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Shanxi Branch
Shanxi
17-12-2008

The Shanxi Securities Regulatory Bureau (the SSRB) is in charge of the frontline supervision over the securities and futures market within its jurisdiction, as well as the cooperative supervision within the China Securities Regulatory Commission (CSRC) system according to China’s laws, regulations and policies. Authorized by the CSRC, the SSRB regulates activities, in connection with securities and futures, of listed companies, non-listed public companies, securities and futures companies, securities and futures investment advisers, as well as such intermediaries as law firms, accounting firms and asset appraisal institutions, within its jurisdiction.Besides, the SSRB investigates and prosecutes the violations on the securities and futures market, conciliates disputes in securities and futures transactions, and fulfills other responsibilities assigned by the CSRC.

 

The SSRB has 6 offices or divisions, namely, General Office, Party Affairs Office, Division of Listed Companies Supervision, Division of Intermediary Supervision, Division of Futures Supervision and Division of Enforcement.

 

General Office

General Office is in charge of secretarial work, confidential management, archives management, administrative management, financial management, human resources, liaison, administrative license, credit records’ establishment, information system management for supervision disclosure and security.

 

Party Affairs Office

Party Affairs Office is in charge of the Party affairs,internal compliance,cultural and ideological progress. It also guides the trade union, the Communist Youth League and womens groups of the SSRB.

 

Division of Listed Companies Supervision

Division of Listed Companies Supervision is in charge of the on-the-spot inspection and acceptance of guidance for the companies to be listed, issuing supervision opinion letters concerning listed companies’ refinancing, mergers and acquisition, on-the-spot inspection on information disclosure by listed companies,regulation on listed companies’ governance structure, continuing supervision over the use of the raised funds by listed companies, surveillance, reporting and disposal of listed companies’ material risks, risk prevention from listed companies’ delisting, supervision over non-listed public companies, supervision over securities intermediaries within the jurisdiction as well as assisting in investigating and handling the complaints against listed or to-be-listed companies.

 

Division of Intermediary Supervision

Division of Intermediary Supervision is in charge of day-to-day oversight over and inspection on the business activities by securities companies, surveillance, reporting and disposal of securities companies’ material risks, supervision over and inspection on securities companies’ governance structure and internal control system, day-to-day oversight over clients’ trading settlement capital of securities companies and persons-in-charge of securities companies’ branches, approval of the qualification of securities companies’ directors, supervisors and independent directors, supervision over the establishment, relocation, change and qualifications of securities companies’ branches, preliminary examination on securities companies’ change of shareholders or share ownership, preliminary examination on securities investment advisers’ qualifications and their day-to-day oversight; prompting securities companies’ timely, complete and accurate filing of required data, technical review on the newly-established and newly-migrated securities business departments and service departments and their information technology systems as well as assisting in investigating and handing the complaints against securities companies and securities investment advisers.

 

Division of Futures Supervision

Division of Futures Supervision is in charge of day-to-day oversight over futures companies and their practitioners, surveillance, reporting and disposal of risks of futures companies, especially concerning financial security, clients’ margin security, trading risk management and compliance management, approval of the establishment, dissolution, merger, change or termination of futures companies and their branches, approval of and day-to-day oversight over the qualifications of the senior management of futures companies and their branches, as well as assisting investigating and handling the complaints towards futures companies.

 

Division of Enforcement

Division of Enforcement is in charge of putting securities and futures violations on record, handling cases or investigations assigned by the CSRC, assisting in investigating cases required by other regional bureaus, assisting public security departments and judicial departments in investigating the securities and futures violations within the SSRB’s jurisdiction and crack down on the illicit issuance and transactions of securities and futures for an orderly market, assisting in case hearing and administrative review, supervising over the execution of administrative sanctions by the CSRC, handling the lawsuits within the SSRB’s jurisdiction, receiving letters and visits from the people, handling complaints against securities and futures transactions as well as the SSRB’ legal affairs and law popularization.

 

Tel.: 0351-7218177

Address: Shanxi Securities Regulatory Bureau, 101 Guorui Mansion, Pingyang Road, Taiyuan, Shanxi, 030006, China

 

Chinese version of the official link

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



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