The first is about daily supervision. The agency is responsible for carrying out administrative licensing related work according to laws, administrative regulations and the authorization of the China Securities Regulatory Commission, inspecting relevant market entities in the capital market, receiving business, financial and other filing and reporting materials submitted by relevant market entities in accordance with regulations, and conducting audit and analysis. If an agency conducts inspection or other daily supervision activities and finds violations of laws, administrative regulations and rules, or finds major risks and problems, it shall take corresponding measures according to law.
The second is about risk prevention and disposal. It is stipulated that agencies should collect and analyze information according to risks and problems, strengthen dynamic monitoring of the market, and urge market participants to improve their ability to prevent and resolve risks. At the same time, according to laws, administrative regulations and the relevant provisions of the State Council, it is clear that the dispatched offices should guard against and deal with the risks of securities and futures institutions, listed companies, unlisted public companies, bond defaults, regional equity markets and illegal securities and futures activities.
The third is about case investigation and administrative punishment. We will expand the responsibilities of the dispatched agencies to file a case for investigation and assist in investigation, improve the working mechanism of case investigation, and clarify that the dispatched agencies are responsible for the trial and hearing of cases within their jurisdiction. In the process of case investigation, if compulsory measures such as freezing and sealing up are taken according to law, the dispatched office shall be responsible for the implementation according to the regulations. For cases that meet the standards for filing and prosecuting criminal cases, the dispatched institutions will perform the corresponding transfer procedures.
The fourth is about investor education and protection. It is stipulated that the dispatched offices shall be responsible for urging the securities and futures operating institutions to implement the investor suitability management system, organizing and promoting the work related to investor education, establishing a normalized investor opinion solicitation mechanism, and conducting securities and futures investor surveys and rights evaluation in accordance with regulations. At the same time, the agency is responsible for establishing and improving the inspection system and complaint handling management system for safeguarding the legitimate rights and interests of small and medium-sized investors within its jurisdiction in accordance with the unified deployment of the China Securities Regulatory Commission, and promoting the establishment and improvement of diversified dispute resolution mechanisms.
In addition to the above duties, the agency is also responsible for the development and innovation, statistical investigation, credit construction, complaint handling, information disclosure, legal affairs, public opinion monitoring and regulatory assistance.