【中英文对照版】中国证监会随机抽查事项清单(2024修正).docx

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1、中国证监会随机抽查事项清单(2024修正)1.istofMattersSubjecttoRandomInspectionoftheChinaSecuritiesRegulatoryCommission(2024Amendment)制定相关：中国证券装督管足妄员会发文字号：中国证券监督管理员会公2024)5号公布日期：2024.04.30施行日期:2024.04.30效力位阶：部门规范性文件法煌美别：证卷标台规定issuingAulhorityChinaSecuritiesRegulatoryCommissionDocumentNumber:AnnouncementNo.52024oftheCh

2、inaSecuritiesRegulatoryCommissionDateIssued：(4-3O-2O24EffecliveDale：04-30-20241.evelof,AuthorityDepartmentalRegulatoryDocumentsAreaof1.aw:GeneralProvisionsonSecurities中国证监会随机抽查事项清单1.istofMattersSubjecttoRandomInspectionoftheChinaSecuritiesRegulatoryCommission监督管理委员会公告(2015)25号公布，根据2021年1月15日中国证券监督管理

3、委员会公告(2021)1号关于修改、废止部分证券期货制度文件的决定第一次修正，根据2024年4月30日中国证券监督管理委员会公告(2024)5号关于修改中国证监会随机抽查事项清单的决定第二次修正)(2015年11月IO日中国证券(IssuedbyAnnouncementNo.252015oftheCSRConNovember10,2015,amendedforthefirsttimeinaccordancewiththeDecisiontoAmendandRepealCertainDocumentsonSecuritiesandFuturesRulesonJanuary15,2021bythe

4、AnnouncementNo.1,2021oftheCSRC,andamendedforthesecondtimeinaccordancewiththeDecisiontoAmendthe1.istofMattersSubjecttoRandomInspectionoftheChinaSecuritiesRegulatoryCommissiononApril30,2024bytheAnnouncementNo.52024oftheCSRC)Annex:1.istofMattersSubjecttoRandom附件：中国证监会随机抽查事InspectionoftheChinaSecurities

5、Regulatory项清单Commission1.istofMattersSubjecttoRandomInspectionoftheChinaSecuritiesRegulatoryCommissionForthepurposesofimplementingtherequirementsoftheNoticebytheGeneralOfficeoftheStateCouncilofPromotingRandomInspectionandRegulatingInterimandExPostRegulation(No.582015,GeneralOfficeoftheStateCouncil),

6、promotingrandominspectioninthefieldofsecuritiesandfuturesregulation,andregulatinginterimandexpostregulation,theChinaSecuritiesRegulatoryCommission(t,CSRC)hasamendedthelistofmatterssubjecttorandominspection,andtherelevantissuesareherebyannouncedasfollows:I. Atotalof18mattersareincludedinthelistofmatt

7、erssubjecttorandominspectionoftheCSRCandsetinaccordancewithlaws,regulations,andrules.Thelistofmatterssubjecttorandominspectionwillbeadjusteddynamicallyaccordingtotherevisionsofrelevantlaws,regulations,rules,andactualworkcircumstancesandbeissuedtothepublicinatimelymanner.II. TheCSRCwill,basedonthelis

8、tofmatterssubjecttorandominspection,furtherimproveadirectoryofsubjectsofinspectionandadirectoryoflawenforcementinspectors,andestablisha,dualrandominspectionmechanism,thatis.thesubjectsofinspectionaredrawnrandomlyandlawenforcementinspectorsareassignedrandomly.中国证监会随机抽查事项清单为贯彻落实国务院办公厅关于推广随机抽查规范事中事后监管的

9、通知(国办发(2015)58号)要求，推进证券期货监管领域随机抽查工作，规范事中事后监管，我会修改了随机抽查事项清单，现就有关事宜公告如下：一、列入我会随机抽查事项清单的事项共计18项，均依据法律法规规章设定。随机抽查事项清单将根据有关法律法规规章修订情况和工作实际进行动态调整，及时向社会公布O二、我会将根据随机抽杳事项清单进一步完善检查对象名录库和执法检杳人员名录库，并认真实施随机抽取检查对象、随机选派执法检查人员的“双随机”抽查机制。三、随机抽查工作自2016年起全面开展。我会将继续坚持随机抽查的事项、程序、结III. Randominspectionwillbeconductedcomp

