| | |
| Order of the China Securities Regulatory Commission | | 中国证券监督管理委员会令 |
| (No. 229) | | （第229号） |
| The Provisions on the Regulatory Duties of the Local Offices of the China Securities Regulatory Commission, as deliberated and adopted at the 4th Executive Meeting of the China Securities Regulatory Commission on April 18, 2025, are hereby issued with effect from May 19, 2025. | | 《中国证监会派出机构监管职责规定》已经2025年4月18日中国证券监督管理委员会2025年第4次委务会议审议通过，现予公布，自2025年5月19日起施行。 |
| Chairman: Wu Qing | | 主席 吴清 |
| April 18, 2025 | | 2025年4月18日 |
| Annexes: | | 附件： |
| 1. Provisions on the Regulatory Duties of the Local Offices of the China Securities Regulatory Commission | | 1.中国证监会派出机构监管职责规定 |
| 2. Explanation of the Revision of the Provisions on the Regulatory Duties of the Local Offices of the China Securities Regulatory Commission | | 2.关于《中国证监会派出机构监管职责规定》的修订说明 |
| Provisions on the Regulatory Duties of the Local Offices of the China Securities Regulatory Commission | | 中国证监会派出机构监管职责规定 |
| (Issued by Order No. 118 of the China Securities Regulatory Commission on October 29, 2015, amended according to the Decision to Amend the Provisions on the Regulatory Duties of the Local Offices of the China Securities Regulatory Commission issued by Order No. 199 of the China Securities Regulatory Commission on May 31, 2022, and revised by Order No. 229 of the China Securities Regulatory Commission on April 18, 2025) | | （2015年10月29日证监会令第118号公布 根据2022年5月31日证监会令第199号《关于修改〈中国证监会派出机构监管职责规定〉的决定》修正 2025年4月18日证监会令第229号修订） |
| Chapter I General Provisions | | 第一章 总则 |
| Article 1 For the purposes of specifying the regulatory duties of the local offices of the China Securities Regulatory Commission (“local offices”) and improving the supervision of securities, futures, and funds, these Provisions are developed in accordance with the Securities Law of the People's Republic of China, the Securities Investment Fund Law of the People's Republic of China, the Futures and Derivatives Law of the People's Republic of China, the Regulation on the Administration of Futures Trading, the Regulation on the Supervision and Administration of Securities Companies, the Regulation on the Risk Disposal of Securities Companies, the Regulation on the Supervision and Administration of Private Investment Funds, and other laws and administrative regulations. | | 第一条 为了明确中国证券监督管理委员会派出机构（以下简称派出机构）监管职责，完善证券期货基金监管，根据《中华人民共和国证券法》《中华人民共和国证券投资基金法》《中华人民共和国期货和衍生品法》《期货交易管理条例》《证券公司监督管理条例》《证券公司风险处置条例》《私募投资基金监督管理条例》等法律、行政法规，制定本规定。 |
| Article 2 The China Securities Regulatory Commission (“CSRC”) forms local offices in accordance with the law. Local offices are under the vertical leadership of the CSRC, perform regulatory duties in their own names in accordance with the law, and are responsible to the CSRC. | | 第二条 中国证券监督管理委员会（以下简称中国证监会）依法设立派出机构。派出机构受中国证监会垂直领导，依法以自己的名义履行监管职责，对中国证监会负责。 |
| Article 3 The Party committee of the CSRC shall strengthen the leadership and supervision of Party committees of local offices. | | 第三条 中国证监会党委加强对派出机构党委的领导、监督。 |
| While performing regulatory duties, local offices shall adhere to and strengthen the Party's leadership over the work on the capital market, resolutely maintain the authority and centralized and unified leadership of the CPC Central Committee, and implement the guidelines, policies, decisions, and arrangements of the CPC Central Committee on the financial work. | | 派出机构在履行监管职责中坚持和加强党对资本市场工作的领导，坚决维护党中央权威和集中统一领导，贯彻落实党中央关于金融工作的方针政策和决策部署。 |
