Which department does the China Securities Regulatory Commission belong to?

The China Securities Regulatory Commission is an institution directly under the State Council. Its regulatory work is directly responsible for the China Securities Regulatory Commission. It is one of the main regulatory agencies of China's capital market.

1. Responsibilities and status of the China Securities Regulatory Commission

As an institution directly under the State Council, the China Securities Regulatory Commission’s main responsibilities are to supervise the national securities and futures markets, maintain the order of the securities and futures markets, and ensure their legal operation. . The China Securities Regulatory Commission is responsible for formulating and enforcing relevant laws and policies, supervising the behavior of market entities such as listed companies, securities companies, futures companies, and fund companies, preventing and combating market manipulation, insider trading and other illegal activities, and protecting the legitimate rights and interests of investors.

The China Securities Regulatory Commission occupies an important position in China's capital market and is the core force in capital market supervision. Its regulatory scope is wide, involving securities issuance, trading, information disclosure, corporate governance and other aspects, and plays a vital role in maintaining market order and promoting the healthy development of the market.

2. Supervision system of the China Securities Regulatory Commission

The supervision system of the China Securities Regulatory Commission is relatively complete, including daily supervision of market entities, special inspections, audit and law enforcement and other aspects. In daily supervision, the China Securities Regulatory Commission supervises the operations of market entities through regular reports and on-site inspections. At the same time, the China Securities Regulatory Commission will also carry out special inspections based on market conditions and conduct in-depth investigations into specific areas or issues. For illegal activities discovered, the China Securities Regulatory Commission will conduct inspections and law enforcement in accordance with the law and punish violators.

In addition, the China Securities Regulatory Commission also focuses on cooperation with other regulatory authorities to jointly maintain market order. For example, the China Securities Regulatory Commission has established a joint law enforcement mechanism with the Ministry of Public Security, the People's Bank of China and other departments to jointly crack down on illegal and criminal activities in the capital market.

3. Supervision effects of the China Securities Regulatory Commission

The supervision work of the China Securities Regulatory Commission has achieved remarkable results. By strengthening supervision and standardizing market behavior, the China Securities Regulatory Commission has effectively maintained market order and protected the legitimate rights and interests of investors. At the same time, the China Securities Regulatory Commission also actively promotes market reform and innovation and promotes the healthy development of the capital market.

However, the capital market is a complex and ever-changing system, and the China Securities Regulatory Commission still faces many challenges. For example, issues such as how to better respond to market risks, how to strengthen investor education, and how to improve regulatory efficiency are all topics that the China Securities Regulatory Commission needs to continue to think about and explore.

In summary:

As an institution directly under the State Council, the China Securities Regulatory Commission is one of the main regulatory agencies of China’s capital market. It is responsible for supervising the national securities and futures markets, maintaining market order, and ensuring The market operates legally. Its regulatory system is complete and its regulatory effects are significant, but it still needs to face many challenges. The China Securities Regulatory Commission will continue to strengthen supervision, promote market reform and innovation, and contribute to the healthy development of the capital market.

Legal basis:

"Securities Law of the People's Republic of China"

Article 1 stipulates:

In order to regulate securities This law is formulated to regulate issuance and trading activities, protect the legitimate rights and interests of investors, maintain social and economic order and public interests, and promote the development of the socialist market economy.

"Securities Law of the People's Republic of China"

Article 7 stipulates:

The securities regulatory authority of the State Council shall centralize and unify the national securities market in accordance with the law. Supervision and management.

"Securities Law of the People's Republic of China"

Article 169 stipulates:

The securities regulatory authority of the State Council shall regulate the securities market Responsibilities performed in the implementation of supervision and management include: (1) formulating regulations and rules related to the supervision and management of the securities market in accordance with the law, and exercising the approval or verification power in accordance with the law; (2) regulating the issuance, listing, trading, registration, custody, and custody of securities in accordance with the law. (3) Supervise and manage the securities business activities of securities issuers, listed companies, securities companies, securities investment fund management companies, securities service agencies, stock exchanges, and securities registration and clearing institutions in accordance with the law; (4) ) Formulate qualification standards and codes of conduct for personnel engaged in securities business in accordance with the law, and supervise their implementation; (5) Supervise and inspect the information disclosure of securities issuance, listing and trading in accordance with the law; (6) Provide guidance and supervision to the activities of the Securities Industry Association in accordance with the law; (7) Investigate and punish violations of securities market supervision laws and administrative regulations in accordance with the law; (8) Other duties stipulated in laws and administrative regulations.