10、rehensivelyfrom2016.TheCSRCwillinsistonopenmatters,openprocedures,andopenresultsoftherandominspection,conductuSunshine1.awEnforcement,andguaranteeequalrights,equalopportunities,andequalrulesamongallmarketparticipants.IV. Whereanyviolationoflaworregulationisfoundduringtherandominspection,theCSRCwills

11、eriouslypunishtheviolatorinaccordancewiththeapplicablelawsandregulations,discloseadministrativeregulatorymeasures,administrativepenalties,andotherinformationinatimelymanner,andreceivesupervisionfromthepublic.Annex:1.istofMattersSubjecttoRandomInspectionoftheChinaSecuritiesRegulatoryCommission果“三公开”，

12、实行“阳光执法”，保障市场主体权利平等、机会平等、规则平等。四、对抽查发现的违法违规行为，我会将依法依规严肃惩处，并及时公开行政监管措施、行政处罚等信息，接受社会监督。附件：中国证监会随机抽查事项清单中国证监会随机抽查事项清单1.istofMattersSubjecttoRandomInspectionoftheChinaSecuritiesRegulatoryCommission邮号亭顶名林加女主体拍奇依维热音内杵抽住方式抽我短次占住1打发企业检女让胳会1.（中华人民共和国证印法，r1.i叔国务陈证券那番酋Pf机构依法履行职心,才权来取FMffiM.-）对证券发柠人.证券公司、诵泳驰务机构、

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18、松内或赤现场检含.电务出网机构*关统况络合日信匙Im况,以修JK孙风龄为珍N,JfliiMI笠.据号的方式酌定.m1/n电技术系系统务机构从事证券M金眼务业务检会UTifi会1.中隼人民共K国证券质）第H1.-.Da务俄庇彝IieHr用机构侬法行取衣,杼权采取价老技术察及服务机的证券拓会里务业务质MIS和应为HR通过扣比、招斗方式确定.1%1次/年对礼金管线人、三ftRir人、峪金版分机内进行现场校ft.并娈求N报送布.关的业务资：)2证分茎金没行机构从小找齐承的、S汇检理等业务检点证监会】中华中是共Km和券法）站仃七十条理机构依法履行国.货.有权采取卜列描箱：-）对证”发行人、证券公司.证券

19、四务机内证券兔号场所.UE等在记拓券机构进行现场ttSl2.中华人民共和国证部依负利金法第-11I：国务院证券收督管理机内依法屈疗积而有权米我下列推Vh对酬合管理人、故会儿泞人、茶金融办机构进行现场冷ft.并要求Il报送盯关的*务资：公Mttl分承销、）ttt歌等业务活动的合法令视性U常茂”情况,以同JS和风龄为导向.MUlM.指乌蜀方式幽定.1V5】次/年13解金粒既A检自证监会中华人民共和国正齐投桥址金法）研IM务胱任分公内管理机构侬法般行职揖ffttSTW三WM金检理人,照金托管人、M金班务机构设行双场楼ft.弁要求火报送在关的业务借tt单畲代理人有美情况泊合H就仙忖情况.以同a和风蛤为

20、导向,好过抽春、热弓等方式确定.10%至少1次/年H用金HJr人检责证监会中华人民共和国证券投费北金A）求门T-杀：闺务院征芬乾瞥管既机为依法履行联。.对*金芹理人.5金托管人、茎金照芬机构进行现场依才.并需求K投送行义的业务好14堪今我3机构有关情况结合H法裳际情况,以何乌卬风险为号向,Xfiiiifi釜、根号等方式确定.m1次/年)6期货公司枕董证Ifi会第四卜匕：N务院珈方制if管理机内依法d行职责，可以栗我卜列IB融：期货史册所.朋赞公司及K他期货经竟机构,：期赁公司封;R会依、明货保证金安全存甘猿护机内和交刈仓障逃打现场似也.曲JS公司行关情猊M*BWfittWi%.以同鹊和风起为导

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