| Article 4 Local offices are responsible for the front-line supervision of the securities, futures, and funds markets, and in the regulatory spirit of diligently performing duties, daring to regulate, being good at regulation, and strictly holding violators liable, strengthen institutional supervision, conduct supervision, functional supervision, look-through supervision, and ongoing supervision, effectively maintain the openness, fairness, and impartiality of the capital market, protecting the lawful rights and interests of investors, especially minority investors, preventing and disposing of market risks within their respective jurisdictions in accordance with the law, and promoting the stable and sound development of the capital market within their respective jurisdictions. | | 第四条 派出机构负责证券期货基金市场一线监管工作，按照恪尽职守、敢于监管、精于监管、严格问责的监管精神，加强机构监管、行为监管、功能监管、穿透式监管、持续监管，切实维护资本市场公开、公平、公正，保护投资者特别是中小投资者合法权益，依法防范和处置辖区市场风险，促进辖区资本市场稳定健康发展。 |
| Article 5 The regulatory duties of local offices shall be determined and fulfilled under the principles of statutory powers, legal authorization, consistency between powers and duties, openness and transparency, and fairness and impartiality. | | 第五条 派出机构监管职责的确立和履行，遵循职权法定、依法授权、权责统一、公开透明、公平公正的原则。 |
| The regulatory duties of local offices shall be authorized by the rules of the CSRC, except as expressly provided for by any law or administrative regulation. | | 派出机构履行的监管职责，除法律、行政法规明确规定的外，由中国证监会规章授权。 |
| Where specific arrangements need to be made since the matters on regulatory duties involve the coordination and cooperation of the functional departments and local offices of the CSRC, stock and futures exchanges, securities depository and clearing institutions, and industry associations, among others, the CSRC shall develop the work protocols. | | 监管职责事项涉及中国证监会职能部门、派出机构、证券期货交易场所、证券登记结算机构、行业协会等的协调配合，需要做出具体安排的，由中国证监会制定工作规程。 |
| Article 6 Local offices shall perform the following regulatory duties according to the applicable provisions: | | 第六条 派出机构按照规定履行下列监管职责： |
| (1) Conducting the routine supervision of relevant entities and business projects within their respective jurisdictions in accordance with the law to discover violations of laws and regulations in a timely manner. | | （一）依法对辖区有关主体、业务项目实施日常监管，及时发现违法违规问题； |
| (2) Preventing and disposing of the relevant market risks within their respective jurisdictions in accordance with the law. | | （二）依法防范和处置辖区有关市场风险； |
| (3) Investigating the violations of laws and regulations on securities, futures, and funds and imposing administrative sanctions, among others, in accordance with the law. | | （三）依法对证券期货基金违法违规行为实施调查、作出行政处罚等； |
| (4) Cracking down on illegal securities, futures, and funds activities in accordance with laws and regulations. | | （四）依法依规打击非法证券期货基金活动； |
| (5) Providing securities, futures, and funds investors with education and protection. | | （五）证券期货基金投资者保护相关工作； |
| (6) Conducting statistics, investigations, and research in light of market development and regulatory practice within their respective jurisdictions and offering opinions and recommendations on improvement of regulatory policies and regulations to the CSRC, among others. | | （六）结合辖区市场发展与监管实践开展统计、调查、研究，向中国证监会等提出监管政策法规完善意见建议； |
| (7) Other duties prescribed by laws and administrative regulations and authorized by the CSRC and other regulatory tasks assigned by the CSRC. | | （七）法律、行政法规规定和中国证监会授权的其他职责以及中国证监会交办的其他监管任务。 |
| Article 7 Local offices shall, within their respective duties, establish and improve the mechanisms for information sharing and regulatory cooperation with stock and futures exchanges, securities depository and clearing institutions, industry associations and other self-regulatory organizations, the relevant entities administered by the CSRC, and other local offices, according to the provisions issued by the CSRC, to cooperate and support each other and perform duties in accordance with the law. | | 第七条 派出机构在其职责范围内，按照中国证监会规定建立健全与证券期货交易场所、证券登记结算机构、行业协会等自律组织、相关会管单位及其他派出机构之间的信息共享和监管合作机制，互相配合、支持，依法履行职责。 |
