1, check
Inspection is an important measure of fund supervision, which belongs to the way of supervision in the event. Inspection can be divided into daily inspection and annual inspection, as well as on-site inspection and off-site inspection.
On-site inspection refers to the on-site inspection conducted by the inspectors of the fund supervision institution in person at the business premises of the fund institution through on-site inspection, listening to reports and checking information.
China Securities Regulatory Commission has the right to conduct on-site inspections on fund managers, fund custodians and fund service institutions, and require them to submit relevant business materials.
2. Investigation and evidence collection
Investigating illegal fund cases is one of the statutory duties of China Securities Regulatory Commission, and investigation and evidence collection is the basis of investigating illegal fund cases and the guarantee of effective fund supervision.
3. Restrict transactions
People's Republic of China (PRC) Securities Investment Fund Law gives the China Securities Regulatory Commission the right to restrict securities trading.
When investigating major securities violations such as manipulation of the securities market and insider trading, the China Securities Regulatory Commission may, with the approval of the main person in charge of the China Securities Regulatory Commission, restrict the securities trading of the parties involved in the investigated event, but the restriction period shall not exceed 65,438+05 trading days; If the case is complicated, it may be extended by 15 trading days.