持续符合法定条件的,派出机构按规定对其持续符合法定条件的情况进行检查。
Article 11 Local offices shall, in accordance with the relevant inspection methods and procedures developed by the CSRC and in light of the actual circumstances of their jurisdictions, make specific inspection plans and inspect market players as set forth in Article 9 of these Provisions.   第十一条 派出机构根据中国证监会制定的有关检查办法和规程,结合辖区实际情况,制定具体检查方案,对本规定第九条所列市场主体实施检查。
Article 12 Local offices shall be responsible for receiving the recordation and reporting materials on business and financial affairs legally submitted by the market players as set forth in Article 9 as required, and reviewing and analyzing such materials.   第十二条 派出机构负责按照规定接收第九条所列市场主体依法报送的业务、财务等备案、报告材料,进行审阅分析。
Article 13 When a local office finds any violation of law, administrative regulation or rule or any other major risk or problem in inspection or any other daily supervision activities, it shall, in accordance with the law, take regulatory measures, docket the case for investigation and handling, or transfer the case to the judicial authority or any other relevant department; and if it does not have the handling authority, shall report in a timely manner to the CSRC or transfer to any other functional department or entity as required.   第十三条 派出机构实施检查或者其他日常监管活动,发现有违反法律、行政法规和规章规定情形的,或者发现重大风险和问题的,应当依法采取监管措施、进行立案查处或者移送司法机关及其他相关部门;没有处理权限的,应当及时报告中国证监会或者按照规定转送其他职能部门、单位。
Chapter III Risk Prevention and Disposal
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第三章 风险防范与处置好饿但是不想动


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