| Article 8 Local offices shall join in the local financial work coordination mechanism within their respective jurisdictions, establish and improve the mechanisms for regulatory cooperation with the relevant departments of local people's governments and the local offices or branch offices of other financial administrative departments of the State Council within their respective jurisdictions, build the comprehensive supervision system, optimize the regulatory enforcement environment, promote the regulated operation and sound development of the capital market within their respective jurisdictions, and coordinate with each other in effectively preventing and disposing of financial risks in the regions. | | 第八条 派出机构应当加入辖区地方金融工作协调机制，并与辖区地方人民政府相关部门、其他国务院金融管理部门的派出机构或者分支机构建立健全监管协作机制，构建综合监管体系，优化监管执法环境，促进辖区资本市场规范运行和健康发展，协同做好区域内金融风险防范和处置工作。 |
| Article 9 Local offices shall establish and improve the internal decision-making mechanism for performance of regulatory duties, and in accordance with the law, assume the legal liability for regulatory actions taken by them within the scope of authorized duties. | | 第九条 派出机构应当建立健全履行监管职责的内部决策机制，对其在授权职责范围内作出的监管行为，依法承担法律责任。 |
| In performing regulatory duties, local offices may consult and request guidance from the relevant functional departments of the CSRC in respect of the business matters involved. The functional departments of the CSRC shall provide guidance and replies according to the division of duties. | | 派出机构履行监管职责，可以就所涉业务事项向中国证监会相关职能部门进行咨询、请求指导。中国证监会职能部门应当按职责分工给予指导、作出答复。 |
| Article 10 Local offices that encounter any of the following major issues and matters in performing regulatory duties shall, according to the applicable provisions, request instructions from or report to the CSRC, and handle them in accordance with the replies of the CSRC: | | 第十条 派出机构履行监管职责，遇到下列重大问题、事项的，应当按照规定向中国证监会请示或者报告，并按照中国证监会的批复意见办理： |
| (1) Major reform and innovation measures, advancement of major projects, major emergencies, handling of cases involving major violations of law and complicated cases within their respective jurisdictions, major circumstances of first impression, and major risk events, among others. | | （一）重大改革创新措施、重大项目推进、重大突发事件、本辖区重大违法和复杂案件处理、重大无先例情况、重大风险事件等； |
| (2) Important documents needing to be submitted to the CSRC for approval and important meetings and important activities, among others, organized by local offices. | | （二）需要报请中国证监会批准的重要文件，以及派出机构组织的重要会议、重要活动等； |
| (3) Regulatory business within the scope of powers but is of great significance or is particularly sensitive. | | （三）属于职权范围内但事关重大或者特殊敏感的监管业务； |
| (4) Circumstances on which there are substantially dissenting opinions in the research and implementation of major decisions. | | （四）在研究和执行重大决策时，存在较大意见分歧的情况； |
| (5) Major issues concerning cross-regional, cross-field, cross-industry, and cross-system work that needs the coordinated advancement by the CSRC. | | （五）涉及跨区域、跨领域、跨行业、跨系统工作中需要中国证监会统筹推进的重大事项； |
| (6) Other major matters on which instructions shall be requested or which shall be reported. | | （六）其他应当请示或者报告的重大事项。 |
| Article 11 The CSRC may, as needed, directly conduct on-site inspections, take administrative regulatory measures, open cases for investigation, and impose administrative sanctions, among others, on the relevant entities within the jurisdictions of local offices. The relevant functional departments of the CSRC shall notify the relevant local offices in a timely manner, and send a copy of regulatory results to the relevant local offices. The relevant local offices shall provide assistance and cooperation according to the applicable provisions. | | 第十一条 中国证监会可以根据需要直接对派出机构辖区内有关主体开展现场检查、采取行政监管措施、进行立案调查、作出行政处罚等。中国证监会相关职能部门应当及时将情况通报相关派出机构，并将监管处理结果抄送相关派出机构。相关派出机构应当按照规定予以协助、配合。 |
