Notes on Letters and Calls and Reports of Beijing Securities Regulatory Bureau

Investors are the foundation of the development of the capital market. Respecting, fearing and protecting investors is the concrete embodiment of the people-centered development thought in the capital market, and it is also the fundamental supervision mission of the securities and futures supervision department. Protecting the legitimate rights and interests of investors is the basic work related to the high-quality development of the capital market. As the dispatched office of China Securities Regulatory Commission, Beijing Securities Regulatory Bureau has always attached great importance to protecting the legitimate rights and interests of investors, especially taking seriously the handling of investors’ letters and reports, firmly establishing the overall awareness of "there is no small matter in the capital" and earnestly implementing the work requirements of "handling complaints immediately". Education supervision cadres have always stood firm on the people’s position in capital market supervision, fully implemented the party’s initial intention and mission, earnestly implemented the requirements of "serving the people and solving problems", and strived to practice the people-centered concept in the supervision work in their jurisdictions.

At present, with the continuous development of the capital market, the number of various market entities has increased rapidly., itsBusiness type and product formatIt is also rapidly innovating and expanding, securities and futures regulatory department“Heavy tasks and few people."The contradiction is very prominent.Beijing Securities Regulatory Bureau strives to overcome its own difficulties and always takes it seriously and actively handles it.complain by letters or visitsandReporting mattersIt has won the understanding and support of investors, especially letters and visitors. existhandlePetition and reportingWork practicemiddle,We also found that,Some letters and visitors failed to provide effective clues and factual evidence because they did not understand the relevant legal provisions and handling procedures for letters and visits and reports.Or reflect the misstatement matters that should be under the jurisdiction of other functional departments but not within the scope of the Beijing Securities Regulatory Bureau,orReports, letters and visits and complaints are mixed and unclear.Resulting in invalid reports or improper letters and visits; There are also individual letters and visitors who repeatedly mention the same matter or even simply take a lot to vent their emotions.“Copy and paste type"There is a tendency to abuse the right to petition or report to a certain extent when filing a complaint or report.etc. The above situation has crowded out or even wasted the limited resources of the securities and futures supervision department, making it difficult for the supervision department to invest more human resources.andWork harderInvestigate and deal withTo crack down on the illegal activities of market players in the jurisdiction and effectively protect the legitimate rights and interests of investors, to a large extent.Also seriousAffectedrightProtection of the legitimate rights and interests of normal letters and visitorsstrength.Therefore,Handling letters and visits and reporting matters,In addition to the securities and futures regulatory authorities mustStrictly perform their duties and responsibilities and deal with them in a timely manner according to their own functions and laws and regulations.except,meanwhilealsourgentNeed a letterhumanVisitors shall exercise their right to petition and report rationally according to law.comebelievehumanThe facts stated by the visitoron the basis ofAnd providedevidenceMaterials should be objective and true., accurate and complete. Whoever intentionally fabricates facts, falsely accuses and frames others, and uses the report for extortion shall bear legal responsibility according to law; Anyone suspected of constituting a crime shall be transferred to judicial organs for criminal responsibility according to law.In order to effectively safeguard the legitimate rights and interests of normal letters and visitors,For malicious reports, repeated reports or random reports without specific evidence,Our bureau will consider the situation.adoptnecessaryRestrictive measures.

forBetter adapt to the new situation and new tasks, and furtherMaintain the work of letters and visits and reportingnormalOrder, fully protect the legitimate rights and interests of letters and visitors,Our bureau revised and improved it in timeThis notice. For better protectionyouThe legitimate rights and interests of, please before the letter, visit.mustRead this instruction carefully and follow the relevant regulations.standardRequirements,abide by the lawCorrect and reasonable use of the right to petition and report.

Beijing Securities Regulatory Bureau has the final right to interpret this notice, and investors are welcome.And all sectors of society.Supervision,Our bureau will continue to improve its work. wholeheartedThank investors for their concern, understanding and support for the supervision work of Beijing Securities Regulatory Bureau.!

(1) Instructions for reporting

Citizens, legal persons or other organizations mayabide by the lawReport matters to our bureau.

