| Announcement of the China Securities Regulatory Commission | | 中国证券监督管理委员会公告 |
| (No. 7 [2020]) | | （〔2020〕7号） |
| The Interim Provisions on the Reporting of Violations of Laws and Regulations on Securities and Futures (2020 Revision) are hereby issued and shall come into force on the date of issuance. | | 现公布《证券期货违法违规行为举报工作暂行规定》（2020年修订），自公布之日起施行。 |
| China Securities Regulatory Commission | | 中国证监会 |
| January 14, 2020 | | 2020年1月14日 |
| Annex: | | 附件： |
| Interim Provisions on the Reporting of Violations of Laws and Regulations on Securities and Futures (2020 Revision) | | 《证券期货违法违规行为举报工作暂行规定》（2020年修订） |
| Article 1 To regulate the reporting of clues to violations of laws on securities and futures, and make particular efforts to crack down upon violations of laws and regulations on securities and futures, these Provisions are developed in accordance with the Securities Law, the Securities Investment Fund law, the Regulation on the Administration of Futures Trading and other laws and regulations. | | 第一条 为规范证券期货违法线索举报工作，加大对证券期货违法违规行为的打击力度，依据《证券法》《证券投资基金法》《期货交易管理条例》等法律法规，制定本规定。 |
| Article 2 Where a whistleblower makes a tip-off to the Center for the Reporting of Violations of Laws and Regulations on Securities and Futures (hereinafter referred to as the “Reporting Center”) of the China Securities Regulatory Commission (“CSRC”), the Reporting Center shall handle the acceptance and submission for investigation of and rewards for tip-offs and other work in accordance with these Provisions. | | 第二条 举报人向中国证券监督管理委员会（以下简称中国证监会）证券期货违法违规行为举报中心（以下简称举报中心）举报的，举报中心按照本规定处理举报接收、提请调查、奖励等工作。 |
| Where a whistleblower makes a tip-off to a local CSRC office, the local CSRC office shall handle the acceptance and investigation of the tip-off and other work by reference to these Provisions. Where a tip-off made by a whistleblower satisfies the conditions for being rewarded, the Reporting Center shall conduct the relevant work in accordance with these Provisions. | | 举报人向证监局举报的，证监局参照本规定处理举报接收、调查等工作。证监局处理的举报符合奖励条件的，由举报中心按照本规定执行。 |
| Article 3 Whistleblowers may, through the System for the Online Reporting of Clues to Violations of Laws on Securities and Futures and letters, make tip-offs on suspected violations of laws and administrative regulations on securities and futures committed by relevant individuals or entities to the Reporting Center. | | 第三条 举报人可以通过证券期货违法线索网络举报系统、信函方式，向举报中心举报有关个人或单位涉嫌违反证券期货法律和行政法规的行为。 |
| Article 4 The System for the Online Reporting of Clues to Violations of Laws on Securities and Futures shall receive real-name tip-offs, and a whistleblower shall provide his name, valid identity certificate, contact information, address and other information in an accurate manner. Where the whistleblower is an entity, it shall provide its name, unified social credit code, correspondence address and power of attorney, and agent's identity and contact information, and other information. | | 第四条 证券期货违法线索网络举报系统接收实名举报，举报人应当准确提供举报人的姓名、有效身份证件、联系方式和地址等信息。举报人为单位的，提供单位名称、统一社会信用代码、通讯地址、授权委托书及代理人身份、联系方式等信息。 |
| Article 5 The handling of tip-offs shall follow the principles of enforcing laws impartially and incorruptibly, strictly keeping the relevant information confidential and protecting the lawful rights and interests of whistleblowers. | | 第五条 举报处理工作遵循秉公执法，严格保密，保护举报人合法权益的原则。 |
| Article 6 A tip-off shall meet all of the following conditions: | | 第六条 举报应当符合以下条件： |
| (1) The matter reported falls within the scope of the violations of laws and regulations which are expressly prohibited by the laws and regulations on securities and futures and for which administrative legal liabilities are prescribed. | | （一）举报事项属于证券期货法律法规明确禁止的、并规定行政法律责任的违法违规行为； |
| (2) The name (title), identity and address of and other information about the reported violator are provided. | | （二）提供被举报人的姓名（名称）、身份、地址等信息； |
| (3) The specific facts, detailed clues or objective evidence on violations of laws and regulations on securities and futures are provided, which may be used for verification by securities and futures regulatory authorities. | | （三）提供违反证券期货法律法规的具体事实、详细线索和客观证据，可供证券期货监管机构进行核查。 |
| Article 7 A tip-off that falls under any of the following circumstances shall not be registered but may be archived by the Reporting Center: | | 第七条 举报有下列情形之一的，举报中心不予登记，可予以存档处理： |
| (1) It fails to comply with the provisions of Article 6 of these Provisions. | | （一）不符合本规定第六条规定的； |
| (2) Though the reported matter has been handled according to the law, the whistleblower has repeatedly made tip-offs on the same fact or for the same reason when no new evidence or new clue is provided. | | （二）举报事项已依法处理，举报人在无新证据或者新线索的情况下就同一事实或者理由重复举报的； |
| ．．．．．． | | ．．．．．． |
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