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| Notice of the Supreme People's Court, the Supreme People's Procuratorate, the Ministry of Public Security and China Securities Regulatory Commission on the Inquiry, Freeze and Deduction of Securities and Securities Transaction Settlement Funds | | 最高人民法院、最高人民检察院、公安部、中国证券监督管理委员会关于查询、冻结、扣划证券和证券交易结算资金有关问题的通知 |
(No. 4 [2008] of the Supreme People's Court) | |
（法发[2008]4号） |
The higher people's courts, people's procuratorates, departments (or bureaus) of public security of all provinces, autonomous regions and municipalities directly under the Central Government, the courts-martial of the People's Liberation Army, the Military Procuratorates, the Production and Construction Corps Branch of the Higher People's Court of Xinjiang Uigur Autonomous Region, the people's procuratorates and bureaus of public security of Xinjiang Production and Construction Corps: | |
各省、自治区、直辖市高级人民法院、人民检察院、公安厅（局），解放军军事法院、军事检察院，新疆维吾尔自治区高级人民法院生产建设兵团分院，新疆生产建设兵团人民检察院、公安局： |
In order to maintain a normal securities transaction settlement order, protect the legitimate rights and interests of citizens, legal persons and other organizations and safeguard the lawful execution of public affairs by law enforcement organs, and according to the Criminal Procedure Law of the People's Republic of China, the Civil Procedure Law of the People's Republic of China, the Securities Law of the People's Republic of China, other relevant laws and judicial interpretations, the relevant issues about the inquiry, freeze and deduction of securities and securities transaction settlement funds by people's courts, people's procuratorates and public security organs are hereby notified as follows: | |
为维护正常的证券交易结算秩序，保护公民、法人和其他组织的合法权益，保障执法机关依法执行公务，根据《中华人民共和国刑事诉讼法》、《中华人民共和国民事诉讼法》、《中华人民共和国证券法》等法律以及司法解释的规定，现就人民法院、人民检察院、公安机关查询、冻结、扣划证券和证券交易结算资金的有关问题通知如下： |
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| I. If, when handling a case, a people's court, people's procuratorate or public security organ needs to inquire about, freeze or deduct securities or securities transaction settlement funds according to the statutory limit of power through a securities depository & clearing institution or securities company, the securities depository & clearing institution or the securities company shall offer assistance. | | 一、人民法院、人民检察院、公安机关在办理案件过程中，按照法定权限需要通过证券登记结算机构或者证券公司查询、冻结、扣划证券和证券交易结算资金的，证券登记结算机构或者证券公司应当依法予以协助。 |
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| II. When a people's court requires a securities depository & clearing institution or a securities company to assist in inquiry, freeze and deduction of securities or securities transaction settlement funds, or a people's procuratorate or public security organ requires a securities depository & clearing institution or securities company to assist in inquiry and freeze of securities or securities transaction settlement funds, relevant law enforcement officers shall present valid certificates and an effective legal document. | | 二、人民法院要求证券登记结算机构或者证券公司协助查询、冻结、扣划证券和证券交易结算资金，人民检察院、公安机关要求证券登记结算机构或者证券公司协助查询、冻结证券和证券交易结算资金时，有关执法人员应当依法出具相关证件和有效法律文书。 |
If the certificates of relevant law enforcement officers and relevant formalities are complete, the securities depository & clearing institution or securities company shall sign for the relevant legal document and assist in the relevant affairs. | |
执法人员证件齐全、手续完备的，证券登记结算机构或者证券公司应当签收有关法律文书并协助办理有关事项。 |
If the relevant recipient refuses to sign for an effective legal document issued by the people's court, the service by leaving the rejected document may be made. | |
拒绝签收人民法院生效法律文书的，可以留置送达。 |
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| III. A people's court, people's procuratorate or public security organ may inquire of a securities depository & clearing institution about the balance after the settlement and delivery process has been completed in the securities account, the securities delivery account and the capital delivery account of a client or a securities company, the changes in the balance and the account information. | | 三、人民法院、人民检察院、公安机关可以依法向证券登记结算机构查询客户和证券公司的证券账户、证券交收账户和资金交收账户内已完成清算交收程序的余额、余额变动、开户资料等内容。 |
A people's court, people's procuratorate or public security organ may inquire of a securities company about the balance in a securities account, capital account, securities delivery account or capital delivery account of a client, the changes in the balance, securities and capital flows, account information and etc. | |
人民法院、人民检察院、公安机关可依法向证券公司查询客户的证券账户和资金账户、证券交收账户和资金交收账户内的余额、余额变动、证券及资金流向、开户资料等内容。 |
For the inquiry about a natural person account, the name and identity card number of that natural person shall be provided; for the inquiry about a legal person account, the name and business license/legal person registration certificate number of that legal person shall be provided. | |
查询自然人账户的，应当提供自然人姓名和身份证件号码；查询法人账户的，应当提供法人名称和营业执照或者法人注册登记证书号码。 |
The securities depository & clearing institution or the securities company shall give written inquiry results and affix its special seal thereon. If the inquiry organ holds any doubts about the inquiry results, the securities depository & clearing institution or the securities company shall give written explanations when necessary and affix its special seal thereon. | |
证券登记结算机构或者证券公司应当出具书面查询结果并加盖业务专用章。查询机关对查询结果有疑问时，证券登记结算机构、证券公司在必要时应当进行书面解释并加盖业务专用章。 |
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IV. When a people's court, people's procuratorate or public security organ freezes or deducts relevant securities or funds based on the statutory limit of power, it shall specify the name and number of the account of securities or funds, term of freeze, the name and quantity of securities or amount of funds to be frozen or deducted; and at the time of deduction, it shall also specify the name and number of the account into which the securities or funds will be transferred.
．．．．．． | | 四、人民法院、人民检察院、公安机关按照法定权限冻结、扣划相关证券、资金时，应当明确冻结、扣划证券、资金所在的账户名称、账户号码、冻结期限，所冻结、扣划证券的名称、数量或者资金的数额。扣划时，还应当明确拟划入的账户名称、账号。
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