(two) vertical leadership of the national securities and futures regulatory agencies, the securities and futures market to implement centralized and unified supervision; Manage the leading bodies and members of relevant securities companies.
(3) Supervising the issuance, listing, trading, custody and settlement of stocks, convertible bonds, bonds of securities companies and other securities designated by the the State Council Securities Regulatory Commission; Supervise the activities of securities investment funds; Approve the listing of corporate bonds; Supervise the trading activities of listed government bonds and corporate bonds.
(four) to supervise the securities market behavior of listed companies and their shareholders who must perform relevant obligations according to law.
(5) Supervising the listing, trading and settlement of domestic futures contracts; Supervise domestic institutions to engage in overseas futures business according to regulations.
(6) Managing securities and futures exchanges. Senior managers in charge of securities and futures exchanges according to regulations; Centralized management of securities industry and futures industry associations.
(seven) supervision of securities and futures institutions, securities investment fund management companies, securities registration and settlement companies, futures settlement institutions, securities and futures investment consulting institutions, securities credit rating agencies; Examining and approving the qualifications of fund custody institutions and supervising the fund custody business;
To formulate measures for the administration of the qualifications of senior managers of relevant institutions and organize their implementation; Guide China Securities Industry and Futures Industry Association to carry out qualification management of securities and futures practitioners.
(8) Supervising domestic enterprises to directly or indirectly issue shares and go public overseas, and overseas listed companies to issue convertible bonds overseas; Supervise domestic securities and futures institutions to set up securities and futures institutions overseas; Supervise overseas institutions to set up securities and futures institutions and engage in securities and futures business in China.
(nine) to supervise the information dissemination activities of securities and futures, and to be responsible for the statistics of securities and futures markets and the management of information resources.
(10) Examining and approving the qualifications of accounting firms, asset appraisal institutions and their members to engage in securities and futures intermediary business in conjunction with relevant departments, and supervising the activities of law firms, lawyers and qualified accounting firms, asset appraisal institutions and their members to engage in securities and futures-related business.
(eleven) to investigate and deal with illegal acts of securities and futures according to law.
(12) Centralized foreign exchange management and international cooperation in the securities and futures industry.
(thirteen) to undertake other tasks assigned by the State Council.
Extended data:
The Historical Evolution of China Securities Regulatory Commission;
1992 10 The establishment of the State Council Securities Commission (hereinafter referred to as the State Council Securities Regulatory Commission) and China Securities Regulatory Commission (hereinafter referred to as China Securities Regulatory Commission) marked the beginning of the formation of a unified supervision system for China's securities market.
The State Council Securities Commission is the national competent authority for unified macro-management of the securities market. China Securities Regulatory Commission is the regulatory executive body of the State Council Securities Commission, which regulates the securities market according to law.
After the establishment of the State Council Securities Commission and China Securities Commission, their terms of reference gradually expanded with the development of the market. 1993110 In October, the State Council decided to entrust the pilot work of the futures market to the the State Council Securities Regulatory Commission, which will implement it.
1In March, 1995, the State Council officially approved the institutional setup plan of China Securities Regulatory Commission, and identified China Securities Regulatory Commission as the deputy ministerial-level institution directly under the State Council, which is the regulatory executive body of the State Council Securities Commission to supervise the securities and futures market in accordance with laws and regulations.
1In August, 1997, the State Council decided to put the Shanghai and Shenzhen stock exchanges under the supervision of the China Securities Regulatory Commission. At the same time, securities supervision offices of China Securities Regulatory Commission were established in Shanghai and Shenzhen.
1 1 in June, the central government held a national financial work conference, and decided to reform the national securities management system, straighten out the securities supervision system, exercise vertical leadership over local securities supervision departments, and put the securities operating institutions originally supervised by the People's Bank of China under the unified supervision of the China Securities Regulatory Commission.
1in April, 1998, according to the institutional reform plan of the State Council, it was decided to merge the the State Council Securities Commission and the China Securities Regulatory Commission to form a ministerial-level institution directly under the State Council. After these reforms, the functions of China Securities Regulatory Commission have been significantly strengthened, and a centralized and unified national securities supervision system has basically taken shape.
1In September, 1998, the State Council approved the Provisions on the Function Allocation, Internal Organization and Staffing of China Securities Regulatory Commission, which further clarified that China Securities Regulatory Commission is an institution directly under the State Council and the competent department of the national securities and futures market, and further strengthened and clarified the functions of China Securities Regulatory Commission.
2065438+On May 1 2005, the China Securities Regulatory Commission announced a number of cancelled administrative examination and approval items, including 8 cancelled administrative examination and approval items, 1 item for professional qualification licensing and recognition, and 4 pre-approval items for industrial and commercial registration.
From 2065438 to September 2005, the CSRC was "full of firepower" and was not soft on illegal institutions and individuals.
According to the statistics of Observer.com, from September 2 to September 19, the CSRC issued a fine of 176 billion yuan, involving many institutions and individuals such as brokers, futures companies, hedge funds and third-party trading platforms. Among them, "Niu San" Yuan Hailin was suspected of manipulating stocks and lost 278 million yuan, but was still fined 3 million yuan.
The behaviors targeted by the CSRC include market manipulation, illegal operation (securities services), violation of laws and regulations (brokerage futures), illegal reduction and short-term trading, and 40 cases were filed.
Among them, 7 cases were suspected of manipulating the market, involving 1 institutions and 6 individuals. Donghai Hengxin was confiscated and fined 737 million yuan (550 million yuan) for allegedly manipulating180TF. This is also the biggest ticket issued by the CSRC recently.
Baidu Encyclopedia-China Securities Regulatory Commission