简体版
Tianjin Branch
Tian jin
21-11-2008

Official Duties of Tianjin Securities Regulatory Bureau

 

Tianjin Securities Regulatory Bureau was established with the approval of the State Commission Office for Public Sector Reform (SCOPSR) to meet the requirement of the CPC Central Committee and the State Council with regard to the building up of a unified securities supervision system. As one of the representative bureaus of China Securities Regulatory Commission (CSRC), Tianjin Securities Regulatory Bureau is subject directly to the administration by CSRC, its full name being CSRC Tianjin Regulatory Bureau (TSRB).

As assigned by CSRC, the main duties of TSRB include: to regulate business activities, in connection with securities and futures, of listed companies, securities and futures companies, securities and futures investment advisers, as well as such intermediaries as law firms, certified public accountants firms and asset appraisal institutions, within the area under its jurisdiction; and to investigate under law, within the area under its jurisdiction, cases concerning violations against laws or regulations in the securities and futures operation.

 

Organizational Structure of Tianjin Securities Regulatory Bureau

 

There are seven divisions under Tianjin Securities Regulatory Bureau (TSRB), including General Office, Listed Companies Supervisory Office, Organizations Supervisory Office, Futures Supervisory Office, Inspection Office No. 1, Inspection Office No. 2, and Party Committee Office. Their main duties are as follows:

 

 

Main Duties

General Office

Secretarial affairs, office work, financial affairs, administrative affairs, external affairs and publicity, foreign affairs and personnel arrangements.

TSRB’s information work, and investigation and research over the relevant problems in the securities and futures market within the area under its jurisdiction.

Listed Companies Supervisory Office

Day-to-day supervision over the listed companies within the district under its jurisdiction under law; on-spot and off-spot inspection; examination and approval, within its capacity, of the changed items; guidance supervision over the reform of the would-be listed companies within the area under its jurisdiction; and supervision over the sustained responsibilities and obligations of the relevant intermediaries after their listing.

Organizations Supervisory Office

Day-to day supervision under law over the securities operating institutions, securities investment consultancies, fund management institutions as well as the relevant personnel; on-spot and off-spot inspections; primary examination, regular inspection or annual inspection over the relevant items within its capacity.

Futures Supervisory Office

Day-to-day supervision and on-spot and off-spot inspection, under law, over the futures operating institutions, the futures investment consultancies and the relevant personnel; primary examination, regular inspection or annual inspection over the relevant items concerned within its capacity.

No. 1 Inspection Office

Case establishment and investigation, within its capacity, over violations against laws or regulations in securities and futures operation within the area under its jurisdiction; handling or investigation over the cases assigned by CSRC; assistance, upon request, of its representative bureaus in case investigations; and provision of professional technical support to Public Security Bureau or Ministry of Justice in accordance with the relevant stipulations.

No. 2 Inspection Office

Investigation over cases of violations against laws or regulations in securities and futures operation within the area under its jurisdiction; handling of grievances letters and visits from the general public; implementation of administrative penalty decisions and the relevant service work; implementation of the relevant laws on securities and futures within the area under its jurisdiction, popularization of laws, provision of advices on legal problems as forwarded by the relevant organizations within the area under its jurisdiction or as related to the functions of the representative offices under supervision.

Party Committee Office

Party affairs, discipline inspection and supervision, and construction of moral cultivationand guidance for mass organizations including the trade union and the Chinese Communist Youth League in the performance of their activities according to the relevant regulations.

 

 

 

 

Chinese version of the official Link

http://www.csrc.gov.cn/pub/tianjin/



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