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Shenzhen Branch
Shenzhen
22-11-2008

Shenzhen Securities Regulatory Bureau,formerly Shenzhen Securities Regulatory Office, was established in April 1993, subordinating to Shenzhen Municipal People’s Government. In July 1999, it became one of the representative bureaus of China Securities Regulatory Commission (CSRC). In September 2000, CSRC Shenzhen Inspection Bureau was formed and began to work under one roof with Shenzhen Securities Regulatory Office. On March 1, 2004, Shenzhen Securities Regulatory Office was renamed as ‘CSRC Shenzhen Regulatory Bureau’.

 

Official Duties

As one of the representative structure of CSRC, Shenzhen Securities Regulatory Bureau plays an important role in the frontline supervision of the securities and futures market in Shenzhen 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 Regulatory Bureaus” formulated by CSRC, and the coordinative supervision work assigned 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 September 2008, there had been 119 personnel, including 9 workers, on the payroll in Shenzhen Securities Regulatory Bureau, their average age being 33. Among them, 80 are of postgraduate academic standing, 29 of undergraduate standing, and 1 of junior college standing; 50 specialize in finance and economics, in law, 26 in accountings, 7 in computer science, and 3 in other sciences; 21 are of certified public accountant qualification, 3 of both certified public accountant qualification and law practicing qualification; and 6 are returned students from overseas.

 

In order to fulfill the supervision tasks, Shenzhen Securities Regulatory Bureau has set up eight divisions, including General Office, No. 1 Listed Companies Supervisory Office, No. 2 Listed Companies Supervisory Office, No. 1 Organizations Supervisory Office, No. 2 Organizations Supervisory Office, Fund Supervisory Office, No. 1 Inspection Office, No. 2 Inspection Office, Futures Supervisory Office, Information Investigation and Research Office, Legal Affairs Office, and Party Affairs Office. Their major functions are as follows:

 

(1) General Office: The General Office is responsible for official documents management, files management, financial management, confidential work, foreign affairs and administrative licensing, construction of credit records, publication and management of government information, formulation of internal system, as well as formulation and revision of internal administrative system of the Bureau.

 

(2) No. 1 Listed Companies Regulatory Office: No. 1 Listed Companies Regulatory Office is responsible for the supervision over the listed manufacturing and IT companies within the area under its jurisdiction, the guidance supervision over the would-be-listed companies, and the supervision over the non-listed public companies and companies listed on the growth enterprise board within the area under its jurisdiction.

 

(3) No. 2 Listed Companies Regulatory Office: No. 2 Listed Companies Regulatory Office is responsible for the supervision within the area under its jurisdiction over the listed companies specializing in real estates, transportation, wholesale and retail business, finance and insurance, and comprehensive businesses; the supervision over the securities businesses conducted by the accounting firms or assets evaluation institutions within the jurisdiction, and the supervision over the sponsors and financial consultancies licensed within the area under its jurisdiction.

 

(4) No. 1 Organizations Regulatory Office: No. 1 Organizations Regulatory Office is responsible for the supervision over the securities companies that are registered in Shenzhen as well as their branches and personnel, the supervision over relevant business conducted by accounting firms that engage in the auditing and evaluation of securities companies within the jurisdiction, the supervision over credit rating institutions with the securities business qualification in Shenzhen, and coordinating, guiding and promoting self-discipline in securities business within the jurisdiction.

 

(5) No. 2 Organizations Regulatory Office: No. 2 Organizations Regulatory Office is responsible for the supervision, in accordance with the law, over Shenzhen branches and business departments of the securities companies from other areas, China representative offices of the foreign securities institutions, the securities consultancies that are registered in Shenzhen, as well as the business activities conducted by the personnel of the above-named institutions.

 

(6) Fund Regulatory Office: Fund Regulatory Office is responsible for the supervision over the business activities of securities investment fund within the jurisdiction such as investment, sales, and information disclosure. It is also responsible for the daily supervision over securities investment fund management companies, branches of securities investment fund management companies from other areas, fund sales institutions within the jurisdiction, as well as the relevant personnel.

