简体版
Chongqing Branch
Chongqing
22-11-2008

Brief Introduction of Chongqing Securities Regulatory Bureau

1n 1997, the capital market in Chongqing boomed with the establishment of Chongqing municipality and the Chongqing Securities Regulatory Office original belonged to the General Office of the municipal government could no more meet the supervision requirements of the securities market. In order to strengthen the supervision of the securities market, keep the stability and healthy development of the capital market in Chongqing, the Chongqing Securities Regulatory Office was formally set up in October 1997 under the approval of the Chongqing people’s municipal government as a bureau-level institution directly led by the municipality. In September 1998, to meet the State Council’s requirement of adjusting the supervision system of the securities market and to follow Guo Fa [1998] No.29 document, the Chongqing Securities Regulatory Office was renamed as the CSRC Chongqing Regulatory Office and began to formally perform its duties on July 1, 1999 as a bureau-level branch in Chongqing of the CSRC (the Chongqing Office Directly under the CSRC for short). On March 1, 2004, in accordance with the stipulation in the “Official Reply on Organization Structure and Personnel Arrangement of CSRC Regional Bureaus” (Zhong Yang Bian Ban Fu Zi [2004] No.11), the Chongqing Office Directly under the CSRC was renamed as the CSRC Chongqing Regulatory Bureau (the Chongqing Securities Regulatory Bureau for short), being a bureau-level regional bureau with divisions such as the General office, the Division of Listed Companies Supervision, the Division of Organizations Supervision, the Division of Futures Supervision, the Division of Enforcement, and the Party Committee Office (Discipline Inspection Office).

 

As one of the CSRC regional bureaus, the Chongqing Securities Regulatory Bureau’s responsibilities are as follows: to undertake work such as secretary, administration, personnel arrangements, financial management, and foreign affairs; to supervise listed companies within the jurisdiction and to inspect would-be-listed companies’ reform of stock system; to supervise activities, in connection with securities, of accountants, lawyers, assets appraiser and other personnel within the jurisdiction; to supervise activities of securities operational institutions, investment advisers, fund management institutions and their personnel within the jurisdiction; to supervise the futures brokerage companies, futures investment advisers within the jurisdiction; to investigate and handle the cases concerning violations against laws or regulations in securities and futures operation within the jurisdiction, to settle disputes in securities and futures business and to handle visits and letters concerned; and to complete other work handed over by the CSRC. 

 

 

Structure and Functions

There are six divisions under Chongqing Securities Regulatory Bureau, performing functions as follows:


General Office: Responsible for Secretarial affairs, office work, financial affairs, administrative affairs, external affairs and publicity, supervision over the safety of the computer information systems in securities and futures operating institutions, and handling of grievances and complaints from the public.

Tel:89031961

 

Listed Companies Supervisory Office: Responsible for Day-to-day supervision over the listed companies within the district under its jurisdiction under law;  on-spot and off-spot examination and approval of the business qualification and the changed items of the securities operating institutions; assistance to CSRC in the day-to-day supervision over securities  fund businesses; supervision over the securities business activities of the intermediaries including securities investment fund management institutions and securities investment consulting institutions, as well as other tasks as assigned by CSRC; and examination and approval of office qualifications of the board chairman, deputy board chairman, chairman of board of supervisors, and  managerial personnel of a securities company.

Tel:89031961

 

Organizations Supervisory Office: Responsible for Day-to day supervision over the securities operating institutions according to law, and  on-spot and off-spot inspections; examination and approval of the business qualification and the changed items of the securities operating institutions; assistance to CSRC in the day-to-day supervision over securities fund businesses; supervision over the securities business activities of the intermediaries including securities investment fund management institutions and securities investment consulting institutions, and other tasks as assigned by CSRC; some business qualifications or changed items of the securities operational institutions; To assist the CSRC in the day-to-day supervision over fund business; To supervise securities business of such intermediaries as securities investment fund management institutions and securities investment advisers and to complete other tasks handed over by the CSRC; and examination and approval of office qualifications of the board chairman, deputy board chairman, chairman of board of supervisors, and managerial personnel of a securities company.

Tel:89031961

 

Futures Supervisory Office: Responsible for Day-to-day supervision over the futures brokerage institutions and the futures investment advisers and on-spot and off-spot inspection over the futures investment advisers; examination and approval of the establishment or changed items of the futures brokerage institutions; and other tasks as assigned by CSRC.

Tel:89031961

 

Inspection Office: Responsible for Investigation and handling of cases with regard to violations against laws or regulations in securities and futures operations; and execution of penalty decisions.

Tel: 89031960

 

Party Committee Office: Responsible for Party affairs, discipline inspection and supervision,construction of moral cultivation, and leading personnel administration; 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.

Tel:89031961

 

Chinese version of the official link

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

 

 



Contact Us | Related Links | Legal Notice | Sitemap
Add:Focus Place 19,Jin Rong Street,West District Beijing 100033
© 2008 China Securities Regulatory Commission All Rights Reserved
Best viewed at 1024*768 screen resolution with Internet Explorer 6.0