The main contents and conclusions of the audit law enforcement evaluation report are as follows:
First, the inspection and law enforcement system has been further improved, and the institutional mechanisms have been further optimized. After years of exploration and improvement, the construction of China's securities and futures inspection and law enforcement system has achieved good results, the legal supply of inspection and law enforcement has been further improved, and the system guarantee is sound and effective as a whole; The system and mechanism of inspection and law enforcement were further optimized, and the joint force of law enforcement was further enhanced.
Second, 20 17 inspection and law enforcement has made great achievements, which are embodied in the following aspects:
Inspection and law enforcement efforts continued to increase, effectively cracking down on all kinds of illegal acts. In 20 17, * * * accepted 625 valid clues about violations of laws and regulations, and 478 cases were investigated, with an investigation filing rate of 76%; In the whole year, 3 12 new cases were filed, with a filing rate of 65%, up 9.8% year-on-year; 90 new cases were filed, doubling year-on-year; 335 cases were filed in the whole year, up 43% year-on-year.
The quantity and amount of administrative punishment once again reached a historical peak, effectively purifying the market ecology. In 20 17, * * * made 224 administrative penalty decisions, up1.35% year-on-year; The amount of fines and confiscations was 7.479 billion yuan, a year-on-year increase of 74.74%; 25 pieces /44 people were banned from the market, with a year-on-year increase of 18.95438+0%.
Special law enforcement cases were deployed as a whole and investigated quickly, and the risk defense line continued to be firmly established. In 20 17, * * * deployed four batches of special law enforcement actions, organized and investigated 54 major typical cases, and timely and accurately cracked down on four major market chaos, such as financial fraud, speculation of sub-new shares, illegal transactions such as high turnover, and illegal private placement.
The administrative punishment mechanism has been further optimized, and the authority and deterrence of supervision in the jurisdiction have been further enhanced. In 20 17, local securities regulatory bureaus made 23 administrative penalty decisions 123, up 44% year-on-year, accounting for nearly 40% of the total administrative penalties imposed by the CSRC in the same period, and the amount of fines and confiscations was 206 million yuan, up 57% year-on-year.
In addition, great progress has been made in the construction of scientific and technological law enforcement system for inspection and law enforcement, and the efficiency of inspection and law enforcement has been further improved.
Third, the internal evaluation and external evaluation of inspection and law enforcement are generally improving. In 20 17, the CSRC filed 4 1 case for administrative reconsideration, a year-on-year decrease of 38.80%. The reconsideration department made 39 reconsideration decisions, upheld 39 original administrative actions, and 2 reconsideration cases were not settled, with the maintenance rate of administrative reconsideration reaching 100%. In 20 17, the CSRC inspected 48 cases of administrative punishment litigation handled by law enforcement departments (excluding local securities regulatory bureaus), and the court made judgments or rulings on 35 cases, and the plaintiff voluntarily withdrew the lawsuit in 5 cases, and the court rejected the retrial application 1 case. The remaining cases have not been revoked or changed by the administrative punishment decision of the CSRC.
Fourth, inspection and law enforcement work closely with external departments to form a strong regulatory force. The inspection and law enforcement department of the CSRC has carried out in-depth law enforcement cooperation with relevant administrative supervision departments such as criminal justice, continuously broadened the space for cross-border joint supervision and law enforcement, and formed a strong regulatory force.
Fifth, the satisfaction and transparency of inspection and law enforcement have been further improved, and the market recognition of inspection and law enforcement has increased year by year. In 20 17, the satisfaction and transparency of audit enforcement were 64.7% and 64.9%, respectively, which reached a record high and were affirmed by most investors.
Sixth, policy recommendations. It is suggested to further improve a set of systematic institutional arrangements for administrative punishment, civil compensation and criminal responsibility investigation, with emphasis on increasing criminal crackdown; It is suggested to strengthen publicity and further improve the transparency of inspection and law enforcement; It is suggested that relevant departments further strengthen the guarantee and effectively improve the implementation rate of administrative punishment cases; It is suggested to gradually explore the use of administrative penalties and fines to compensate the losses of market investors.