 

(7) No. 1 Inspection Office: No. 1 Inspection Office is responsible for the investigation of cases concerning violations against laws or regulations in securities or futures operation within the area under its jurisdiction as well as cases as assigned by CSRC, helping the relevant organizations or departments in the investigation of cases concerning violations against laws or regulations in securities or futures operation; the handling of grievance letters and visits; the assistance of Administration of Industry and Commerce or Public Security Bureau in fighting against illegal securities or futures trading within the area under its jurisdiction; and the maintenance of the stability of the securities and futures market within the area under its jurisdiction. It is also responsible for the overall affairs of Shenzhen Inspection Office.

 

(8) No. 2 Inspection Office: No. 2 Inspection Office: No. 2 Inspection Office: No. 2 Inspection Office is responsible for the investigation of cases concerning violations against laws or regulations in securities or futures operation within the area under its jurisdiction as well as cases as assigned by CSRC Inspection Department, helping the relevant organizations or departments in the investigation of cases concerning violations against laws or regulations in securities or futures operation.

 

(9) Futures Regulatory Office: Futures Regulatory Office is responsible for the day-to-day supervision over business activities of the futures brokerage companies and their branches and business departments, and the futures investment consultancies within the area under its jurisdiction.

 

(10) Information Investigation and Research Office: Information Investigation and Research Office is responsible for the collection, sorting, and statistic analysis of the information of the securities and futures market within the area under its jurisdiction; formation and management of the securities and futures supervising system of this Office, the management of the information on the Internet, and the management, updating and maintenance of the network equipments; and the cooperation with other financial supervising authorities within the area under its jurisdiction or of the local government. It is also responsible for the publicity work and the coordination of the supervision and investigation of the frontline supervision within the area under its jurisdiction.

 

(11) Legal Affairs Office: Legal Affairs Office is responsible for the assistance in legal work in the securities and futures market; legal affairs of this Office, providing legal service for day-to-day supervision work. It is also responsible for the service of legal documents of various kinds and the supervision over the execution of penalties within the area under its jurisdiction; and the handling of lawsuit, review and other relevant work within the area under its jurisdiction.

 

(12) Party Affairs Office: Party Affairs Office is responsible for work such as party construction, discipline inspection and supervision; and human resources.

 

On March 5, 1993, CPC Shenzhen Municipal Committee and Shenzhen Municipal People’s Government issued an official document (S.F. [1993] No.1), deciding to form Shenzhen Securities Administration Committee, with Shenzhen Securities Administrative Office being its subordinate organ. It was formally established on April 1, 1993 to be administered as a bureau-level unit under the Municipality. Shenzhen Securities Administrative Office and Shenzhen Futures Regulatory Office were officially merged on July 10, 1997, and Futures Regulatory Office was thereafter set up, responsible for the supervision over the futures market in Shenzhen. In September 1998, Shenzhen Branch of the People’s Bank of China decided to shift the regulatory functions of the securities operating institutions in Shenzhen over to Shenzhen Securities Administrative Office. In 1998, pursuant to the ‘Notice on Approved System Reform Plan for CSRC’s Securities Regulatory Institutions’ (G.F. [1998] No.29) by the State Council and the “Official Reply on Duties Allocation and Personnel Arrangement of CSRC Representative Offices’ (Z.B.B. [1999] No.11) by the State Commission Office for Public Sector Reform (SCOPSR), CSRC set up ‘CSRC Shenzhen Securities Regulatory Office’ as one of the CSRC representative bureaus, with Haikou Special Commissioner’s Office for Securities Supervision being a subordinate structure. On July 1, 1999, ‘CSRC Shenzhen Securities Regulatory Office’ formally began to perform its functions. On September 6, 2000, according to the ‘Notice on Establishment of CSRC Inspection Bureaus’ by CSRC, Shenzhen Inspection Bureau was established, which belonged organizationally to Shenzhen Securities Regulatory Office, but performed its own duties. On March 1, 2004, on the basis of the ‘Official Reply on Organizational Structure and Personnel Arrangement of CSRC Representative Bureaus’ (Z.Y.B.B.F.Z. [2004] No.11) and the ‘Notice on Rename of CSRC Representative Bureaus’ (Z.J.F. [2004] No.17), Shenzhen Securities Administrative Office was officially renamed as ‘CSRC Shenzhen Regulatory Bureau’.

 

Chinese version of the official link

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

 

 

 



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