Corporate Finance Division
1.Supervision and auditing of the financial and business matters of publicly-held companies; review and administration regulation of securities offering and issuance.
2.Planning, proposal, and promotion of corporate governance systems.
3.Proposal of corporate information disclosure systems; and proposal of the enactment, amendments, repeal, and interpretations of the “Criteria Regulations Governing Information to be Published in Public Offering and Issuance Prospectuses”, “Criteria Regulations Governing Information to be Published in Annual Reports of Public-held Companies” and “Regulations Governing the Acquisition and Disposal of Assets by Publicly-held Companies”.
4.Proposal of rules governing the securities offering and issuance system; proposal of the enactment, amendments, repeal, and interpretations of the related laws and regulations.
5.Review of the private placement system; proposal of the enactment, amendments, repeal, and interpretations of private placement related laws and regulations.
6.Proposal of initial public offering and securities underwriting systems; proposal of the enactment, amendments, repeal, and interpretations of related laws and regulations.
7.Research and consulting of on securities-related affairs of matters in Mainland China, Hong Kong, and Macau; and proposal of the enactment, amendments, repeal, and interpretations of related laws and regulations.
8.Proposal of the enactment, amendments, repeal, and interpretations of securities issuance laws and regulations not included in the preceding items.
9.Other affairs matters related to securities issuance.
Securities Firms Division
1.Proposal of the enactment, amendments, repeal, and interpretations of laws and regulations pertaining to the regulation of securities firms regulations.
2.Approval of the applications of for the establishment, merger, business transfer, suspension, or termination of securities firms; issuance of licenses to such firms and alterations updating of their registered information; financial and business auditing of securities firms; and handling of investor petitions complaints.
3.Supervision of securities underwriting, proprietary trading, brokerage, international business, concurrently-run sideline businesses of securities firms, and other businesses concurrently operating securities business operated as a sideline business by other types of enterprises.
4.Planning the securities firm systems, of such as financial auditing, internal controls, and internal auditing, corporate governance, compliance, and risk management of securities firms.
5.Planning of the listing system of for securities firms, and review and approval of their plans to offering and issuance of securities.
6.Planning the supervision of registrations, trainings, and qualification examination of associated person of personnel management at securities firms, including the registration and training of associated persons, and the testing of their qualifications; supervision of the national association of securities firms.
7.Promotion and propaganda of the internationalized publicizing policies of adopted to internationalize our securities markets, and participation of international securities, in conferences, and campaigns of activities organized by international organizations with a focus on securities and economic and trade organizations relations.
8.International communication and business cooperation Liaison with the regulators and related organizations of other countries.
9.Supervision of overseas Chinese and foreign nationals’ investments in domestic securities, and policy planning.
10.Other affairs matters related to the regulations of securities firms.
Securities Trading Division
1.Approval of the establishment of the stock exchange, alterations; updating of its registered information, and management; oversight of the its personnel of stock exchange matters; and supervision and auditing of stock exchange’ its financial and operational business matters.
2.Approval of the establishment articles of association of the OTC securities market and rule of sponsorship the Securities and Futures Investors Protection Center (the SFIPC); approval of amendments to said articles; oversight of their personnel matters; and supervision and auditing of their OTC securities market and the SFIPC’s sponsorship articles, personnel, financial and operational business matters.
3.Approval of the establishment of securities and futures holding companies, alterations; updating of their registered information, and management; oversight of their personnel of securities and futures holding companies matters; and supervision and auditing of their financial and operational business of securities and futures holding companies matters.
4.Planning, programming, and assistance in establishing the system of securities trading and settlement in the centralized market and over-the -counter market; and proposal of the enactment, amendments, repeal, and interpretations of related regulations.
5.Planning, programming, and assistance in establishing the system of bond trading and settlement in the centralized market and over-the -counter market; proposal of the enactment, amendments, repeal, and interpretations of related regulations.
6.Designing the system of securities repurchases and tender offers; proposal of the enactment, amendments, repeal, and interpretations of related regulations.
7.Supervision of the numbers size of the shares equity stakes held by directors, supervisors, managers, and major shareholders holding more than ten percent of the total shares of the in publicly-held companies; proposal of the enactment, amendments, repeal, and interpretations of related regulations.
8.Regulation of the use of proxies for attendance at shareholder meetings of publicly-held companies; proposal of the enactment, amendments, repeal, and interpretations of the regulations of governing the shareholder services of publicly-held companies.
9.Supervision of securities market trading markets, investigation of illegal trading, and dealing with handling of the disgorgement of short-swing trading matters profits.
10.Other affairs related to securities transactions.
Securities Investment Trust and Consulting Division
1.Issuing (reissuing) licenses and supervision of for securities investment trust enterprises and securities investment consulting enterprises; supervision of such enterprises.