One,Scope of reporting matters

according toInterim Provisions on Reporting Illegal Acts of Securities and Futures (2020Annual revision) Article 6Article 7And the "Regulations on the Supervision Duties of the Agency of China Securities Regulatory Commission"The relevant provisions,belowitemNot to register:

(one) failing to provide information such as the name, identity and address of the reported person;

(2)The report object does not belong to the daily supervision object of the jurisdiction;

(three)Reporting matters do not belong to the scope of administrative duties of our bureau;

(four)The reported matters are not explicitly prohibited by securities and futures laws, regulations and normative documents, and illegal acts with relevant responsibilities are stipulated;

(five)Failing to provide specific facts, detailed clues and objective evidence for verification;

(six)The reported matter has been dealt with according to law or is being handled, and the informant repeatedly reports the same fact or reason without new evidence or new clues;

(seven)The illegal act reflected in the report has exceeded the limitation of administrative punishment;

(eight)The request for reporting has been or should be resolved through legal channels such as litigation, arbitration, administrative reconsideration and letters and visits according to law.;

(9)Other circumstances stipulated by laws and regulations..

Only in line withregisterConditions, I can carry out verification and other work, and take relevant measures.

In addition, the whistleblower needs to be clear that even if it can be verified that the relevant reported matters are indeed illegal, the handling measures taken by our bureau according to law are limited to such things as warning, business restriction and fines.Make administrative punishment or take regulatory measures.Handling, will not involve any related to the whistleblower.Civil economyInterest and content. If the whistleblower urgently needs to claim his legal rights, such as having moneyCompensation compensationPlease handle the demands in the following ways, so as not to delay the timing and effect of handling the problem.

According to the functions and responsibilities of our bureau, our bureau cannot solve the contract disputes, service disputes or other economic disputes between informants and various market operators, that is, the disputes do not belong to the scope of reporting, and the relevant issues can be reported to the investor service hotline of China Securities Regulatory Commission.“12386”Complaints reflect. At the same time, you can also apply for mediation to institutions such as the CSI Capital Market Legal Service Center. In addition, you can apply to an arbitration institution for arbitration.orMediation and litigation through the court can also be reflected to the public security organs to seek a solution to the problem.

two, reporting matters.

Informants can report by mailing the report materials or visiting and submitting the report materials. Our bureau only accepts real-name reports, real-name reports.Informants should be providedrealName, copy of valid ID card, contact information and address. If the informant is a unit,needProvide company name, unified social credit code, mailing address, power of attorney, copy of agent’s ID card, contact information, etc.

Entrusted by others to report on their behalf, in addition to the above-mentioned informer information, a copy of the agent’s ID card, power of attorney and other documents shall be provided.

Informants who report matters in the form of visits shall bring their identity certificates and written materials to the reception places designated by our bureau.

fiveIf more than one whistleblower puts forward the same report in the form of a visit, representatives shall be elected, and the number of representatives shall not exceed.fivePeople.

Third,Handling of reporting matters

I will screen and classify the reporting materials, register the reporting items that meet the corresponding conditions, and whether or not to register them.in timeInform the informant,Specific methods include written or oral notification with the consent of the informant.

After registration, our bureau will take the opportunity to carry out verification and investigation. During the verification and investigation, the staff may contact the informant to learn about the relevant situation and ask for supplementary evidence.

After verification and investigation, the relevant handling opinions will be informed to the informant as appropriate, including written or oral consent of the informant.notifyAnd so on.In the meantime, pleaseinformerin timePay attention to our bureau official website., in accordance with the provisions of the premise, relatedRegulatory measures and administrative punishment informationWill be publicized in relevant columns..

(2) Instructions for letters and visits

Citizens, legal persons or other organizations mayabide by the lawPut forward to our bureaucomplain by letters or visitsMatters.

One,Scope of letters and visits

Citizens, legal persons or other organizations in accordance with the "letters and visits"work"Regulations" reflect the situation of our bureau and its staff’s job behavior, put forward suggestions and opinions, or refuse to accept our bureau and our staff’s job behavior, you can put forward letters and visits to our bureau.

two、Presentation of letters and visits

PetitionercanwithPut forward complaint reporting matters by mailing complaint reporting materials or visiting and submitting complaint reporting materials., shall provide the petitioner’srealName, copy of valid ID card, contact information and address. If the petitioner is a unit,needProvide company name, unified social credit code, mailing address, power of attorney, copy of agent’s ID card, contact information, etc.

