Corporate Supervision Department: responsible for the daily supervision of listed companies in the jurisdiction, including the daily supervision of information disclosure and corporate governance operation of listed companies, coordinating the disposal of risks of listed companies in the jurisdiction, and preventing and controlling insider trading in the jurisdiction. Responsible for the supervision of unlisted public companies, bond issuers and asset-backed securities issuers within their jurisdiction. Responsible for the on-site inspection of all kinds of supervision objects of the company. Responsible for the supervision of accounting firms and asset appraisal institutions engaged in securities and futures-related business activities within their respective jurisdictions.
Institutional Supervision Section I: Responsible for the daily supervision of securities operating institutions and investment consulting institutions within the jurisdiction, including administrative licensing examination, risk supervision (including monitoring, early warning, analysis and prevention, etc.), information security supervision, major risk disposal, institutional supervision and coordination, etc. Responsible for on-site inspection of securities institutions and other market entities, including comprehensive inspection, routine spot check, special inspection caused by problems or risks, letters and visits verification, etc. Responsible for the supervision of asset management business of securities institutions within their jurisdiction, including risk prevention, compliance supervision, on-site inspection, etc.
The second institute of institutional supervision: responsible for the daily supervision of futures operating institutions in the jurisdiction, including administrative licensing review, risk supervision (including monitoring, early warning, analysis and prevention, etc.), information security supervision, major risk disposal, institutional supervision and coordination, etc. Responsible for the on-site inspection of futures operating institutions, including comprehensive inspection, routine spot check, special inspection caused by problems or risks, letters and visits verification, etc. Responsible for the supervision of asset management business of futures operating institutions within their jurisdiction, including risk prevention, compliance supervision and on-site inspection. Responsible for the daily supervision of fund management companies and their subsidiaries, private equity funds, independent fund sales institutions and other legal institutions. , including information disclosure, governance, internal control, business norms, practice activities, etc. Responsible for the on-site inspection of fund management companies and their subsidiaries, private equity funds, independent fund sales institutions and other legal institutions within their jurisdiction.
Supervision room: responsible for filing, filing, investigation, review, delivery and execution of self-reliance cases and cases assigned by CSRC; Handle the case investigation of relevant units inside and outside the CSRC system; Take the lead in coordinating the anti-money laundering work of the securities and futures industry in the jurisdiction. Responsible for coordination with public security organs and other organs within their jurisdiction.
Legislative affairs office: responsible for the trial of self-administered cases and making administrative penalties according to law; Responsible for the legal review of regulatory measures; Responsible for the legal popularization and integrity construction in the jurisdiction; Responsible for supervising the securities legal business of law firms within their jurisdiction; Responsible for administrative litigation and administrative reconsideration related to this bureau. Responsible for organizing investor protection education in the jurisdiction, organizing the implementation of investor protection inspection and investigation and evaluation in the jurisdiction, supervising and managing the handling of complaints from market entities in the jurisdiction, and supporting the promotion of dispute mediation in the jurisdiction. Responsible for organizing and coordinating the activities of cracking down on illegal securities and futures funds in the jurisdiction, and assisting the judicial organs to identify the nature of illegal securities and futures funds.
Comprehensive business supervision department: responsible for cleaning up and rectifying all kinds of trading places; Responsible for the coordination and supervision of the regional equity market. Responsible for the information collection, statistics, analysis, release and submission of the capital market in the jurisdiction; Responsible for market development and research in the jurisdiction; Responsible for the maintenance and coordination of the central regulatory information platform. Responsible for other supervisory work other than the duties of the basic offices, or other duties flexibly adjusted by the bureau party Committee according to the needs of the work.