| Notice by the China Securities Regulatory Commission of Effectively Conducting the Work Relating to the Participation of Investor Protection Institutions in Actions involving Securities Disputes as Special Representatives | | 中国证监会关于做好投资者保护机构参加证券纠纷特别代表人诉讼相关工作的通知 |
| (No. 67 [2020] of the China Securities Regulatory Commission) | | （证监发〔2020〕67号） |
| All local offices of the China Securities Regulatory Commission (“CSRC”); all exchanges; all subordinate entities; all associations; and all departments of the CSRC: | | 中国证监会各派出机构，各交易所，各下属单位，各协会，会内各部门： |
| For the purposes of implementing relevant provisions of paragraph 3 of Article 95 of the Securities Law, regulating the participation of relevant entities of the CSRC system in activities relating to actions involving securities disputes as special representatives (hereinafter referred to as “special representative actions”), and specifying the duties of all parties, in accordance with the Civil Procedure Law, the Securities Law, the Provisions of the Supreme People's Court on Several Issues concerning Representative Actions involving Securities Disputes and other relevant provisions, you are hereby notified of relevant matters as follows: | | 为了落实《证券法》第九十五条第三款相关规定，规范证监会系统相关单位参加证券纠纷特别代表人诉讼（以下简称特别代表人诉讼）相关活动，明确各方职责，根据《民事诉讼法》《证券法》《最高人民法院关于证券纠纷代表人诉讼若干问题的规定》等有关规定，现将有关事项通知如下： |
| 1. “Special representative action” means a securities-related civil action participated by an investor protection institution as a representative upon the entrustment by 50 or more investors in accordance with the provisions of paragraph 3 of Article 95 of the Securities Law. | | 一、特别代表人诉讼是指按照《证券法》第九十五条第三款规定，投资者保护机构受五十名以上投资者委托，作为代表人参加的证券民事诉讼。 |
| 2. For the purposes of this Notice, “investor protection institutions” means China Securities Investor Services Center Co., Ltd. and China Securities Investor Protection Fund Corporation Limited. | | 二、本通知所称投资者保护机构是指中证中小投资者服务中心有限责任公司、中国证券投资者保护基金有限责任公司。 |
| 3. Investor protection institutions participating in special representative actions shall adhere to the principles of necessity, transparency and impartiality, and effectively protect investors' lawful rights and interests. | | 三、投资者保护机构参加特别代表人诉讼，应当坚持必要、透明、公正的原则，切实保护投资者合法权益。 |
4. For securities-related civil cases which are typical or major or have adverse social effects, investor protection institutions shall promptly initiate special representative actions in accordance with the law.
．．．．．． | | 四、对于典型重大、社会影响恶劣的证券民事案件，投资者保护机构依法及时启动特别代表人诉讼。
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