Regulators

China Securities Regulatory Commission (CSRC)

CSRC, established in October 1992, is a ministerial-level institution directly under the State Council. It supervises and manages the national securities and futures m...

Organization Profile

Institutional nature
CSRC is a ministerial-level institution directly under the State Council. It supervises and manages the national securities and futures market in a unified manner in accordance with laws, regulations and the authorization of the State Council, maintains the order of the securities and futures market, and guarantees its legal operation.
Institutional History
CSRC was established in October 1992 and became a public institution directly under the State Council of the People's Republic of China at the vice-ministerial level in March 1995;
In April 1998, it merged with the Securities Commission of the State Council, its former superior institution, into a ministerial-level institution directly under the State Council. Since then, it has vertically led all securities and futures regulatory agencies in mainland China, and implemented centralized and unified supervision of the domestic securities and futures markets.
Institutional Functions
(1) To study and formulate the principles, policies and development plans of the securities and futures market; draft relevant laws and regulations on the securities and futures market, and put forward suggestions for formulation and revision;
(2) Vertically lead the national securities and futures regulatory agencies, and implement centralized and unified supervision of the securities and futures market; manage the leading groups and leading members of relevant securities companies.
(3) Supervising the issuance, listing, trading, custody and settlement of stocks, convertible bonds, securities company bonds and bonds and other securities designated by the State Council to be in charge of the CSRC; supervising securities investment fund activities; approving the listing of corporate bonds; supervising listing Treasury and corporate bond trading activity.
(4) To supervise the securities market behavior of listed companies and their shareholders who must perform relevant obligations according to laws and regulations.
(5) Supervise the listing, trading and settlement of domestic futures contracts; supervise domestic institutions engaged in overseas futures business as required.
(6) Manage securities and futures exchanges; manage senior managers of securities and futures exchanges in accordance with regulations; centrally manage securities industry and futures industry associations.
(7) To supervise securities and futures business institutions, securities investment fund management companies, securities registration and settlement companies, futures settlement institutions, securities and futures investment consulting institutions, and securities credit rating agencies; to examine and approve the qualifications of fund custodian institutions and supervise their fund custody business; to formulate relevant To organize and implement the management measures for the qualifications of senior managers of institutions; to guide the China Securities Industry and Futures Association to carry out the management of the qualifications of securities and futures practitioners.
(8) Supervising domestic enterprises to directly or indirectly issue stocks overseas, and companies listed overseas to issue convertible bonds overseas; supervise domestic securities and futures business institutions to establish overseas securities and futures institutions; supervise overseas institutions to establish securities and futures institutions in China , futures institutions, engaged in securities and futures business.
(9) To supervise the dissemination of securities and futures information activities, and be responsible for the statistics and information resource management of the securities and futures market.
(10) Examining and approving the qualifications of accounting firms, asset appraisal institutions and their members to engage in securities and futures intermediary business in conjunction with relevant departments, and supervising law firms, lawyers and qualified accounting firms, asset appraisal institutions and their members to engage in securities and futures related businesses business activities.
(11) Investigate and punish securities and futures violations in accordance with the law.
(12) Centrally manage the external exchanges and international cooperation affairs of the securities and futures industry.
(13) To undertake other matters assigned by the State Council.

Regulatory Inquiries

1. Go to http://www.csrc.gov.cn/ and select the object to be supervised in the service column
2. Select the list to view the company

Related Links

China National Enterprise Credit Information Disclosure System: http://www.gsxt.gov.cn/index.html
Shanghai Futures Exchange: http://www.shfe.com.cn/

Contact information

Address:Fukai Building, No. 19, Financial Street, Xicheng District, Beijing, China
Postal code (Zip):100033
Tel: 010-66210182, 66210166

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