简体版
Xinjiang Branch
Xinjiang
12-12-2008

Introduction
The Xinjiang Securities Regulatory Bureau formerly is the Autonomous Region Securities Management Office and Corps Securities Management Office. According to the decision of the State Council to establish a national centralized securities regulatory system, the two offices were taken over by CSRC on November 13 and December 21, 1998, and the “China Communists & CSRC Special Urumqi Securities Regulatory Office Commission” and “China Securities Regulatory Commission Special Urumqi Securities Regulatory Office” were officially established, and changed name to “CSRC Xinjiang Securities Regulatory Bureau” on March 2004.

 

Xinjiang Securities Regulatory Bureau has 36 staff, among which 5 are postgraduates, 2 are dual bachelors, 29 are university degree and 2 are college students. There are 10 Certified Public Accountants, 4 lawyers, 1 Certified Public Value, 2 computer engineer and another 4 personnel have senior professional titles.

 

The main responsibilities of Xinjiang Securities Regulatory Bureau is: implement and enforce relevant State laws, regulations and policies earnestly, take charge the supervision of the securities and futures market within the jurisdiction authorized by CSRC, including supervise the listed companies in the Autonomous Region and corps, as well as investigate and check the reorganization coaching situation of the companies to be listed; supervise the securities and futures business institutions, investment consultant institutions, those intermediaries which dealing with securities business such as public accounting firms, law office, land evaluation organizations and the medias which dealing with securities publicity; investigate and prosecute violations of laws and rules within the jurisdiction; mediate dissensions and disputes of securities and futures operation and other works assigned by CSRC.

 

Xinjiang Securities Regulatory Bureau has the General Office (Party Committee Office), Division of Listed Companies Supervision, Division of Intermediary Supervision (including futures) and Enforcement Division.


Organization

Xinjiang Securities Regulatory Bureau has 4 divisions, the general Office (the Party Committee Office), Division of Listed Companies Supervision, Division of Intermediary Supervision and Division of Enforcement. The main responsibilities of each division are:

The general office (the Party Committee Office): take charge document auditing of the whole bureau and secretary management, confidential and confidential management, instruments and records management; information system management; accept the administrative licensing; reception, involving dealing with securities and futures calls, letters, visits and reports; administrative management; financial management, labor and personnel, external communication, security, supervision, as well as the overall coordination work; construction of the party, the discipline inspection and supervision, ideological development. Coach the work of trade unions, Communist Youth League and women's organizations.

 

Division of Listed Companies Supervision: the division is responsible for the supervision of the training work to the companies to be listed in this area and the spot inspection as well as acceptance; issue the regulatory position paper about the refinancing, M&A of listed companies; afterwards reviewing and spot inspection of listed companies information disclosure; supervise standardization of listed companies governance structure; continuing supervision over the usage of the funds raised by listed companies; control, communication and disposal of the listed companies  significant risk; prevention of the delisting risk of listed companies; supervision of non-listed companies; supervise the intermediaries dealing with the securities business in this area;  assist in investigating the complains of the listed companies and the companies to be listed in this area.

 

Division of Intermediary Supervision: supervise the business activities of securities business institutions, futures brokerage institutions, securities registration and clearing institutions, securities and futures investment consulting institutions, information spreading institutions, securities investment and funds management institutions as well as their employees; take charge the qualification first review and annual first review of the business institutions and their employees; supervise and urge the securities and futures business institutions to implement the industrial technological standards, investigate and check the information technical qualifications; take charge the collecting and classification of the statistic information of the securities and futures industry in this area.

 

Division of Enforcement: take charge to investigate all cases of securities and futures business that violate laws and regulations; undertake the cases assigned by CSRC; deal with the cases that other regional agencies of CSRC asked to investigate; to assist the public security and judicial departments involved in the investigation of securities and futures business that violate laws and regulations in this area, crack down on illegal securities issuance of the Securities and Exchange illegal acts, to safeguard the normal order of the market; to do a good job to help the case, the administrative review of related work; supervise and implement the administrative penalty decision by CSRC; to deal with the cases litigation in this area; host the investigation of securities and futures business complaints.

 

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

 



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