Article 1 In order to regulate the administrative punishment of China Securities Regulatory Commission (hereinafter referred to as China Securities Regulatory Commission) and its dispatched offices, maintain the order of the securities and futures market, and protect the legitimate rights and interests of citizens, legal persons and other organizations, according to the Administrative Punishment Law of the People's Republic of China, the Securities Law of People's Republic of China (PRC), the Securities Investment Fund Law of People's Republic of China (PRC) and the Regulations on the Administration of Futures Trading. Article 2 The China Securities Regulatory Commission shall exercise centralized and unified supervision and management over the national securities and futures market according to law. The dispatched office of China Securities Regulatory Commission shall perform the duties of administrative punishment according to the authorization. Article 3 If a natural person, legal person or other organization violates the laws, regulations and rules of securities and futures and should be given administrative punishment, the China Securities Regulatory Commission and its dispatched offices shall implement it in accordance with the relevant laws, regulations and rules and the procedures prescribed in these Measures. Article 4 The China Securities Regulatory Commission and its dispatched offices shall implement administrative punishment, follow the principles of openness, fairness, impartiality, efficiency and prudent supervision, and comprehensively and objectively investigate and collect relevant evidence according to law. Article 5 The administrative punishment decisions made by the China Securities Regulatory Commission and its dispatched offices shall be clear in facts, conclusive in evidence, correct in basis, legal in procedure and appropriate in punishment. Article 6 If the China Securities Regulatory Commission and its dispatched offices find that a natural person, a legal person or any other organization is suspected of violating the laws, regulations and rules of securities and futures, and meets the following conditions, and there is no situation of not being given administrative punishment according to law, they shall file a case:

(a) there is a clear subject of illegal behavior.

(2) There is evidence to prove illegal facts.

(three) laws, regulations and rules have clear legal responsibility for administrative punishment.

(four) the limitation of administrative punishment is not more than two years. Involving financial security and causing harmful consequences, the limitation of administrative punishment shall not exceed five years. Article 7 The China Securities Regulatory Commission and its dispatched offices shall record the whole process of administrative punishment through written records and other forms, and keep them on file. According to the needs, the process of administrative punishment that is easy to cause controversy can be recorded and recorded. If the units and individuals under investigation do not cooperate, law enforcement officers will explain the relevant situation in writing. Article 8 Law enforcement officers of the China Securities Regulatory Commission and its dispatched offices must be loyal to their duties, act in accordance with the law, be fair and honest, and may not abuse their powers or seek illegitimate interests by taking advantage of their positions; Strictly abide by the confidentiality provisions, and shall not disclose case investigation information, state secrets, business secrets and personal privacy; For personal information obtained according to law, information security should be ensured. Article 9 When conducting an investigation, the China Securities Regulatory Commission and its dispatched offices shall have at least two law enforcement officers, and shall produce law enforcement certificates, investigation notices and other law enforcement documents. The units and individuals under investigation have the right to refuse if there are less than two law enforcement officers or fail to produce law enforcement certificates and investigation notices.

Law enforcement officers shall record the statement in the inquiry record or on-site record and other materials. Tenth units and individuals under investigation shall cooperate with the investigation, truthfully answer the inquiries, and provide relevant documents and materials as required, and shall not refuse, obstruct or conceal. Eleventh China Securities Regulatory Commission and its dispatched offices to investigate and collect evidence including:

(1) Documentary evidence;

(2) Physical evidence;

(3) Audio-visual materials;

(4) Electronic data;

(5) Testimony of witnesses;

(6) statements of the parties;

(7) Appraisal opinions;

(8) Records of inspection and on-site records.

The evidence must be verified before it can be used as the basis for determining the facts of the case.

Evidence obtained by illegal means shall not be used as the basis for determining the facts of a case. Article 12 Documentary evidence shall be collected in principle. If it is really difficult to collect the original, you can collect copies, photos and excerpts that are verified with the original. Copies, photos and excerpts shall be checked by the evidence provider and marked as consistent with the original, and signed or sealed by the evidence provider page by page. If the number of copies is large and coded continuously, you can sign and seal on the front and back pages and the riding seam. Article 13 Physical evidence shall be collected in principle. If it is really difficult to collect the original, you can collect a copy that is checked with the original or other evidence such as photos and videos that prove physical evidence. If the original is a large number of species, you can collect some. Where copies or video materials are collected, the evidence collection shall be explained in the on-site transcripts. Article 14 Audio-visual materials shall, in principle, collect the original carriers of relevant materials. If it is really difficult to collect the original carrier, you can collect copies verified with the original carrier, and indicate the production method, production time, producer and certification object through on-site notes or other means. Audio data should be accompanied by a written record of the recorded content. Fifteenth electronic data in principle should collect the original carrier of relevant data. If it is really difficult to collect the original carrier of electronic data, you can make a copy and record the participants, technical methods, collection objects, steps and processes through on-site transcripts or other means. Conditional, you can take photos or video to record the evidence collection process. The key contents of electronic data can be directly printed or screened, and signed by the evidence provider for confirmation. Article 16 The statements of the parties and the testimony of witnesses can be obtained by means of inquiry transcripts or written explanations. The inquiry should be conducted separately. The inquiry record shall be signed and dated page by page by the interviewee and at least two law enforcement officers involved in the inquiry; If there is any modification, it shall be signed by the person being questioned for confirmation.

If it is obtained by written explanation, the written explanation shall be signed or sealed by the provider page by page and dated.