• China Securities Regulatory Commission and the Ministry of Finance Enter into Enforcement Cooperation Agreement with Public Company Accounting Oversight Board      • CSRC Approves After-hours Futures Trading Pilot      • The CSRC Strengthens Enforcement Monitoring and Early Warning Mechanism Building      • List of Fund Custodian Banks(March 2013)      • List of Fund Sales Agencies(March 2013)      • List of Fund Management Companies(March 2013)      • CSRC and CBRC Jointly Issue Administrative Measures for Securities Investment Fund Custody Business      • Self-Review and Random Sampling completed for Companies      • List of Fund Custodian Banks(February 2013)      • List of Fund Sales Agencies(February 2013)      • List of Fund Management companies(February 2013)      • The CSRC Seeks Public Comments on the Interim Rules for the Utilization and Management of Proprietary Funds by Fund Management Companies (Consultation Draft)      • The CSRC Seeks Public Comments on the Revised Drafts of the Trial Administrative Measures for Overseas Securities Investments of Qualified Domestic Institutional Investors and the Rules thereunder      • The CSRC Seeks Public Comments on the Interim Measures for Supervision over Risk Provisions of Publicly Offered Securities Investment Funds (Consultation Draft)      • The CSRC Issues the Interim Rules on Securities Investment Fund Custody Business of Non-Bank Financial Institutions      • The CSRC Releases the Interim Administrative Rules for Securities Investment Fund Sales Institutions’ Business Operations via Third Party E-commerce Platforms      • The CSRC Revises and Issues the Administrative Measures for the Sale of Securities Investment Funds and the Rules thereunder      • The CSRC Seeks Public Comments on the Administrative Rules on Equity Incentive Programs of Securities Companies (Consultation Draft)      • The CSRC Revises Rules for Quarterly Reports of GEM Companies      • The CSRC Forum On Criminal Justice Seeking Synergy From Public Security and Judicial Organs    
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Administrative Sanction
 
The disclosure of administrative sanctions on the behaviors that violate laws and regulations on the market

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Ban of Market Entry
 
In light of the principle of “ fair, justice and transparent ”, persons or organizations that violate relevant rules will be banned from entering the securities market.



Home > Enforcement
2012-03-28 CSRC Administrative Sanction Decision (on Ye Zhigang) [2012] No. 2
2012-03-27 CSRC Administrative Sanction Decision (on Cao Weijuan) [2012] No.1
2012-03-26 CSRC Administrative Sanction Decision (on Sichuan Donghefeng) [2012] No.5
2012-03-26 CSRC Administrative Sanction Decision (on Zhou Hehua from Keda Mechinery & Electronics) [2012] No.3
2009-11-05 CSRC Administrative Sanction Decision (on Lu Huizhong from Cenfeng Textile) [2009] No. 31
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2012-03-26 CSRC Decision on Banning (Ye Zhigang) from Market Entry [2012] No. 1
2009-11-05 CSRC Decision on Banning (Wang Zhongjuan, Sun Sheng, Ma Yong and Liu Bowei from King of Stock) from Market Entry [2009] No. 11
2009-11-05 CSRC Decision on Banning (Zou Leping and Zou Haiying from Sanlong Futures) from Market Entry [2009] No. 10
2009-11-03 CSRC Decision on Banning (Liu Guiting and He Hongda from Beiya Industrial) [2009] No. 8
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