(1) To study and formulate the principles, policies and development plans of the securities and futures markets; Draft relevant laws and regulations on the securities and futures market, and put forward suggestions for formulation and revision; Formulate laws, regulations and measures for the supervision of securities and futures markets.
(two) vertical leadership of the national securities and futures regulatory agencies, the securities and futures market to implement centralized and unified supervision; Manage the leading bodies and members of relevant securities companies.
(3) Supervising the issuance, listing, trading, custody and settlement of stocks, convertible bonds, bonds of securities companies and other securities designated by the the State Council Securities Regulatory Commission; Supervise the activities of securities investment funds; Approve the listing of corporate bonds; Supervise the trading activities of listed government bonds and corporate bonds.
(four) to supervise the securities market behavior of listed companies and their shareholders who must perform relevant obligations according to law.
(5) Supervising the listing, trading and settlement of domestic futures contracts; Supervise domestic institutions to engage in overseas futures business according to regulations.
(6) Managing securities and futures exchanges. Senior managers in charge of securities and futures exchanges according to regulations; Centralized management of securities industry and futures industry associations.
What types of administrative punishment does the CSRC include:
The administrative penalties imposed by the China Securities Regulatory Commission include:
(a) ordered to stop issuing securities;
Ordered to suspend business for rectification;
(3) Suspension or revocation of the securities and futures business license.
The post-holding qualification or securities practice qualification is revoked;
(five) it is illegal to impose a fine or confiscation on an individual;
(6) Impose a fine on a legal person or other organization or confiscate its illegal income.
Legal basis:
Article 4 The establishment and performance of supervisory duties by the dispatched offices of the China Securities Regulatory Commission shall follow the principles of statutory authority, legal authorization, unification of powers and responsibilities, openness and transparency, and fairness and justice. The supervisory duties performed by the dispatched offices shall be authorized by the laws and regulations of China Securities Regulatory Commission, except as expressly provided by laws and administrative regulations. Regulatory responsibilities involve the coordination and cooperation of functional departments, agencies, securities and futures trading places, securities registration and settlement institutions, industry associations, etc. China Securities Regulatory Commission. Where specific arrangements need to be made, the China Securities Regulatory Commission shall formulate working rules.