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Several regulations on the personal securities investment behavior of party and government agency staff

( April 3, 2001)

Article 1 is formulated to regulate the securities investment behavior of staff of party and government agencies, promote the integrity and self-discipline of staff of party and government agencies, strengthen the construction of party style and clean government, and promote the healthy development of the securities market. these regulations.

Article 2 The personal securities investment behavior of party and government agency staff as mentioned in these regulations refers to the party and government agency staff investing their legal property in the securities market in a legal manner, buying and selling stocks and securities investment Fund behavior.

Article 3 Individual staff members of party and government agencies may buy and sell stocks and securities investment funds. When buying and selling stocks and securities investment funds, you must abide by relevant laws and regulations, and the following behaviors are strictly prohibited:

(1) Taking advantage of the influence of your authority or position or using other improper means to solicit or force the purchase of funds Offer stocks, solicit or resell warrants;

(2) Use inside information to directly or indirectly buy and sell stocks and securities investment funds, or make recommendations to others about buying and selling stocks and securities investment funds;

(3) Buying and selling, or holding or buying and selling in the name of others, the stocks of listed companies within its direct business jurisdiction;

(4) Borrowing the public funds of the unit, or borrowing the funds of management and service objects funds, or borrow funds from subordinate units and individuals within the scope of their jurisdiction, or borrow funds from other units and individuals related to the exercise of their powers, to purchase stocks and securities investment funds;

(5) In the name of the unit Raising funds to buy and sell stocks and securities investment funds;

(6) Using working hours and office facilities to buy and sell stocks and securities investment funds;

(7) Other violations of the "People's Republic of China and the Securities Law of the People's Republic of China and related laws and regulations.

Article 4 The competent departments of listed companies and the competent departments of state-owned holding units of listed companies who have inside information and their parents, spouses, children and their spouses are not allowed to buy or sell goods managed by the above-mentioned competent departments. stocks of listed companies.

Article 5 Staff members of the State Council’s securities regulatory agency and its dispatched offices, stock exchanges and futures exchanges, as well as their parents, spouses, children and their spouses, are not allowed to buy or sell stocks.

Article 6: My parents, spouse, children and their spouses work in securities companies, fund management companies, or in accounting (auditing) offices granted securities and futures qualifications by the Securities Regulatory Authority of the State Council. If they serve in law firms, law firms, investment consulting agencies, asset appraisal agencies, or credit rating agencies, staff of the party and government agencies shall not buy or sell votes of listed companies that have business relationships with the above-mentioned agencies.

Article 7 Party and government agency staff who possess inside information will continue to be bound by these regulations after leaving their posts for three months.

Staff members of party and government agencies who gain inside information due to their new position must dispose of the stocks and securities investment funds they held before taking office within one month after taking office and may not continue to hold them.

Article 8 All comprehensive economic management departments and industry management departments shall, based on the nature of their work, make restrictive regulations on the behavior of their staff entering the securities market and report them to the Central Commission for Discipline Inspection and the Ministry of Supervision. Filing.

Article 9 Any staff member of a party or government agency who violates these regulations shall be given party disciplinary sanctions, administrative sanctions or other disciplinary sanctions; if there is any suspicion of a crime, they shall be transferred to judicial organs for handling according to law. Any illegal gains shall be confiscated.

Article 10 The term "staff of party and government organs" as mentioned in these regulations refers to staff members of party organs, people's congress organs, administrative organs, CPPCC organs, judicial organs, and procuratorial organs. Public institutions managed in accordance with the civil service system, enterprises and institutions with administrative management functions and administrative law enforcement functions, as well as staff of mass organizations such as trade unions, Communist Youth League, Women's Federation, Federation of Literary and Art Circles, Writers Association, Science and Technology Association; Party members at all levels This provision shall apply to staff members in public institutions affiliated with government agencies, trade unions, the Communist Youth League, the Women's Federation, the Federation of Literary and Art Circles, the Writers' Association, the Association for Science and Technology and other mass organizations.

Article 11 In addition to the buying and selling of stocks and securities investment funds, these regulations shall apply to the buying and selling of other stock securities and their derivatives.

Article 12 The Central Commission for Discipline Inspection and the Ministry of Supervision of the Communist Party of China are responsible for the interpretation of these regulations.

Article 13 These regulations shall come into effect on the date of promulgation. Before the promulgation of these regulations, party and government officials who took advantage of their powers or the influence of their positions to purchase or accept "original shares", as well as other acts of buying and selling stocks in violation of the regulations at the time, shall continue to be investigated and punished in accordance with the original regulations.