Chapter I General Provisions Article 1 In order to standardize the petition work of China Securities Regulatory Commission and its dispatched offices (hereinafter referred to as "securities regulatory agencies") and improve the quality and efficiency of work, these Provisions are formulated in accordance with the relevant provisions of the Petition Regulations of the State Council. Article 2 Letters and visits mentioned in these Provisions refer to the working process of accepting and handling suggestions, reports and complaints related to the functions and powers of securities regulatory agencies. Article 3 The petition office of the Inspection Bureau of China Securities Regulatory Commission (hereinafter referred to as "China Securities Regulatory Commission") is the centralized management department for the petition work of securities regulatory agencies, and is responsible for guiding the petition work of the regulatory system. Other departments shall assist in the work of letters and visits.

The dispatched office shall designate a special person to be responsible for the petition work. Article 4 The staff of letters and visits shall be loyal to their duties, be honest and keep secrets. Article 5 Letters and visits shall follow the following principles:

(1) Seeking truth from facts and maintaining the openness, fairness and impartiality of the securities and futures markets;

(two) to protect the legitimate rights and interests of informants, and shall not transfer the reporting materials to the reported units or individuals;

(three) to facilitate the masses and accept social supervision;

(four) the implementation of leadership responsibility system, unified acceptance, graded responsibility, centralized investigation. Chapter II Reception of Letters and Visits Article 6 The securities regulatory body shall provide convenience for letters and visits, set up a reception place for reporting, set up a special telephone and fax machine for reporting, and announce the telephone, fax number and mailing address of reporting to the public.

China Securities Regulatory Commission has set up a hotline for chairmen. The petition office of the Inspection Bureau is responsible for the management of the "Chairman's Hotline", and all departments take turns to answer the hotline. Article 7 The petition department is responsible for the daily petition reception.

For people to visit, the relevant departments should cooperate with the petition departments to do the necessary reception work.

For important letters and visits and mass letters and visits, the leaders of relevant departments should personally handle or do a good job in reception. Article 8 The securities regulatory body shall classify and register the petitions:

(a) to petition the securities regulatory agencies, should fill in the "mass visit registration card", if necessary, can be recorded; If the reporter doesn't want to leave his name or disagree with the recording, he can't force it.

(two) telephone (including the chairman's hotline) letters and visits, the receiver should ask about the situation, carefully fill out the "telephone record card", if necessary, can be recorded. To report a telephone call, except that the case cannot be filed because of unknown circumstances, a telephone record card should be filled in.

(3) Letters and other written petition materials shall be opened and registered by a designated person.

(four) letters and visits from higher authorities with instructions from leading comrades should be registered and filed separately. Article 9 The complaint reporting department shall classify the complaint reporting matters according to the contents of the complaint reporting:

(1) Letters and visits involving the business of relevant departments in the meeting and the need to be handled by agencies, Commissioner's offices and exchanges shall be forwarded to relevant units after filling in the forwarding form.

(2) If the reported matters involve important issues and emergencies, the Elements of Letters and Visits shall be compiled in time and reported to the leaders of securities regulatory agencies step by step according to procedures; You can submit it directly if necessary.

(three) the report of violations of law and discipline by the staff of the securities regulatory agency shall be handled by the Commission for Discipline Inspection and Supervision of the agency; Article 10 Visits and telephone reports that do not fall within the authority of the securities regulatory body should be patiently explained to the informants and asked to reflect them to the relevant competent authorities; Written report materials that do not fall within the scope of authority of the securities regulatory authorities shall be transferred to the relevant competent departments for handling by the petition departments. Chapter III Handling of Letters and Visits Article 11 The relevant business departments of the securities regulatory body shall register, understand and identify the letters and visits handled one by one. According to different situations, they are:

(a) the suggestions and opinions of letters and visits should be carefully studied, and the handling opinions should be indicated.

(2) When visiting a letter requesting to solve a problem, it shall indicate the reply opinions in accordance with the relevant policies of the state and the relevant provisions of the securities regulatory agency.

(3) For reporting letters and visits, general problems are investigated and handled by this department. Those who meet the conditions for filing a case shall be handled in accordance with the relevant provisions of the Basic Guidelines for China Securities Regulatory Commission to Investigate and Deal with Securities and Futures Illegal Cases. Article 12 The relevant departments of the China Securities Regulatory Commission shall, within 30 days after receiving the complaint reporting matters, report the handling situation to the complaint reporting office, and if there are special circumstances, explain the reasons. If the higher authorities and the leaders of China Securities Regulatory Commission instruct to complete the project within a time limit, it shall be completed on schedule. Thirteenth China Securities Regulatory Commission agencies, securities and futures exchanges, letters and visits should be carefully handled within the scope of their functions and powers, not to transfer contradictions.

Letters and visits approved by the China Securities Regulatory Commission should be investigated in time and dealt with seriously. In general, the handling situation should be reported within 45 days. If there are special circumstances, the reasons should be explained. Fourteenth collective petitions to the China Securities Regulatory Commission, organized by the general office of the CSRC, handled by the petition office, security department and relevant departments, and timely report to the leaders.

Where there is a collective petition related to securities and futures in the place where the agency is located, it shall report the situation to the China Securities Regulatory Commission in a timely manner, and actively do a good job in resolving it in accordance with the principle of "graded responsibility"; At the same time, take the initiative to rely on the local government and take effective measures to prevent the situation from expanding; Discourage the masses from collectively petitioning in Beijing.