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Sichuan Branch
Sichuan
22-11-2008

On July 1, 1999, the Chengdu Securities Regulatory Office of China Securities Regulatory Commission (‘CSRO’) was officially established as one of the regional bureaus of China Securities Regulatory Commission (CSRC).

 

In April 2001, the CSRC Chengdu Enforcement Bureau (‘CEB’) began to work under one roof with CSRO.

 

In March 2004, CSRO was renamed as CSRC Sichuan Securities Regulatory Bureau (‘SSRB’) while Chengdu Enforcement Bureau retained its original name.

 

Official Duties:

As a representative structure of CSRC, the Sichuan Securities Regulatory Bureau plays an important role in the frontline supervision of the securities and futures market in Sichuan Province and its main functions include: to implement the relevant laws, regulations and policies of China and do a good job in the frontline supervision over the district under its jurisdiction strictly in accordance with the “Official Duties for Regional Supervisory Bureaus” formulated by CSRC; to supervise and administer, with the authority by CSRC, securities business activities conducted by listed companies, securities and futures companies, securities and futures investment advisers, as well as intermediaries including law firms, public certified accountants firms and asset appraisal institutions involved in securities businesses, within the district under its jurisdiction; to investigate under law into illegal or breaching activities and to mediate in the disputes over securities or futures businesses; and to perform other duties as assigned by CSRC.

 

Personnel on the Payroll:

As of the end of 2007, there had been 76 personnel on the payroll in Sichuan Securities Regulatory Bureau, their average age being 35. Among them, 59 are professional technical personnel, accounting for 77.6% of the total staff; 26 are of postgraduate academic standing and 28 of undergraduate standing; 48 are professionals in economics, law, finance and computer science; and 13 are certified public accountants and 6 have acquired law practicing qualifications.   

 

Organizational Structure of Sichuan Securities Regulatory Bureau:

There are eight divisions under the Sichuan Securities Regulatory Bureau, including the General Office, the Division I of Listed Companies Supervision, the Division II of Listed Companies Supervision, the Division of Organizations Supervision, the Division I of Enforcement, the Division II of Enforcement, the Division of Futures Supervision, and the Party Committee (Discipline Inspection and Supervision) Office. Their main duties are as follows:

 

(1) The General Office: The General Office is responsible for the comprehensive coordination, the supervision and inspection, the internal administration, documents handling, the administrative licensing, the personnel administration, the financial management, as well as some foreign affairs and confidential work.

 

(2) The Division I of Listed Companies Supervision: The Division I of Listed Companies Supervision is responsible for the day-to-day supervision over listed companies of the Shanghai Stock Exchange (SSE), the records-keeping of to-be-listed companies, the guidance supervision over to-be-listed companies, and the business guidance and supervision over the Listed Companies Association (LCA).

 

(3) The Division II of Listed Companies Supervision: The Division II of Listed Companies Supervision is responsible for the day-to-day supervision over listed companies of the Shenzhen Stock Exchange (SZSE), conducting continuing supervision over intermediaries such as accounting firms and asset evaluation institutions within the jurisdiction.

 

(4) The Division of Organizations Supervision: The Division of Organizations Supervision is responsible for, within the jurisdiction, supervising securities companies, their business departments and service departments, securities investment consulting institutions, representative offices of foreign securities companies, fund management companies, Sichuan branches of non-Sichuan fund management companies, representative offices of foreign fund companies, and Sichuan branches of non-Sichuan securities companies and their business departments. The Supervision Division of Organization is also responsible for the administrative licensing.

 

(5) The Division I of Enforcement and the Division II of Enforcement: The Division I of Enforcement and the Division II of Enforcement are responsible for investigating cases concerning violations against laws or regulations in securities or futures operation within the jurisdiction as well as cases handed over by higher authorities, assisting the Ministry of Commerce and Industry or the Ministry of Public Security of the Peoples’ Republic of China in fighting illegal securities or futures trading with in the jurisdiction, helping units or authorities concerned in investigating cases concerning violations against laws or regulations in securities or futures operation. These two divisions are also responsible for the service of process, the enforcement, the administrative review and other relevant work of administrative penalties within the jurisdiction.

 

(6) The Division of Futures Supervision: The Division of Futures Supervision is responsible for the supervision over futures brokerage companies and their business departments, as well as futures investment consulting institutions within the jurisdiction. It is also responsible for the administrative licensing.

 

(7) The Party Committee (Discipline Inspection and Supervision) Office: The Party Committee (Discipline Inspection and Supervision) Office is responsible for work such as party construction within authorities, discipline inspection, honest supervision, culture promotion within authorities and etc.

 

 

Chinese version of the official link

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



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