规范证券期货市场监督管理措施 证监会发布实施办法

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has developed the "Implementation Measures for Supervision and Management of Securities and Futures Markets," which will take effect on June 30, 2026, to standardize the implementation procedures of regulatory measures [1][2]. Group 1: Regulatory Measures - The "Implementation Measures" outlines fourteen common types of 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 [1]. - The principles for implementing regulatory measures include legality, efficiency, and fairness, ensuring that actions are based on facts and proportional to the nature and severity of the violations [1]. Group 2: Implementation Procedures - The document specifies procedural requirements for implementing regulatory measures, including evidence collection, decision-making, delivery, on-site enforcement, and special procedures for urgent situations [1]. - It also details the requirements for the issuance and execution of regulatory decisions, including what must be included in the decision document and the procedures for public disclosure and delivery [1]. Group 3: Public Feedback - Prior to finalization, the CSRC sought public opinion on the "Implementation Measures," receiving overall support and recognition from various stakeholders, which led to modifications and improvements based on the feedback [2].