1, ordered to stop issuing securities.

2, ordered to suspend business for rectification.

3. Suspension or revocation of securities and futures business licenses.

4, revocation of qualifications or securities business qualifications.

It is illegal to fine or confiscate individuals.

6. Impose a fine on a legal person or other organization or confiscate the illegal income.

With the development of China's securities market, the regulatory system for illegal activities in the securities market is becoming more and more mature, and the regulatory measures or means of China Securities Regulatory Commission, as China's securities regulatory body, are becoming more and more diversified.

In 2002, the China Securities Regulatory Commission put forward the concept of "non-administrative punishment supervision measures" for the first time in the Notice on Further Improving the Administrative Punishment System of the China Securities Regulatory Commission, and made procedural provisions for non-administrative punishment supervision measures different from administrative punishment.

Extended data:

Non-administrative punishment supervision measures of China Securities Regulatory Commission refer to a kind of supervision measures adopted by China Securities Regulatory Commission for securities violations, but these measures are not administrative punishments (that is, they are not administrative punishments stipulated in the Administrative Punishment Law and related laws and administrative regulations), and they are made after the investigation.

Therefore, the investigation and inspection measures and some regulatory measures taken in the process of investigation and inspection should not belong to the category of non-administrative punishment regulatory measures. Therefore, this concept in the Notice has the characteristics of non-administrative punishment, non-legal provisions and finality.

The regulatory measures for non-administrative punishment in China's current laws, regulations and normative documents that meet the definition of the Notice are as follows:

1, supervise the conversation and remind the conversation.

2. Pay attention, issue a regulatory concern letter and issue a warning letter.

3, credited to the integrity file.

4, shall be ordered to make corrections.

5. Designate an intermediary agency for verification.

6. Require the submission of special reports, compliance inspection reports and information disclosure.

7. Request the judicial organ to prohibit it from transferring, transferring or otherwise disposing of the property or creating other rights on the property.

8. Notify the exit administration authorities to prevent them from leaving the country according to law.

9. Restrict commercial activities.

10, limiting the distribution of dividends.

1 1. Restrict the payment of remuneration and benefits to directors, supervisors and senior management.

12. Restrict the transfer of property or set other rights on property, and restrict securities trading.

13. Restrict the rights of directors, supervisors and senior managers; Ordering the sponsor institution to replace the sponsor representative.

14. Restrict relevant shareholders from exercising their rights.

15, ordered to suspend some businesses and stop approving new businesses.

16. Stop approving the establishment and acquisition of business branches.

17, ordered to suspend or stop the acquisition, suspend or terminate the share repurchase activities.

18, suspended.

19. Designate other institutions to manage and take over the company.

20 temporarily not accepting business or business qualification applications, and suspending the review of related applications.

2 1. Order the replacement of directors, supervisors and senior managers.

22. Ordering shareholders to transfer their equity.

23. Do not accept relevant documents, applications or recommendations within a certain period of time.

24, recorded in the integrity file and published.

25. Publicize the breach of promises to the public.

26, was identified as not suitable for the relevant positions; Is considered an unsuitable candidate.

27, unregistered, deleted from the list.

28. Prohibition of the securities market.

29. Cancellation of securities companies.

References:

Baidu Encyclopedia-China Securities Regulatory Commission

Xinhuanet-Since the beginning of this year, the China Securities Regulatory Commission has made 224 administrative punishment decisions.