明确监管措施实施程序！证监会发布

Core Viewpoint - The article discusses the implementation of the "Regulatory Measures for the Securities and Futures Market" by the China Securities Regulatory Commission (CSRC), which aims to standardize the procedures for administrative regulatory measures and protect the legal rights of parties involved [2][5]. Summary by Sections Regulatory Measures - The "Implementation Measures" outlines various types of regulatory measures, including 14 commonly used actions such as orders for correction, regulatory talks, warning letters, and orders for regular reporting [3]. - It emphasizes that regulatory measures are independent of administrative penalties and serve as a crucial tool for financial regulation, aimed at protecting public interests and maintaining market order [3]. General Procedural Requirements - The document specifies that regulatory measures must be documented, with requirements for evidence collection, decision-making, and delivery processes [3]. - It mandates that at least two qualified enforcement personnel must be present during on-site enforcement actions, and measures cannot be taken for violations not discovered within two years unless specified by law [3]. Special Procedural Requirements - The article highlights the need for prior notification to parties involved, detailing the type of measures, facts, reasons, and rights to respond [4]. - In urgent situations, the regulatory body can bypass prior notification to address risks promptly, provided that the main responsible person approves this action [4]. Decision-Making and Execution - The "Implementation Measures" clarifies the requirements for the content of regulatory decision documents, public disclosure, and the process for parties to appeal decisions [4]. - It also states that if a party fulfills commitments under an administrative enforcement agreement, the regulatory body will not impose measures for the same behavior [4]. Legal and Efficiency Principles - The article notes that the "Implementation Measures" align with the principles of legality, efficiency, and fairness, reflecting the government's commitment to rule of law and administrative justice [5][7]. - It aims to enhance the standardization of regulatory enforcement and ensure timely correction of violations to prevent risk escalation [7].