Entrusted by others to submit letters and visits, in addition to the above-mentioned information of the complainant, a copy of the agent’s ID card, a power of attorney and other documents shall be provided.

If the complainant puts forward the complaint by visiting, he shall bring his identity certificate and written materials to the reception place designated by our bureau.

fiveIf more than one petitioner proposes the same petition in the form of a visit, it shall elect representatives, and the number of representatives shall not exceed.fivePeople.

Third,Acceptance and reply of letters and visits

The complaint reporting office of our bureau shall, after receiving the complaint reporting matters.15Inform the complainant in writing whether to accept it within days, but the complainant’s name (name) and contact information are unclear or false, or the complainant is clear.expressUnless a written reply is not required.

Letters and visits accepted by our bureau, from the date of acceptance.60Within days, and give a written reply to the petitioner, but the petitioner’s name and contact information are unclear, false or clear.expressUnless a written reply is not required. Complicated situation, after examination and approvalExtend the processing period, but the extension period shall not exceedthirtyDay, and inform the petitioner of the reasons for the extension. Where laws and administrative regulations provide otherwise, such provisions shall prevail.

In the process of accepting and handling letters and visits in our bureau, if letters and visitors need to supplement materials or letters and visitors take the initiative to supplement materials, the acceptance and handling period shall be recalculated from the date when the petition work agency of our bureau receives the supplementary materials.

(three)Matters needing attention in letters and visits

Citizens, legal persons or other organizations mayabide by the lawPut forward to our bureauReport or petitionitem, but also need to pay attention to the following matters, so as to be legal, civilized and rational..

One,Letters and visitors’ petitions and reports shall be objective and true, and they shall be responsible for the authenticity of the materials they provide. They shall not fabricate or distort the facts, and shall not falsely accuse or frame others. Those who deliberately fabricate facts, falsely accuse and frame others, and use letters and visits to report extortion shall bear legal responsibility according to law; Anyone suspected of constituting a crime shall be transferred to judicial organs for criminal responsibility according to law.

Second,Letters and visitors shall abide by laws and regulations in the process of letters and visits, and shall not harm the interests of the state, society and collectives or the legitimate rights and interests of other citizens, and consciously safeguard social public order and the order of letters and visits. Letters and visitors are in violation of the "letters and visits"workArticle 1 of the RegulationstwentyArticle, paragraphtwenty-sixArticle, etc., in any of the following circumstances, the visitors of our bureau have the right to stop receiving, and discourage, criticize or educate the letters and visitors; If dissuasion, criticism and education are ineffective,pleasepolicecooperateDisposal.

(1) Refusing to submit letters and visits to the designated reception place, refusing to select representatives to submit letters and visits as required, or entering the office without authorization;

(2) illegally gathering around the office or in public places, enclosing or attacking the office, intercepting official vehicles, or blocking or blocking traffic;

(3) Carrying dangerous goods and control devices;

(four) insulting, beating, threatening staff, illegally restricting the personal freedom of others., orDamage to property;

(5) Incomplain by letters or visitsStay in the reception place, make trouble, or leave people who can’t take care of themselves behind.complain by letters or visitsReception place;

(6) Inciting, colluding, coercing, inducing with property, manipulating others’ letters and visits behind the scenes, or taking the opportunity to collect money in the name of letters and visits;

(seven) take suicide, threatened suicide or self-harm and other excessive behavior;

(8)otherActs of disturbing public order and endangering state and public safety.

(4) Contact information of letters and visits

complain by letters or visitsMailing address of reporting materials:Finance Street, Xicheng District, Beijing26No. Jinyang Building Beijing Securities Regulatory Bureau (Please pay attention to distinguish matters, situations and demands, and choose by yourself.give clear indication“Letters and visits materials"or“Reporting materials")

complain by letters or visitsreportsiteReception address:Finance Street, Xicheng District, Beijing26Hao Jinyang buildingoneLayer petition reception room (visiting time:workdaynine:00-11:00、13:30-1six:three0)

complain by letters or visitsreportworkTelephone:010-88088086(Answer time:workday8:30-11:30、13:30-17:00)