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Announcement No. 5 [2018] of the China Securities Regulatory Commission―Guidelines for the Supervision and Administration of the Securities and Futures Investor Education Bases [Effective]
中国证券监督管理委员会公告(2018)5号――证券期货投资者教育基地监管指引 [现行有效]
【法宝引证码】

Announcement of the China Securities Regulatory Commission 

中国证券监督管理委员会公告

(No. 5 [2018]) (〔2018〕5号)

The Guidelines for the Supervision and Administration of the Securities and Futures Investor Education Bases are hereby issued and shall come into force on the date of issuance. 现公布《证券期货投资者教育基地监管指引》,自公布之日起施行。
China Securities Regulatory Commission 中国证监会
March 14, 2018 2018年3月14日
Guidelines for the Supervision and Administration of the Securities and Futures Investor Education Bases 证券期货投资者教育基地监管指引
Article 1 For the purposes of regulating the supervision and administration of the securities and futures investor education bases (hereinafter referred to as “investor education bases”), maximizing their functions, and improving the services for investor education, these Guidelines are developed in accordance with the Guiding Opinions on Strengthening the Construction of Securities and Futures Investor Education Bases (hereinafter referred to as the “Guiding Opinions”), the Application Guidelines for the First Group of Investor Education Bases, the Application Guidelines for the Second Group of Securities and Futures Investor Education Bases (hereinafter collectively referred to as the “Application Guidelines”) and other relevant laws and administrative regulations, departmental rules and regulatory documents.   第一条 为规范证券期货投资者教育基地(以下简称投教基地)监管工作,充分发挥其功能,提高投资者教育服务水平,根据《关于加强证券期货投资者教育基地建设的指导意见》(以下简称《指导意见》)、《首批投资者教育基地申报工作指引》、《第二批证券期货投资者教育基地申报工作指引》(以下统称申报指引)及其他相关法律、行政法规、部门规章、规范性文件,制定本指引。
Article 2 These Guidelines shall apply to the Investor Education Bases respectively named by the China Securities Regulatory Commission (“CSRC”) and its local offices. The Investor Education Bases shall be divided into physical investor education bases and Internet investor education bases on the basis of the different carrier format.   第二条 本指引适用于中国证监会及其派出机构按照规定分别命名的国家级和省级投教基地。投教基地按照载体形式不同,分为实体投教基地和互联网投教基地。
Article 3 The CSRC shall direct local offices to supervise and administer the provincial investor education bases, national physical bases located in the respective jurisdictions, and the Internet bases whose applicants are located in the respective jurisdictions.   第三条 中国证监会指导派出机构监管所命名的省级投教基地,以及国家级基地中地址在本辖区内的实体基地和申报主体所在地在本辖区内的互联网基地。
Article 4 An investor education base shall place or display at its conspicuous position the plaque and certificate of investor education base issued by the CSRC or its local office, and a physical base shall also disclose the opening time, method, telephone number and other information facilitating the visit of investors at the conspicuous position at the entrance and the Internet publicity carrier of the base.   第四条 投教基地应当在基地的显著位置摆放或者展示中国证监会或者其派出机构颁发的投教基地牌匾证书,实体基地还应当在入口处显著位置以及基地的互联网宣传载体中,公示基地开放的时间、方式和联系电话等方便投资者来访的信息。
An investor education base shall use the name of the base when carrying out public welfare activities. 投教基地应当在开展公益性活动中使用基地命名。
Article 5 Investor education bases shall take the initiative to carry out the investor education work, ensure that they continuously comply with the Guiding Opinions and the construction standards as prescribed in the Application Guidelines, actively participate in the investor education activities carried by securities and futures regulatory institutions and self-regulation organizations, strengthen the exchange and cooperation with all sectors of society, and continuously improve the quality and influence of the bases.   第五条 投教基地要主动开展投资者教育工作,确保持续符合《指导意见》、申报指引规定的建设标准,积极参与证券期货监管机构、自律组织开展的投教活动,加强与社会各方的交流合作,不断提高基地的质量和影响力。
Article 6 An investor education base entity shall improve the organizational structure and working mechanism of base management, and specify the leaders in charge, and person in charge and contact person of the base. Full-time investor education personnel appointed for the base shall have relatively high political quality and professional level, have relatively rich experience in practice, be responsible, diligent and dutiful, be warm-hearted, and provide thoughtful services.   第六条 投教基地单位应当完善基地管理的组织机构和工作机制,明确分管领导、基地负责人和联系人,为基地配备的专职投教人员应当具备较高的政治素质和专业水平,有较为丰富的从业经验,认真负责,勤勉尽职,态度热情,服务周到。
Article 7 An investor education base shall, as required, faithfully submit the information on services for investors, launching of investor education products, and investor education activities, among others, to the supervision institution; and shall, within ten working days of the date of change, report to the supervision institution, in the event of change in the name, address or website of the base, hotline of the physical base, leader in charge of the base entity, person in charge of the base, contact person and other information, and disclose the change in the name, address or website of the base, and hotline of the physical base to the public in an appropriate manner.   第七条 投教基地应当按要求定期向监管机构如实报送服务投资者、投放投教产品、开展投教活动等情况;基地名称、地址或网址、实体基地咨询电话、基地单位分管领导、基地负责人和联系人等情况发生变更的,应当自变更之日起10个工作日内报告监管机构,对基地名称、地址或网址、实体基地咨询电话的变更,还应当以适当形式向社会公开。
Article 8 The CSRC and its local offices shall, according to the important emergencies, negative media reports, complaints and tip-offs with clear clues and other information, conduct comprehensive inspection or special inspection on whether the investor education bases continuously meet the construction standards.   第八条 中国证监会及其派出机构根据重要突发事件、媒体负面报道、线索明确的投诉举报等情况,对投教基地是否持续符合建设标准,开展全面检查或者专项检查。
The CSRC may conduct inspections on investor education bases by itself or through its local offices, and the local offices shall be responsible for the inspection of the bases within their respective jurisdictions, and conduct inspection according to the arrangements and work requirements of the CSRC. A local office that conducts inspection itself shall report the inspection information to the CSRC in a timely manner. 中国证监会可以自行或者组织派出机构对投教基地进行检查,派出机构负责所管辖基地的检查工作并根据中国证监会的部署和工作需要进行检查。派出机构自行开展检查的,应当将检查情况及时报送中国证监会。
Article 9 The inspection methods shall include on-site inspection and experiencing the investor education equipment of bases, browsing and testing the Internet publicity carriers of the Internet bases and physical bases online, consultation of materials, visit to investors and inquiry of staff members of the base, among others.   第九条 检查方式包括实地考察、体验基地的投教设备,在线浏览、测试互联网基地或实体基地的互联网宣传载体,查阅资料,访问投资者、询问基地工作人员等。
The inspectors may record, keep audio and video recordings of, take photographs of and reproduce the relevant information, materials and problems found. The inspectors shall be devoted to their duties, act in accordance with the law, be honest and self-disciplined, and strictly implement the disqualification system as prescribed in the relevant regulations and policies.
......
 检查人员可以对有关情况、资料和发现的问题进行记录、录音、录像、照相和复制。检查人员应当忠于职守,依法办事,廉洁自律,严格执行有关法规政策规定的回避制度。
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