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Shanxi Branch
Shanxi
22-11-2008

 

Responsibilities

On July1, 1999, the Xi’an Securities Regulatory Office (XSRO) under the China Securities Regulatory Commission (CSRC) was officially established according to the CSRC’s “Notice of Establishing XSRO” (Zheng Jian Ren Jiao Zi [1999] No.60). According to the CSRC’s “Notice of Establishing CSRC Enforcement Bureaus” (Zheng Jian Ren Jiao Zi [2000] No. 27), the CSRC Xi’an Enforcement Bureau was officially established and opened in September 2000 and May 2001, respectively. On February 27, 2004, the XSRO was renamed as the CSRC Shaanxi Securities Regulatory Bureau (SSRB) according to the CSRC’s “Notice of Renaming CSRC Regional Bureaus” (Zheng Jian Fa [2004] No.17).

 

As one of the CSRC regional bureaus, the SSRB is responsible for implementing applicable laws, regulations and national policies; regulating 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, accounting firms and asset appraisal institutions, within its jurisdiction; investigating and prosecuting violations according to law; conciliating disputes concerning securities and futures business; and other responsibilities assigned by the CSRC.

 

The CSRC Xi’an Enforcement Bureau is in charge of organizing and guiding investigations on securities and futures violations within its jurisdiction; issuing opinions on and handling as authorized securities and futures violations within its jurisdiction and cases assigned by the CSRC upon investigation; enforcing penalty by the CSRC on securities and futures violations; assisting other departments in investigating securities and futures cases in violation with laws and rules and referring the involved individual or institutional violators to other departments; handling letters and visits concerning securities and futures business; and other tasks assigned by the CSRC

 

Organization

The Shaanxi Securities Regulatory Bureau (SSRB) consists of 8 offices or divisions, namely, General Office, Party Affairs Office (also Office of Internal Compliance), Division of Listed Companies Supervision, Division of Intermediary Supervision, Division of Futures Supervision, Enforcement Division, Enforcement Division and Division of Legal Affairs in charge of the following res-ponsibilities:

 

Office/Division

Responsibilities

General Office

General Office is in charge of the SSRB’s documents, telegrams, seals, archives and confidential management; administrative license; financial and administrative management; personnel management of officials below the division level; international cooperation and foreign affairs; training of officials and ordinary staff; statistics and release of the information and data on securities and futures market and regulation within the SSRB’s jurisdiction; the construction, operation and maintenance of the SSRB’s information system; coordinating work for transparency of governmental affairs; contacting news agencies; receiving judicial authorities and other state authorities; and coordinating the SSRB’s legal affairs.

Party Affairs Office (also Office of Internal Compliance)

Party Affairs Office (also Office of Internal Compliance) is in charge of Party Construction and affairs; ideological and political education; cultural development; Party conduct construction, discipline inspection and administrative inspection; personnel management of officials above the division level; and guiding the trade union, the Communist Youth League and women affairs

Division of Listed Companies Supervision

Division of Listed Companies Supervision is in charge of supervision over local listed companies, including subsequent examination on and continuing supervision over the truthfulness of information disclosure documents such as listed companies’ periodic and provisional reports as well as inspection or investigation on the truthfulness of the disclosed information; supervision over listed companies’ governance structure; assisting the CSRC in reviewing listed companies’ significant assets reorganization, merger, acquisition and shareholding change; surveillance, reporting and disposal of listed companies’ material risks; handling complaints against listed companies; putting to-be-listed companies on record and their guidance, supervision and acceptance; supervision over the securities business by accounting firms, law firms and assets appraisal agencies; and giving business guidance to the Shaanxi Listed Companies Association.

Division of Intermediary Supervision

Division of Intermediary Supervision is in charge of supervision over local securities institutions, including day-to-day oversight over Shaanxi-registered securities companies and their branches as well as the branches of securities companies that are registered outside Shaanxi; supervision over and inspection on the operation and improvement of securities companies’ and their branches’ governance structure and internal control system; day-to-day oversight over clients’ trading settlement capital of securities institutions; supervision over securities investment advisers; supervision over the representative offices of foreign securities institutions established in Shaanxi; review or preliminary review on securities institutions’ business starting, change, business qualifications and qualifications of their senior management; surveillance, report and disposal of material risks of securities operational institutions; handling complaints against securities operational institutions; securities investors’ orientation; and giving business guidance to the Securities and Futures Association of Shaanxi (SFAS).

Division of Futures Supervision

Division of Futures Supervision is in charge of supervision over futures institutions, including supervision over Shaanxi-registered futures companies and their branches as well as the branches of futures companies which are registered outside Shaanxi; approval of the futures operational institutions’ establishment, dissolution and change, etc.; verification on and supervision over the qualifications of futures companies’ senior management and relevant personnel; handling complaints against futures operational institutions; surveillance, report and disposal of material risks of futures operational institutions; stock index futures investors’ orientation; and giving business guidance to the SFAS.

Division of Legal Affairs

Division of Legal Affairs is in charge of supervision over lawyers’ legal business concerning securities and futures within the SSRB’s jurisdiction and management of the SSRB’s public lawyers ; supervision over the SSRB’s administrative law enforcement such as the responsibility system for administrative law enforcement; the draft, formulation and amendment of relevant laws, rules and regulations; coordinating with state authorities like judicial authorities to review and copy supervision archives of securities and futures and providing relevant consulting service; reviewing the issued materials; coordinating administrative review, handling administrative action, undertaking administrative compensation and reward and organizing hearings; examining the legitimacy of the supervision system, regulatory documents and important non-administrative penalties in the name of the SSRB as well as replies to complicated letters and visits; examining the legitimacy of the SSRB’s reports of case-filing, case conclusion and case transfer as well as its penalty decision; providing research and legal advice on legal issues in securities and futures supervision; reviewing the contracts signed in the name of the SSRB; coordinating and guiding the SFAS, local arbitration commissions in conciliation and arbitration of securities civil disputes; organizing and participating in the supervisees-oriented legal education and investors-oriented popularization of legal knowledge; organizing and coordinating information disclosure and putting it under centralized management by special departments; credit records management; and other issues related to legal affairs.

Division I of Enforcement and Division II of Enforcement (under the Xi’an Enforcement Bureau)

Division I of Enforcement and Division II of Enforcement (under the Xi’an Enforcement Bureau) are in charge of investigating violations of local listed companies, securities and futures companies, investment advisers and intermediaries and cracking down on illicit securities activities, including collecting evidence through investigation on cases filed by the SSRB and the CSRC-assigned cases to be handled by the SSRB or to be handled under the leadership of the SSRB; assisting the Xi’an Enforcement Bureau and other CSRC regional bureaus in case investigation; reporting case-filing for approval and the cases’ consultation, reporting for record, review, hearing, reconsideration and litigation etc.; providing professional technical support for violations and illicit shares issuance and transactions handled by public security departments and judicial departments involving the jurisdiction’s supervisees; investigating the non-listed stock companies’ illicit issuance or illicit shares issuance in disguised forms within the SSRB’s jurisdiction; investigating the intermediaries’ illicit securities business within the SSRB’s jurisdiction; receiving letters and visits and handling complaints concerning securities and futures and putting them under centralized management by specialized departments;; and anti-money laundering.

 

 

Contact Us

Address: F/23-24, Gaoke Plaza, 1 Gaoxin No.4 Road, Xi’an, 710075, China

Tel.: 029-88361799

Fax: 029-88361700

 

Chinese version of the official link

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

 



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