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Provisions of the China Securities Regulatory Commission on the Recordation of Improper Plea in Matters concerning Administrative Licensing and Regulatory Law Enforcement (for Trial Implementation) | | 中国证监会行政许可和监管执法事项不当说情备案规定（试行） |
| (March 28, 2014, China Securities Regulatory Commission) | | （2014年3月28日 中国证券监督管理委员会） |
| Article 1 These Provisions are developed for purposes of ensuring the impartiality and independence of the China Securities Regulatory Commission (“CSRC”) in administrative licensing and regulatory law enforcement, effectively safeguarding the openness, fairness and impartiality of the society and protecting the lawful rights and interests of investors. | | 第一条 为保障中国证券监督管理委员会（以下简称中国证监会）行政许可和监管执法工作的公正性、独立性，切实维护社会公开、公平、公正和保护投资者合法权益，制定本规定。 |
| Article 2 For the purpose of these Provisions, “improper plea” refers to an act of a party concerned who exerts or requests others to exert undue influence on the staff of the CSRC beyond the normal procedures to seek benefits from or reduce or avoid liabilities for a specific matter in administrative licensing, daily supervision and case investigation and trial by the CSRC. | | 第二条 本规定所称不当说情，是指在中国证监会行政许可、日常监管和案件调查、审理工作中，当事人自己或请托他人针对某一具体事项，在正常程序之外，对中国证监会工作人员施加不当影响，以谋取利益或减免责任的行为。 |
| Article 3 “Improper plea” as mentioned in these Provisions shall include the following circumstances: | | 第三条 本规定所称不当说情，包括下列情形： |
| (1) The party concerned or his or her relative or friend contacts the handling personnel to solicit favor in respect of a specific matter. | | （一）当事人及其亲属、朋友接触经办人员，涉及说情事项的； |
| ．．．．．． | | ．．．．．． |
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