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Relationship between the State Administration of Financial Supervision and the China Securities Regulatory Commission

The relationship between the State Administration of Financial Supervision and the China Securities Regulatory Commission is mainly reflected in the division of labor and collaboration of regulatory responsibilities. The State Administration of Financial Supervision is an important part of my country's financial supervision system and is responsible for coordinating the national financial supervision work and ensuring the stable operation of the financial market. The China Securities Regulatory Commission is the regulatory agency responsible for the securities and futures markets and is committed to maintaining the fairness, transparency and standardization of the securities market.

1. Responsibilities and Positioning of the State Administration of Financial Supervision

As the overall coordination agency for national financial supervision, the State Administration of Financial Supervision is responsible for ensuring the stability of the financial market and preventing and defusing financial risks. It is responsible for formulating and implementing financial regulatory policies, coordinating the work of various financial regulatory departments, and promoting the healthy development of financial markets. In addition, the State Administration of Financial Supervision is also responsible for monitoring and evaluating financial risks, promptly discovering and dealing with potential risk points, and maintaining the safety and stability of the financial market.

2. Responsibilities and Positioning of the China Securities Regulatory Commission

As the regulatory agency of the securities and futures markets, the China Securities Regulatory Commission’s main responsibilities are to protect the interests of investors, maintain market order, and promote the healthy development of the market. It is responsible for formulating and implementing securities market regulatory policies, supervising securities issuance, trading, settlement and other activities, cracking down on illegal activities, and maintaining market fairness, transparency and regulation. The China Securities Regulatory Commission is also responsible for supervising the business activities of market entities such as securities companies and fund companies to ensure their compliance.

3. Collaborative relationship between the State Administration of Financial Supervision and the China Securities Regulatory Commission

In actual work, there is a close collaborative relationship between the State Administration of Financial Supervision and the China Securities Regulatory Commission. On the one hand, when formulating financial regulatory policies, the State Administration of Financial Supervision will fully consider the characteristics and needs of the securities market, maintain communication and consultation with the China Securities Regulatory Commission, and ensure the effectiveness and pertinence of the policies. On the other hand, when performing securities market supervision tasks, the China Securities Regulatory Commission will also actively report work progress to the State Administration of Financial Supervision and seek guidance and support.

In addition, in terms of responding to financial risks and handling financial cases, the State Administration of Financial Supervision and the China Securities Regulatory Commission will also strengthen cooperation and cooperation to jointly maintain the stability and security of the financial market. The two parties will share regulatory information, conduct joint inspections and law enforcement actions, crack down on financial violations, and protect the legitimate rights and interests of investors.

In summary:

The State Administration of Financial Supervision and the China Securities Regulatory Commission are important components of my country’s financial regulatory system, and they have both division of labor and collaboration in terms of responsibilities. The State Administration of Financial Supervision is responsible for coordinating the national financial supervision work and ensuring the stable operation of the financial market; the China Securities Regulatory Commission focuses on the supervision of the securities and futures markets and maintains fairness, transparency and standardization of the market. In actual work, the two parties maintain close communication and collaboration to jointly respond to financial risks, maintain market order, and protect the interests of investors.

Legal basis:

"Bank Supervision and Administration Law of the People's Republic of China"

Article 4:

The Banking Regulatory Authority of the State Council is responsible for the supervision and management of banking financial institutions and their business activities across the country. The term "banking financial institutions" as used in this Law refers to commercial banks, urban credit cooperatives, rural credit cooperatives and other financial institutions established within the territory of the People's Republic of China that accept deposits from the public, as well as policy banks.

"Securities Law of the People's Republic of China"

Article 100 stipulates:

The securities regulatory authority of the State Council shall supervise and manage the securities market in accordance with the law. , safeguard the principles of openness, fairness and impartiality in the securities market, protect the legitimate rights and interests of investors, especially small and medium-sized investors, and promote the healthy development of the securities market.