简体版
Yunnan Branch
Yunnan
22-11-2008

Organizational Function

The Yunnan Regulatory Bureau under China Securities Regulatory Commission was formerly the Yunnan Securities Regulatory Office, and was affiliated with Yunnan provincial government. In December 1998, the Office was officially placed under the China Securities Regulatory Commission and changed its name into Special Kunming Office, and was formally established on July 1, 1999. On March 1, 2004, China Securities Regulatory Commission Kunming Office changed its name into China Securities Regulatory Commission Yunnan Regulatory Bureau.

Yunnan Securities Regulatory Office supervises the listed companies, securities and futures business institutions, securities and futures investment consultant institutions and those intermediaries dealing with securities and futures activities such as law firms, accounting firms and assets appraisal institutions; investigate and prosecute violations of laws and rules within its jurisdiction.

 

Organization

Yunnan Securities Regulatory Bureau has 6 divisions or offices: the General Office, the Party Affairs Office (also Office of Internal Compliance), Division of Listed Companies Supervision, Division of Intermediary Supervision, Division of Futures Supervision and Division of Enforcement.

(1) General Office

It is responsible for coordinating the work of the bureau, working out the internal management system, organizing meetings of the whole bureau, drafting important documents, undertaking the secretary work, files, data and information monitoring, security, supervision, human resources, finance, hospitality, seal management, security, and internal chores management and other administrative matters.

(2) Party Affairs Office (also Office of Internal Compliance)
It takes charge of the day-to-day work of the Party committee and the internal compliance committee, and is responsible for the ideological and political education, spiritual civilization, Party building, communication with the people, discipline inspection and clean government supervision; responsible for training work; guiding the work of labor union, the Communist Youth League and Women's organization.

(3) Division of Listed Companies Supervision

It is responsible for the day-to-day supervision of listed companies in the Yunnan province, including supervision over the regulation of listed companies’ corporate governance; post review and supervision of relevant information disclosure; supervision of listed companies’ refinancing, M & A, equity incentives; integrity supervision of listed companies; significant risks prevention and control of listed companies. It is in charge of guiding and supervising the companies to be listed within its jurisdiction. It supervises the professional activities of the accounting firms, law firms, sponsors, financial consultants, assets evaluation organizations and their employees engaged to the relevant securities business of the listed companies and the companies to be listed. It also administers other works assigned by CSRC.

(4) Division of Intermediary Supervision

It is responsible for the supervision over the securities business institutions, investment consultation organizations, information processing institutions, securities investment and fund management organizations and their employees.

(5) Division of Futures Supervision

It supervises the business activities of the futures brokerage companies, futures investment consultation organization, certificated overseas futures companies and their employees.

(6) Division of Enforcement

It is responsible for investigating and taking action or transferring the cases in violation with the laws of securities and futures market, assisting the judicial organizations in investigation; mediating disputes in securities and futures operation; cracking down on the illegal securities activities within its jurisdiction; taking charge of letters and visits, and legislative work of our bureau.

 

Chinese version of the official link
http://www.csrc.gov.cn/pub/yunnan/



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