简体版
Ningxia Branch
Ningxia
10-12-2008

Responsibilities

Upon the authorization of the China Securities Regulatory Commission (CSRC), the Ningxia Regulatory Bureau has main responsibilities as follows: to implement the relevant state laws, regulations, policies and guidelines; to do a better job in the front-line regulation within the jurisdiction and finish the collaborative regulation of the CSRC system in strict accordance with the “Supervision Responsibilities of Regional Bureaus” of the CSRC; to regulate the securities and futures businesses of the listed companies, the securities and futures operational institutions, the securities investment funds, the securities and futures investment consulting institutions within the jurisdiction as well as the intermediaries such as the law firms, the accounting firms and the assets evaluation organizations engaged in the securities and futures business according to the provisions of the CSRC; to investigate and punish acts of violating laws and regulations on the securities and futures markets within the jurisdiction and mediate the disputes of the securities and futures businesses. Besides, the Bureau has other responsibilities assigned by the CSRC.

 

The Organizational Structure

According to its regulation functions, the Ningxia Securities Regulatory Bureau has five offices, respectively namely the Office, the Division of Listed Companies Supervision, the Division of Intermediary Supervision, the Enforcement Division and the Party Committee (Disciplinary Inspection and Supervision) Office ,with the main duties as follows:

 

1) The Office: to be responsible for the jobs such as the secretarial work, administration, personnel, financial management, news & foreign affairs, confidentiality, letter visits and LAN management.

 

2) The Division of Listed Companies Supervision: to be responsible for regulating the listed companies and the securities businesses of the accounting firms and the assets evaluation firms within the jurisdiction and investigating the shareholding system reform of the to-be listed companies.

 

3) The Division of Intermediary Supervision: to be responsible for regulating the businesses of the securities companies and its branches, the securities business department, the securities service department as well as the personnel engaged in the businesses according to laws; to be responsible for regulating the funds businesses and the securities investment consulting businesses within the jurisdiction; to be responsible for daily regulating the businesses of the futures brokerage companies and its branches and sales departments as well as the futures investment consulting companies within the jurisdiction.

 

4) The Enforcement Division: to be responsible for investigating the cases of violating the laws and regulations related to the securities and futures within the jurisdiction and the cases assigned by the CSRC; to assist relevant units and departments in investigating the cases of violating laws and regulations of the securities and futures; to handle letter visits; to fight against the illegal securities and futures trade within the jurisdiction together with departments of industry & commerce and public security; to be responsible for organizing the work of maintaining the steady securities and futures markets within the jurisdiction; to assume the law affairs of the Bureau; to oversee the execution of the administrative punishment decisions made by the CSRC within the jurisdiction.

 

5) The Party Committee (Disciplinary Inspection and Supervision) Office: to be responsible for the party construction as well as the disciplinary inspection and supervision of the Bureau.

 

Contact

Contact Address: 12/F, Jin Yuan Mansion, 379 East Beijing Road, Yinchuan, Ningxia

Postal Code: 750004

Telephone: 0951-6736119

 

Chinese version of the official link

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

 




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