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Announcement No. 19 [2015] of the China Securities Regulatory Commission—Opinions on the Cleanup and Rectification of Illegal Securities Business Activities
[Effective]
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中国证券监督管理委员会公告[2015]19号——关于清理整顿违法从事证券业务活动的意见
[现行有效]
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【法宝引证码】
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| Announcement of the China Securities Regulatory Commission | | 中国证券监督管理委员会公告 |
| (No. 19 [2015]) | | （〔2015〕19号） |
| The Opinions on the Cleanup and Rectification of Illegal Securities Business Activities are hereby issued, and shall come into force on the date of issuance. | | 现公布《关于清理整顿违法从事证券业务活动的意见》，自公布之日起施行。 |
| China Securities Regulatory Commission | | 中国证监会 |
| July 12, 2015 | | 2015年7月12日 |
| Annex: | | 附件： |
| Opinions on the Cleanup and Rectification of Illegal Securities Business Activities | | 关于清理整顿违法从事证券业务活动的意见 |
| In the recent period, some institutions and individuals open virtual securities accounts for clients by means of information systems, borrow others' securities accounts, and lend their own securities accounts, among others, and trade in securities as the agents of clients, which have violated the provisions of the Securities Law and the Regulation on the Supervision and Administration of Securities Companies on the real name system for securities accounts and licensing for securities business operations, damaged investors' lawful rights and interests, and severely disturbed the stock market order. As the market stabilizes recently, these violations of law tend to reoccur, which may endanger the stable operation of the stock market once again, therefore, they must be cleaned up and rectified. The following opinions are hereby offered on the relevant matters: | | 一段时期以来，部分机构和个人借助信息系统为客户开立虚拟证券账户，借用他人证券账户、出借本人证券账户等，代理客户买卖证券，违反了《证券法》、《证券公司监督管理条例》关于证券账户实名制、未经许可从事证券业务的规定，损害了投资者合法权益，严重扰乱了股票市场秩序。近日随着市场回稳，这些违法现象又出现了卷土重来的势头，可能再次危及股票市场平稳运行，必须予以清理整顿。现就有关事项提出如下意见： |
| I. All local offices of the China Securities Regulatory Commission (“CSRC”) shall, in accordance with the requirements of the Notice on Strengthening the Administration of External Access of Information Systems of Securities Companies (No. 35 [2015], CSRC), urge securities companies to regulate the external access of information systems, and complete the verification of self-inspections of securities companies around the end of July in 2015. | | 一、各证监局应当按照中国证监会《关于加强证券公司信息系统外部接入管理的通知》（证监办发〔2015〕35 号）要求，督促证券公司规范信息系统外部接入行为，并于2015年7月底前后完成对证券公司自查情况的核实工作。 |
| ．．．．．． | | ．．．．．． |
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