简体版
Qinghai Branch
Qinghai
10-12-2008

The former Qinghai Securities Regulation Office, was transferred to the CSRC on July 1, 1999 and officially changed to the Xining Securities Regulation Commissioner Office of the CSRC, with its name changed to the Qinghai Regulatory Bureau of the CSRC (shorten to the Qinghai Regulatory Bureau) in March 2004.

 

The Qinghai Regulatory Bureau has the Office (the Party Committee Office), the Division of Listed Companies Supervision, the Division of Intermediary Supervision and the Enforcement Division with 24 cadres and employees including 8 graduate students and 14 undergraduates in economy, finance, accounting, law, finance and economics as well as computer science.

 

As a regional bureau of the CSRC, the Qinghai Regulatory Bureau assumes the important mission of the frontline supervision over the securities and futures markets within the jurisdiction. Its main duties are as follows: to implement the state laws, regulations and policies and guidelines; to regulate the securities and futures businesses of the listed companies, the securities and futures business institutions and investment consulting institutions as well as intermediaries such as the law firms, the accounting firms and the assets evaluation institutions engaged in the securities and futures businesses within the jurisdiction according to the CSRC’s regulations; to investigate and handle the cases of violating the laws and regulations on the securities and futures markets within the jurisdiction, or deliver them to the judicial authorities and assist the judicial authorities in investigation; to mediate the disputes in the securities and futures businesses, and handle relevant letters visits and other tasks assigned by the CSRC.

 

In line with the requirements of the CSRC, the Qinghai Regulatory Bureau sets up the Office (the Party Committee Office), the Division of Listed Companies Supervision, the Division of Intermediary Supervision and the Enforcement Division with main duties as follows:

 

The Office (the Party Committee Office)

In accordance with regulations, the Office should take charge of the secretarial work, administration, personnel, financial management, foreign affairs and party affairs and disciplinary inspection of the Bureau. It also should regulate the accountants, lawyers and assets evaluators engaged in the securities business and the personnel engaged in the securities businesses within the jurisdiction, handle relevant letter visits and assume the tasks of laws and regulations.

 

The Division of Listed Companies Supervision

In accordance with regulations, the Division should regulate the listed companies within the jurisdiction and investigate the shareholding system reform of the to-be listed companies.

 

The Division of Intermediary Supervision

In accordance with regulations, the Division should regulate the securities and futures business institutions, the registration, custodian and settlement organizations,the securities and futures investment consulting institutions, the information communication institutions and the securities investment funds management institutions and their personnel engaged in the businesses.

 

The Enforcement Division

In accordance with regulations, the Division should investigate and handle the cases of violating the laws and regulations on the securities and futures markets within the jurisdiction, or deliver them to the judicial authorities and assisting the judicial authorities in investigation; to mediate the disputes in the securities and futures businesses.

 

Chinese version of the official link

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

 




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