依法治市 证监会明确监管措施程序规定

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has publicly solicited opinions on the "Implementation Measures for Supervision and Administration of Securities and Futures Markets (Draft for Comments)", aiming to enhance the standardization and legal governance of regulatory measures in the market [1] Group 1 - The "Implementation Measures" outlines 14 common regulatory actions, including orders for correction, regulatory talks, warning letters, and orders for regular reporting, while also including a catch-all provision for other supervisory measures as per laws and regulations [1] - The implementation of regulatory measures must adhere to principles of legality, efficiency, and fairness, ensuring timely correction of illegal activities and prevention of risk spread [1] - Regulatory measures can be applied individually or in combination, based on the nature, circumstances, severity, and risk level of the behavior [1] Group 2 - The general procedural requirements for implementing regulatory measures include the need for documentation of evidence collection, decision-making, and delivery, with on-site enforcement requiring at least two qualified personnel [2] - If a violation is not discovered within two years, the implementing agency generally will not take regulatory measures unless otherwise specified by laws or if the risk from the violation has not been eliminated [2] - Special procedural requirements include prior notification to the parties involved, detailing the type of measures, facts, reasons, and rights to respond [2]