(1) Establish a unified securities and futures supervision system and implement vertical management of securities and futures supervision institutions according to regulations.

(2) Strengthen the supervision of the securities and futures industry, strengthen the supervision of securities and futures exchanges, listed companies, securities and futures operating institutions, securities investment fund management companies, securities and futures investment consulting institutions and other institutions engaged in securities and futures intermediary business, and improve the quality of information disclosure.

(3) Strengthening the prevention and resolution of financial risks in the securities and futures markets.

(four) responsible for organizing the drafting of relevant laws and regulations on the securities market, and studying and formulating relevant guidelines, policies and regulations on the securities market; To formulate the development plan and annual plan of the securities market; To guide, coordinate, supervise and inspect the securities market work of all regions and relevant departments; Guide, plan and coordinate the pilot work of the futures market.

(5) Unified supervision of the securities industry.

Responsibilities of China Securities Regulatory Commission

According to the relevant laws and regulations, the China Securities Regulatory Commission shall perform the following duties in the supervision and management of the securities market:

(1) To study and formulate the principles, policies and development plans of the securities and futures markets; Drafting laws and regulations on the securities and futures market; Formulate relevant rules, regulations and measures for the securities and futures market.

(2) The State securities regulatory body shall exercise vertical leadership and centralize and unify supervision over the securities and futures market. Manage the leading bodies and members of relevant securities companies, and be responsible for the daily management of the board of supervisors 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.

(4) Supervising the listing, trading and liquidation of domestic futures contracts; Supervise domestic institutions to engage in overseas futures business according to regulations.

(five) to supervise the securities market behavior of listed companies and their shareholders who must fulfill relevant obligations according to law.

(6) Managing securities and futures exchanges. Senior managers in charge of securities and futures exchanges according to regulations; Centralized management of securities industry association and futures industry association.

(seven) supervision of securities and futures institutions, securities investment fund management companies, securities registration and settlement companies, futures settlement institutions, securities and futures investment consulting institutions, securities credit rating agencies; To jointly examine and approve the qualifications of fund custody institutions with the People's Bank of China and supervise their fund custody business; To formulate measures for the administration of the qualifications of senior managers of the above-mentioned institutions and organize their implementation; Guide China Securities Industry and Futures Industry Association to carry out qualification management of securities and futures practitioners.

(eight) to supervise the domestic enterprises to directly or indirectly issue shares and go public overseas; Supervise domestic institutions to set up securities business institutions abroad; Supervise overseas institutions to set up securities business institutions and engage in securities business in China.

(nine) to supervise the information dissemination activities of securities and futures, and to be responsible for the statistics of securities and futures markets and the management of information resources.

(ten) in conjunction with the relevant departments to examine and approve the qualifications of accounting firms, asset appraisal institutions and their members to engage in securities and futures intermediary business, and supervise their related business activities; Supervise the activities of law firms and lawyers engaged in securities and futures-related businesses.

(eleven) to investigate and deal with illegal acts of securities and futures according to law.

(12) Centralized foreign exchange management and international cooperation in the securities and futures industry.

(thirteen) other matters assigned by the State Council.

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