Informants report to the China Securities Regulatory Commission, and the China Securities Regulatory Commission shall handle the acceptance and investigation of the report with reference to these Provisions. If the report handled by the CSRC meets the reward conditions, the reporting center shall implement it in accordance with these provisions. Article 3 Informants may report to the reporting center the alleged violation of securities and futures laws and administrative regulations by individuals or units through the online reporting system and letters. Article 4 When the online reporting system for illegal clues of securities and futures receives real-name reports, the informants shall accurately provide their names, valid identity documents, contact information and addresses. If the informant is a unit, provide the unit name, unified social credit code, mailing address, power of attorney, agent identity, contact information and other information. Article 5 Handling reports shall follow the principles of fair law enforcement, strict confidentiality and protection of the lawful rights and interests of informants. Article 6 A report shall meet the following conditions:
(1) The reported matter is an illegal act explicitly prohibited by securities and futures laws and regulations, and the administrative legal liability is stipulated;
(2) Providing information such as the name, identity and address of the reported person;
(3) Providing specific facts, detailed clues and objective evidence in violation of securities and futures laws and regulations for the securities and futures regulatory agency to check. Article 7 In any of the following circumstances, the reporting center shall not register and may put on record:
(a) does not conform to the provisions of article sixth of these measures;
(2) The reported matter has been dealt with according to law, and the informant repeatedly reported the same fact or reason without new evidence or new clues;
(three) the illegal act has exceeded the limitation of administrative punishment;
(4) Other circumstances stipulated by laws and regulations. Article 8 The reporting center is responsible for handling reports that can be used as investigation clues of audit cases, and registering investigation clues of audit cases that meet the reporting conditions; For other materials, they shall be transferred to the relevant departments of China Securities Regulatory Commission according to regulations, and the relevant departments may transfer them to the Securities Regulatory Bureau, exchanges and other units for processing according to the division of responsibilities.
For registered reports, the China Securities Regulatory Commission will decide whether to file an investigation according to the comprehensive supervision and law enforcement. Article 9 Unless it is used according to law, the information that can identify the informant, such as his name, age, address and telephone number, shall be kept strictly confidential. Article 10 The reporting center manages the name (name), certificate number, contact information, work unit, address and identity information of network informants by coding, and uses coding in the stages of investigation, punishment and reporting reward evaluation. If it is necessary to inquire about the identity information of informants due to investigation, punishment or reward for reporting, the registration formalities shall be fulfilled.
In the investigation, punishment or reward of the report, the relevant departments and units shall keep the report confidential and protect the identity information of the informant. Eleventh staff responsible for handling reports and other relevant personnel shall strictly abide by the following systems:
(a) to handle the reporting matters, it shall strictly abide by the working procedures, properly keep the reporting materials, and it is strictly forbidden to disclose the identity information and reporting contents of the informants and other irrelevant personnel;
(two) shall not extract, copy, withhold and destroy the report materials;
(three) prohibit other acts that may disclose identity information or report content. Twelfth awards are applicable to the real-name reporting of the following illegal acts:
(1) fraudulently issuing securities;
(2) information disclosure is illegal;
(3) manipulating the securities and futures markets.
(4) Insider trading or trading with undisclosed information;
(5) Other major securities and futures violations. Article 13 If the facts are clear, the clues are clear, and the investigation is true, and the administrative penalty has been imposed according to law and the amount of fines and confiscations is more than 6,543,800 yuan, the whistleblower will be rewarded according to 654.38+ 0% of the amount of fines and confiscations; Those who make an effective guilty verdict after being transferred to judicial organs according to law shall be rewarded as appropriate. The reward amount shall not exceed 654.38+10,000 yuan.
If the clues of cases that have great influence in the whole country or involve a huge amount of money are verified, the amount of reward shall not be limited by the provisions of the preceding paragraph, but the maximum amount shall not exceed 300,000 yuan. If the insider provides clues about major illegal cases, which are verified through investigation, the maximum reward amount shall not exceed 600,000 yuan.
The above amount of fines and confiscations refers to the total amount of fines and confiscations of illegal cases reported and exposed. Reporting and rewarding tax-related matters shall be implemented in accordance with the relevant provisions of the tax authorities. Fourteenth to give rewards to informants who make administrative punishment cases, should be given after the expiration of the administrative punishment litigation period; If a party brings an administrative reconsideration or an administrative lawsuit, it shall do so after the relevant legal procedures are completed and the decision on administrative punishment takes effect. Rewards for informants who are directly transferred to judicial organs without administrative punishment shall be given after the guilty verdict takes effect.