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| Order No. 119 of the China Securities Regulatory Commission | | 中国证券监督管理委员会令 |
| (No. 119) | | （第119号） |
| The Rules of the China Securities Regulatory Commission on Administrative Penalty Hearings, as deliberated and adopted at the 81st chairman's executive meeting of the China Securities Regulatory Commission on March 11, 2015, are hereby issued, and shall come into force on December 4, 2015. | | 《中国证券监督管理委员会行政处罚听证规则》已经2015年3月11日中国证券监督管理委员会第81次主席办公会议审议通过，现予公布，自2015年12月4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 |
| November 2, 2015 | | 2015年11月2日 |
| Rules of the China Securities Regulatory Commission on Administrative Penalty Hearings | | 中国证券监督管理委员会行政处罚听证规则 |
| Article 1 To regulate the administrative penalty hearing procedures for cases of illegal activities involving securities and futures, guarantee and oversee that the China Securities Regulatory Commission (“CSRC”) and its local offices impose administrative penalties according to the law, and protect the lawful rights and interests of citizens, legal persons, and other organizations, these Rules are formulated in accordance with the Administrative Penalty Law of the People's Republic of China, 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, and other relevant laws and administrative regulations. | | 第一条 为了规范证券期货违法案件的行政处罚听证程序，保障和监督中国证券监督管理委员会（以下简称中国证监会）及其派出机构依法实施行政处罚，维护公民、法人和其他组织的合法权益，根据《中华人民共和国行政处罚法》、《中华人民共和国证券法》、《中华人民共和国证券投资基金法》和《期货交易管理条例》等法律、行政法规有关规定，制定本规则。 |
| Article 2 These Rules shall apply to the hearings organized by the CSRC and its local offices before making administrative penalty decisions. | | 第二条 中国证监会及其派出机构作出行政处罚决定前组织的听证，适用本规则。 |
| Article 3 When organizing hearings, the CSRC and its local offices shall follow the principles of justness and openness and protect the rights of the parties. | | 第三条 中国证监会及其派出机构组织听证，应当遵循公正、公开的原则，保障当事人的各项权利。 |
| Article 4 The disqualification system shall be adopted for hearings according to the law. | | 第四条 听证依法实行回避制度。 |
| The presiding hearer or a hearing officer shall voluntarily disqualify himself or herself if deeming that he or she is an interested party to the case or has any other relationship which may affect the impartial trial of the case. A party shall be entitled to, orally or in writing, request disqualification of the presiding hearer or a hearing officer that the party considers has an interested relationship to the case or has any other relationship which may affect the impartial trial of the case. | | 听证主持人、听证员认为自己与本案有利害关系或者有其他关系可能影响案件公正处理的，应当自行回避。当事人认为听证主持人、听证员与本案有利害关系或者有其他关系可能影响案件公正处理的，有权以口头或者书面形式申请听证主持人、听证员回避。 |
| A party requesting disqualification shall give reasons, and the request shall be made before the hearing starts. If the party is informed of the cause of disqualification after the hearing starts, the request may be made before the close of debate in the hearing. Before a decision is made regarding his or her disqualification, the person against whom a disqualification request is made shall suspend participating in the hearing of the case, unless any emergency measure needs to be taken for the case. | | 当事人提出回避申请，应当说明理由，在听证开始前提出；回避事由在听证开始后知道的，也可以在听证辩论终结前提出。被申请回避的人员在决定作出前，应当暂停参与案件听证工作，但案件需要采取紧急措施的除外。 |
| The disqualification of the presiding hearer or a hearing officer shall be decided by the person in charge of the department organizing the hearing under the CSRC or the person in charge of the local office of the CSRC. The disqualification of any other person shall be decided by the presiding hearer. | | 听证主持人、听证员的回避，由中国证监会负责组织听证部门的负责人或者派出机构的负责人决定；其他人员的回避，由听证主持人决定。 |
| This Article shall apply to clerks, interpreters, and identification experts. | | 本条规定适用于书记员、翻译人员、鉴定人。 |
| Article 5 To impose one or more of the following administrative penalties on a party, the CSRC or its local office shall specify in the Advance Notice of Administrative Penalty served upon the party that the party is entitled to request a hearing: | | 第五条 中国证监会或其派出机构拟对当事人作出以下一项或者一项以上行政处罚的，应当在向当事人送达的《行政处罚事先告知书》中载明当事人享有要求听证的权利： |
| (1) Ordering the party to stop offering securities. | | （一）责令停止发行证券； |
| (2) Ordering the party to suspend business for rectification. | | （二）责令停业整顿； |
| (3) Suspending, cancelling or revoking the permit for securities, futures, or fund business. | | （三）暂停、撤销或者吊销证券、期货、基金相关业务许可； |
| (4) Suspending or cancelling the party's qualification for holding office or practicing in the sector. | | （四）暂停或者撤销任职资格、从业资格； |
| (5) For an individual, confiscating business income or illegal gains or imposing a fine, separately or cumulatively reaching 50,000 yuan. | | （五）对个人没收业务收入、没收违法所得、罚款，单独或者合计5万元以上； |
| (6) For an entity, confiscating business income or illegal gains or imposing a fine, separately or cumulatively reaching 300,000 yuan. | | （六）对单位没收业务收入、没收违法所得、罚款，单独或者合计30万元以上； |
| (7) Any other circumstance under which a hearing may be held as prescribed by any law, administrative regulation or rules or as deemed by the CSRC or the local office thereof. | | （七）法律、行政法规和规章规定或者中国证监会及其派出机构认为可以听证的其他情形。 |
| Article 6 A hearing shall be held in public, unless: | | 第六条 除下列情况外，听证公开举行： |
| (1) the case involves any state secret, trade secret or individual privacy; | | （一）案件涉及国家秘密、商业秘密或者个人隐私； |
| (2) the case involves any undisclosed information that may have a significant impact on the prices of securities or futures trading; or | | （二）案件涉及可能对证券、期货交易价格产生重大影响的尚未公开的信息； |
| (3) it is under any other circumstance prescribed by the law. | | （三）法律规定的其他情况。 |
| Article 7 A party requesting a hearing shall make a hearing request within three days of service of the Advance Notice of Administrative Penalty. In the case of failing to request a hearing within the said time limit, the party shall be deemed to have waived the right to hearing. | | 第七条 当事人要求听证的，应当在《行政处罚事先告知书》送达后3日内提出听证要求。当事人逾期未提出听证要求的，视为放弃听证权利。 |
| Where an administrative penalty involves several parties, and some of the parties waive their rights to hearing, it does not affect the other parties' rights to hearing. | | 行政处罚涉及多个当事人，部分当事人放弃听证权利的，不影响其他当事人要求听证。 |
| Article 8 Where a party under any of the circumstances mentioned in Article 5 of these Rules requests a hearing, the other parties to the same case may make a request for attending the hearing within three days of service of the Advance Notice of Administrative Penalty. The CSRC or the local office thereof shall decide whether to approve it or not. | | 第八条 同一案件中，符合本规则第五条规定情形的当事人要求听证的，其他当事人可以在《行政处罚事先告知书》送达后3日内提出一并参加听证的申请，是否准许，由中国证监会或其派出机构决定。 |
| ．．．．．． | | ．．．．．． |
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