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Overview

China Securities Regulatory Commission (CSRC) is  under direct administration of the State Council, with an executive management team consisting of one Chairman, four Vice Chairmen, and one Chief Inspector of the Discipline Inspection and Supervision Office.


The CSRC headquarters has 19 functional departments and a Department of Headquarters CPC-related Affairs (Department of Headquarters Discipline Inspection Commission), and has 36 regional offices in provinces, autonomous regions, municipalities directly under the central government and separately-planned cities, as well as two commissioner offices in Shanghai and Shenzhen respectively.

The CSRC implements the policies, principles, decisions, and plans of the CPC Central Committee on financial work. It upholds centralized and unified leadership of the CPC Central Committee on the financial work in performing its mandate. The CSRC’s main responsibilities include:

1.Performing unified regulation and supervision of the securities industry, with strengthened oversight of the capital markets in accordance to laws and regulations.

2.With regard to the securities, futures and fund markets, formulating principles, policies and development plans; drafting relevant laws and regulations, and putting forward suggestions for formulation and further revisions; and preparing relevant administrative rules and regulations.

3.Regulating and supervising the issuance, listing, trading, custody and settlement of stocks, convertible bonds, depository receipts and other equity securities subject to CSRC’s oversight as assigned by the State Council; supervising activities of investment funds in securities, equity, private and infrastructure Real Estate Investment Trusts (REITs).

4.Regulating and supervising the issuance, listing, admission, trading, custody and settlement of corporate (enterprise) bonds, asset-backed securities and other fixed-income securities on the exchange-traded market subject to CSRC’s oversight as assigned by the State Council; regulating and supervising the listing and trading of government bonds in the exchange-traded market; performing unified law enforcement in the bond market.

5.Regulating and supervising the securities market behaviors of listed companies, non-exchange-listed public companies, bond issuers, as well as their shareholders, actual controllers and parties-acting-in-concert who are under legal obligations in accordance to relevant laws and regulations.

6.Within its regulatory mandate, regulating and supervising futures contracts and standard options contracts on the domestic market, including listing, trading, settlement and delivery. Regulating and supervising derivatives business of securities, futures, and fund management institutions.

7.Regulating and supervising stock and futures exchanges, and other national securities trading venues subject to CSRC’s oversight as assigned by the State Council. Regulating and supervising senior management personnel of stock and futures exchanges and aforementioned trading venues in accordance to relevant laws and regulations.

8.Regulating and supervising securities, futures, and fund management institutions, securities depository and clearing institution, futures settlement institution, securities financing company, advisory institutions for securities and futures investment, securities credit rating institutions, fund depository institutions, fund service institutions. Formulating and enforcing administrative rules over the appointment and conduct of board directors, supervisors, senior management and specialist employees of relevant institutions.

9.Regulating and supervising domestic companies issuing and listing shares, depository receipts, convertible bonds, and other securities in overseas markets; overseas-listed Chinese companies issuing convertible bonds in overseas market; domestic securities, futures, and fund management institutions setting up overseas subsidiaries; overseas-funded securities, futures, and fund management institutions setting up domestic subsidiaries; overseas-funded companies issuing and listing securities in domestic exchange market; investment activities of qualified foreign investors in domestic securities and futures markets.

10.Regulating and supervising information release and communication on securities, futures and fund markets. Managing statistics and market intelligence of securities, futures and fund markets.

11.Enforcing filing-based management and continued regulation, jointly with relevant authorities, of securities-related service provided by accounting firms, law firms, and providers of assets appraisal, credit rating, financial consultancy, IT system.

12.Regulating and supervising application of technology in securities, futures, and fund markets, including setting up regulatory framework and policies, constructing big data platform for regulatory purposes, carrying out risk monitoring, analysis, evaluation, pre-warning, inspection and responses of application and securities of technologies.

13.With regard to securities, futures, and fund markets, investigating misconduct in accordance to laws and regulations, taking administrative measures or enforcing punishment; cracking down illegal financial activities, organizing risk monitoring and analysis, coordinating responses to risk events. Coordinating regulatory actions on regional trading venues and providing guidance for risk responses.

14.Per the requirement by the State Council to create a regional financial regulatory system centered on regional offices of central financial authorities, the CSRC will provide counsel and supervise regional financial regulatory work related to securities, futures and funds industries, as well as advising and coordinating local governments in performing local responsibilities in response to relevant financial risks.

15.Undertaking cross-border communication and international cooperation in the securities, futures and fund sector.

16. Other missions or tasks assigned by the CPC Central Committee and the State Council.

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? 2008 China Securities Regulatory Commission All Rights Reserved