证监会发布，进一步规范证券期货市场监督管理措施实施程序

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has established the "Implementation Measures for Supervision and Administration of Securities and Futures Markets" to enhance the regulatory framework and procedures for the securities and futures markets [1][2]. Group 1: Common Regulatory Measures - The "Implementation Measures" explicitly lists fourteen commonly used regulatory measures, including orders for correction, regulatory talks, warning letters, and orders for regular reporting, with a catch-all provision for other supervisory measures as per laws and regulations [2][4]. Group 2: General Procedural Requirements - Regulatory measures must adhere to legal procedures, including evidence collection, decision-making, and notification processes [3]. - Regulatory actions requiring on-site enforcement must be conducted by at least two qualified enforcement personnel [3]. - If a violation is not discovered within two years, regulatory measures generally will not be applied unless specified by law or if the impact of the violation has not been eliminated [3]. - Staff involved in implementing regulatory measures must recuse themselves if they have a direct interest or relationship that could affect impartial enforcement [3]. Group 3: Decision-Making and Execution of Regulatory Measures - The regulatory decision document must specify certain required items and follow a defined delivery process [4]. - Parties dissatisfied with regulatory decisions can apply for administrative review or directly file a lawsuit [4]. Group 4: Importance of Regulatory Measures - Regulatory measures serve as an essential administrative tool for financial regulation, aimed at protecting public interests, correcting violations promptly, preventing market risks, and maintaining market order [6]. - The CSRC's previous trial measures from 2008 have positively contributed to market order and the protection of legal rights, but recent developments have highlighted the need for adjustments [6]. Group 5: Principles and Objectives of the Implementation Measures - The implementation of regulatory measures must follow principles of legality, efficiency, and fairness, ensuring timely correction of violations and risk prevention [7]. - The overall approach to the "Implementation Measures" emphasizes legal administration, problem orientation, procedural clarity, and efficiency in correcting violations [8].