| The CSRC shall, according to the applicable provisions, conduct supervisory inspection on the performance of regulatory duties by local offices. | | 中国证监会按照规定对派出机构履行监管职责的情况进行监督检查。 |
| Chapter II Routine Supervision | | 第二章 日常监管 |
| Article 12 Local offices shall implement administrative licensing and administrative recordation in accordance with the provisions of laws and administrative regulations and the CSRC's authorization. | | 第十二条 派出机构根据法律、行政法规规定以及中国证监会的授权实施行政许可、行政备案。 |
| Local offices shall, according to the applicable provisions, accept administrative licensing matters on which local offices conduct preliminary examination and the CSRC conducts reexamination and make decisions, and issue preliminary examination opinions. | | 派出机构进行初步审查、中国证监会复审并作出决定的行政许可，由派出机构按照规定受理，出具初步审查意见。 |
| Where the relevant functional departments of the CSRC need local offices' inspection and verification of the relevant matters or issuance of regulatory opinions when handling administrative licensing and administrative recordation, local offices shall provide assistance. | | 中国证监会相关职能部门办理行政许可、行政备案，需要派出机构检查、核查相关事项或者出具监管意见的，派出机构应当提供协助。 |
| Article 13 For a company to apply for an initial public offering and listing of stock or a company to apply for a public offering of stock to unspecific qualified investors and listing on the Beijing Stock Exchange, the local office at the place of registration of the company is responsible for the supervision of the offering and listing guidance; or if the company is registered overseas, the local office at the place of principal business within China of the company shall conduct supervision. | | 第十三条 拟申请首次公开发行股票并上市的公司、向不特定合格投资者公开发行股票并在北京证券交易所上市的公司注册地派出机构，负责对发行上市的辅导工作进行监管；注册地在境外的，由境内主营业地的派出机构进行监管。 |
| Article 14 Local offices are responsible for inspecting the following subjects: | | 第十四条 派出机构负责对下列主体实施检查： |
| (1) Securities issuers, listed companies, unlisted public companies, and their shareholders, actual controllers, acquirers, persons acting in concert, and others with information disclosure obligations which must fulfill relevant obligations in accordance with the law. | | （一）证券发行人、上市公司、非上市公众公司及其依法必须履行有关义务的股东、实际控制人、收购人、一致行动人等信息披露义务人； |
| (2) Securities companies, managers of publicly offered funds, futures companies, their subsidiaries, branches, and their shareholders, actual controllers, and affiliates. | | （二）证券公司、公募基金管理人、期货公司及其子公司、分支机构，以及其股东、实际控制人及关联人； |
| (3) Trustees and underwriters of corporate (enterprise) bonds, custodians of publicly offered funds, managers of asset-backed securities, depository banks of client trading settlement funds, and other institutions. | | （三）公司（企业）债券受托管理人及承销机构、公募基金托管人、资产支持证券管理人、客户交易结算资金存管银行等机构； |
| (4) Service institutions for the sales of publicly offered funds, sales payment, share registration, accounting, valuation, investment consulting, and evaluation, among others, and their branch offices. | | （四）公募基金销售、销售支付、份额登记、核算、估值、投资顾问、评价等服务机构及其分支机构； |
| (5) Managers of privately offered funds, custodians of privately offered funds, service institutions for privately offered funds, and their shareholders, partners, and actual controllers. | | （五）私募基金管理人、私募基金托管人、私募基金服务机构，以及其股东、合伙人、实际控制人； |
| (6) Managers of publicly offered infrastructure investment trusts, managers of infrastructure asset-backed securities, operational management institutions of publicly offered infrastructure investment trusts, custodians of publicly offered infrastructure investment trusts, and custodians of infrastructure asset-backed securities. | | （六）公开募集基础设施证券投资基金管理人、基础设施资产支持证券管理人、公开募集基础设施证券投资基金运营管理机构、公开募集基础设施证券投资基金托管人、基础设施资产支持证券托管人； |
| (7) Securities, futures, and funds broker-dealer firms that engage in derivatives trading business. | | （七）开展衍生品交易业务的证券期货基金经营机构； |
