1. Organization

The SFB is composed of eight functional divisions, which are assisted by the Secretariat, the Legal Affairs Office, the Auditing Office, the Accounting Office, the Personnel Office, and the Information Management Office. Their functions are summarized as the following:

Division 1: Corporate finance

Division 2: Securities firms administration

Division 3: Securities market administration

Division 4: Securities service industries

Division 5: Securities and futures research and education

Division 6: Accounting administration

Division 7: Futures

Division 8: International affairs

Auditing Office: securities auditing

Legal Affairs Office: compliance and regulations

Information Management Office: information management and computer affairs

2. Job Description

(1) Approval, regulation and supervision of securities placement and issuance；

(2) Approval, regulation and supervision of securities listing；

(3) Approval, regulation and supervision of futures contracts；

(4) Approval, regulation and supervision of options contracts；

(5) Approval, regulation and supervision of securities trading over the counters of securities firms；

(6) Approval, regulation and supervision of securities investment trust enterprises, securities financing enterprises, securities investment consulting enterprises, securities centralized depository enterprises, and other securities and futures service enterprises；

(7) Approval, regulation and supervision of securities firms and futures commission merchants；

(8) Direction and supervision of securities dealers associations and futures associations；

(9) Approval, regulation and supervision of the establishment of the securities exchange, futures exchange, and OTC securities markets；

(10) Regulation and supervision of responsible persons and associated persons of securities firms, futures commission merchants, the securities exchange, and the futures exchange；

(11) Regulations of public-held companies and supervision of their finance and operations；

(12) Regulation and Coordination of margin purchases and short sales；

(13)Analysis and computer operations of securities and futures；

(14) Research, development, and evaluation of the regulation of securities and futures；

(15) Drafting and of promulgation of securities and futures regulations；

(16) Administration and supervision of the audits of public-held companies’ financial reports carried out by certified public accountants；

(17) Other matters related to administration of securities and futures.