两部门就《证券期货违法行为吹哨人奖励工作规定（征求意见稿）》公开征求意见

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has revised the whistleblower reward regulations to enhance the reporting system for securities and futures violations, aiming to promote a culture of accountability and adapt to the high-quality development of the capital market [1] Summary by Sections Revision Overview - The name of the regulation has been changed from "Interim Provisions on Reporting Violations in Securities and Futures" to "Whistleblower Reward Regulations for Securities and Futures Violations," emphasizing the spirit of justice and accountability [2] - The revision includes a total of seven aspects aimed at improving the whistleblower system [2] Reward Conditions - Major cases that severely disrupt market order, threaten financial security, or infringe on investors' rights are now included in the reward scope [2] - The threshold for reward eligibility has been raised from 100,000 yuan to 1 million yuan in penalties [2] - Whistleblowers who provide anonymous tips and those with minor roles in the violations are also eligible for rewards [2] Reward Standards - The reward percentage has increased from 1% to 3% of the penalty amount [2] - The maximum reward for providing significant violation leads has been raised from 100,000 yuan to 500,000 yuan [2] - For cases with nationwide impact or involving substantial amounts, the maximum reward has been unified to 1 million yuan [2] Processing Requirements - The regulations emphasize fair handling, confidentiality, and protection of whistleblower rights [3] - A dedicated mechanism will prioritize the investigation of leads from internal informants [3] - Whistleblowers can inquire about the processing of their reports, ensuring transparency [3] Reward Procedures - The CSRC will batch process rewards based on the number of eligible cases and budget considerations [4] - A timeline for reward announcements and confirmations has been established, with a registration period of 3 months for whistleblowers [4] - Reward funds will be included in the CSRC's budget, and rewards will only be issued after penalties are collected [4] Protection Mechanisms - Whistleblower identities will be kept anonymous, and any contact for verification will require proper registration [5] - There are strict prohibitions against retaliation, including threats or breaches of privacy against whistleblowers [5] - Companies found retaliating against whistleblowers will face legal consequences based on the severity of the actions [5] Accountability Mechanisms - There will be enhanced accountability for those handling whistleblower reports, with penalties for negligence or misconduct [5] - Serious cases may be referred to judicial authorities for criminal prosecution [5]