| (8) Securities investment consulting and futures trading consulting institutions and their branch offices. | | （八）证券投资咨询、期货交易咨询机构及其分支机构； |
| (9) Accounting firms, asset appraisal institutions, credit rating institutions, and law firms that provide securities, futures, and funds services to clients within the respective jurisdictions of local offices and their branch offices. | | （九）为本辖区委托人提供证券期货基金服务的会计师事务所、资产评估机构、资信评级机构、律师事务所及其分支机构； |
| (10) Financial consulting institutions that engage in securities, futures, and funds business. | | （十）从事证券期货基金业务的财务顾问机构； |
| (11) Information technology system service institutions for securities, futures, and funds. | | （十一）证券期货基金信息技术系统服务机构； |
| (12) Representative offices in China of overseas stock and futures exchanges and representative offices in China of overseas securities institutions. | | （十二）境外证券期货交易所驻华代表机构、境外证券类机构驻华代表机构； |
| (13) Others prescribed by laws, administrative regulations, and the provisions issued by the CSRC. | | （十三）法律、行政法规和中国证监会规定的其他主体。 |
| Article 15 The inspection matters may cover the information disclosure, governance, internal control, business rules, practicing activities, cybersecurity and information security, investor protection, and integrity supervision and restraints, among others, of relevant subjects, and the specific inspection matters shall be determined by local offices in accordance with laws, administrative regulations and the provisions issued by the CSRC. | | 第十五条 检查的事项可以包括有关主体的信息披露、治理情况、内部控制、经营规范、执业活动、网络和信息安全、投资者保护、诚信监督和约束等，具体检查事项由派出机构依照法律、行政法规和中国证监会规定予以确定。 |
| Where the relevant subjects shall continuously satisfy statutory conditions in accordance with the law to obtain administrative licensing or according to the applicable provisions, conduct recordation, local offices shall, according to the applicable provisions, inspect their continuous satisfaction of statutory conditions. | | 有关主体取得行政许可或者按照规定进行备案，依法应当持续符合法定条件的，派出机构按规定对其持续符合法定条件的情况进行检查。 |
| Article 16 Local offices shall, in accordance with the relevant inspection measures and protocols developed by the CSRC and in light of the actual circumstances of their jurisdictions, make specific inspection plans and inspect market players as set forth in Article 14 of these Provisions. | | 第十六条 派出机构根据中国证监会制定的有关检查办法和规程，结合辖区实际情况，制定具体检查方案，对本规定第十四条所列主体实施检查。 |
| Article 17 Local offices are responsible for receiving the recordation and reporting materials on business and financial affairs legally submitted by the subjects as set forth in Article 14 according to the applicable provisions and reviewing and analyzing such materials. | | 第十七条 派出机构负责按照规定接收第十四条所列主体依法报送的业务、财务等备案、报告材料，进行审阅分析。 |
| Article 18 Local offices shall, in the performance of duties in routine supervision, establish and improve the mechanism for contact and communication with relevant subjects within their respective jurisdictions, learn and understand the important circumstances of markets within their respective jurisdictions in a timely manner, and hear their opinions and recommendations. | | 第十八条 派出机构在履行日常监管职责中，应当建立健全与辖区有关主体的联系沟通机制，及时了解、掌握辖区市场重要情况，听取意见建议。 |
| ．．．．．． | | ．．．．．． |
Dear visitor,you are attempting to view a subscription-based section of lawinfochina.com. If you are already a subscriber, please login to enjoy access to our databases . If you are not a subscriber, please subscribe . Should you have any questions, please contact us at:
+86 (10) 8268-9699 or +86 (10) 8266-8266 (ext. 153)
Mobile: +86 133-1157-0713
Fax: +86 (10) 8266-8268
database@chinalawinfo.com
| |
您好：您现在要进入的是北大法律英文网会员专区，如您是我们英文用户可直接 登录，进入会员专区查询您所需要的信息；如您还不是我们 的英文用户，请注册并交纳相应费用成为我们的英文会员 。如有问题请来电咨询；
Tel: +86 (10) 82689699, +86 (10) 82668266 ext. 153
Mobile: +86 13311570713
Fax: +86 (10) 82668268
E-mail: database@chinalawinfo.com
|
| | | |
| | | |