2.Supervision of onshore securities investment trust funds and offshore funds.
3.Supervision of discretionary investment business.
4.Supervision of the securities investment trust and consulting association.
5.Issuing (reissuing) licenses and supervision of for securities finance enterprises and centralized securities depository enterprises; supervision of such enterprises.
6.Supervision of the margin purchase and short selling of securities.
7.Issuing (reissuing) licenses and supervision of for urban renewal investment trust companies; supervision of such companies.
8.Supervision of the offering and issuing of real estate securitization and financial asset securitization products.
9.Other affairs related to securities investment trust and consulting.
Accounting and Auditing Supervision Division
1.Proposal of the enactment, amendments, repeal, and interpretations of the Certified Public Accountant Act and the related regulations.
2.Proposal of the enactment, amendments, repeal, and interpretations of the following regulations: Regulations of Governing the Preparation of Financial Reports by Securities Issuers,; Criteria Governing Preparation of Affiliation Reports, Consolidated Business Reports and Consolidated Financial Statements of Affiliated Enterprises,; Regulations of Governing the Publication of Financial Forecasts of Publicly-held Companies,; Regulations of Governing Loaning of Funds and Making of Endorsements/Guarantees by Publicly-held Companies,; and Regulations of Governing Establishment of Internal Control Systems by Publicly-held Companies.
3.Supervision of Ccertified Public Aaccountants (CPAs); review and approval of CPAs’ applications for approval to conduct the auditing and attesting business for the financial reports of publicly-held companies.
4.Supervision of financial reports, financial forecasts, internal controls, and other financial information issued by publicly-held companies.
5.Supervision of publicly-held companies’ principal accounting officers and internal auditors’ qualifications and professional training.
6.Proposal of the interpretations connected with the generally accepted financial accounting and audit standards.
7.Supervision of and liaison with the Accounting Research Development Foundation (ARDF) and the CPAs association.
8.Secretary to the CPAs Discipline Commission.
9.Other affairs related to accounting and auditing.
Futures Trading Division
1.Proposal of the enactment, amendments, repeal, and interpretations of the Futures Trading Act and related bylaws.
2.Review and approval of the establishment, and licenseing issuance of the futures exchange, futures clearing houses, and futures enterprises (including futures commission merchants, leverage transaction merchants, futures advisory enterprises, managed futures enterprises, futures trust enterprises, and other futures services enterprises),; supervision, regulations of such entities (including their financial, business operation and personnel matters),; and the related self regulations of futures exchange, futures clearing houses, futures enterprises (including futures commission merchants, leverage transaction merchants, futures advisory enterprises, managed futures enterprises, futures trust enterprises, and other futures services enterprises) review and approval of such entities' company bylaws.
3.Proposal, planning, supervision and auditing of the administration managerial systems of futures enterprises, such as business management, internal controls, internal audits, and operation overall risk management.
4.Planning, supervision, and regulation of qualification examinations, recognition, and training for associated persons of futures commission merchants.
5.Proposal, planning, supervision, regulation, and statistical surveys analysis of the futures market's trading, futures and clearing systems, and futures business its operations.
6.Planning, review, and announcement of domestic and foreign futures trading contracts.
7.Supervision of futures market trading and dealing with wrongdoing illegal activities.
8.Planning and supervision of participation in the domestic futures market for by domestic and foreign institutional investors.
9.Dealing with handling appeals and petitions by futures traders; promotion and propaganda for educating providing securities investors and futures traders with education and information.
10.Other affairs related to futures regulations.
Information Systems Office
1.Implementation of information security operations.
2.Planning and implementation of office automation.
3.Procurement, outsourcing of design, and maintenance of IT facilities, application software, and the information systems.
4.Management and maintenance of the data bases and application systems.
5.Holding computer training courses to improve the computer literacy of SFB staff.
6.Supervision of the information security operations of self-regulatory organizations (SROs) to ensure stability in markets trading.
7.Coordination and collaboration of matters related to ensure the protection of computerized personal data.
8.In accordance coordinate with the FSC’s policies, by supervising the information management affairs of SROs and securities and futures SROs market data in order to maintain order in market trading and overall integrity.
9.Planning and implementing a computerized working environment in accordance with the FSC’s policies; coordination and collaboration for on IT affairs with other government agencies.
10.Other affairs related to information technology.
1.Management of documents, files, archives, impression official seals, cashier operations, general affairs, and property.
2.Communication with the Congress legislature, and handling of public relationship.
3.Other administrative affairs related to Secretariat.
The Personnel Office is responsible for personnel affairs of the SFB.
The Accounting Office is responsible for budgeting, accounting and statistics affairs of the SFB.
Civil Service Ethics Office
The Civil Service Ethics Office is responsible for Civil Service Ethics affairs of the SFB.
Visitor： 15454 Update： 2019-11-07