第十章 证券监督管理机构

    Chapter X. The Securities Regulatory Body

    第一百六十六条 国务院证券监督管理机构依法对证券市场实行监督管理，维护证券市场秩序，保障其合法运行。

    Article 166. The State Council's securities regulatory body shall supervise and administer the securities market according to law, maintain order in the market, and ensure the market operates in a lawful manner.

    第一百六十七条 国务院证券监督管理机构在对证券市场实施监督管理中履行下列职责：

    Article 167. The State Council's securities regulatory body shall carry out the following supervisory and administrative duties in regards to the securities market:

    （一）依法制定有关证券市场监督管理的规章、规则，并依法行使审批或者核准权；

    (1) Formulate rules and regulations related to the supervision and administration of the securities market according to law and exercise its examination and approval power according to law;

    （二）依法对证券的发行、交易、登记、托管、结算，进行监督管理；

     (2) Supervise and administer according to law the issuance, transactions, registration, trusteeship, and settlement of securities;

    （三）依法对证券发行人、上市公司、证券交易所、证券公司、证券登记结算机构、证券投资基金管理机构、证券投资咨询机构、资信评估机构以及从事证券业务的律师事务所、会计师事务所、资产评估机构的证券业务活动，进行监督管理；

    (3) Supervise and administer according to law the securities?related activities of securities issuers, listed companies, stock exchanges, securities firms, securities registration and settlement institutions, securities investment fund management institutions, securities investment consultation institutions, and credit evaluation institutions, as well as law firms, accounting firms, and asset evaluation institutions involved in the securities business;

    （四）依法制定从事证券业务人员的资格标准和行为准则，并监督实施；

     (4) Formulate standards of qualifications and codes of conduct for securities professionals and supervise the implementation of such standards and codes according to the law;

    （五）依法监督检查证券发行和交易的信息公开情况；

    (5) Supervise and inspect according to the law the public disclosure of information on securities issuance and transactions;

    （六）依法对证券业协会的活动进行指导和监督；

    (6) Guide and supervise according to the law the activities of the stock brokers' association;

    （七）依法对违反证券市场监督管理法律、行政法规的行为进行查处；

     (7) Investigate and handle according to the law any conduct that violates the laws and administrative regulations formulated for the supervision and administration of the securities market;

    （八）法律、行政法规规定的其他职责。

    and (8) Other duties stipulated by laws and administrative regulations.

    第一百六十八条 国务院证券监督管理机构依法履行职责，有权采取下列措施：

    Article 168. While executing its duties according to the law, the securities regulatory body under the State Council is entitled to take the following measures:

    （一）进入违法行为发生场所调查取证；

    (1) To enter premises where an illegal act has been committed to investigate and to attain evidence;

    （二）询问当事人和与被调查事件有关的单位和个人，要求其对与被调查事件有关的事项作出说明；

    ( 2) To question people involved, and units and individuals related to the incident under investigation, and to demand that they explain relevant issues related to the incident under investigation;

    （三）查阅、复制当事人和与被调查事件有关的单位和个人的证券交易记录、登记过户记录、财务会计资料及其他相关文件和资料；对可能被转移或者隐匿的文件和资料，可以予以封存；

    (3) To read, check, and duplicate the records of securities transactions, the records of transfers of securities, financial accounts, and other relevant documents and materials of the people involved, and the units and individuals related to the incident under investigation. It can seal up and keep documents and materials that may be removed or hidden.

    （四）查询当事人和与被调查事件有关的单位和个人的资金帐户、证券帐户，对有证据证明有转移或者隐匿违法资金、证券迹象的，可以申请司法机关予以冻结。

    (4) To check the funds accounts and securities accounts of the people involved, and the units and individuals related to the incident under investigation. When there is evidence that such funds and securities may be transferred or hidden, it can apply to freeze them at a judicial organ.

    第一百六十九条 国务院证券监督管理机构工作人员依法履行职责，进行监督检查或者调查时，应当出示有关证件，并对知悉的有关单位和个人的商业秘密负有保密的义务。

    Article 169. While executing their duties according to law to supervise an inspection or investigation, personnel of the securities regulatory body under the State Council shall show their relevant identification papers. They are also obligated to protect the secrecy of business secrets that they have learned from relevant units and individuals.

    第一百七十条 国务院证券监督管理机构工作人员必须忠于职守，依法办事，公正廉洁，不得利用自己的职务便利牟取不正当的利益。

    Article 170. Personnel of the securities regulatory body under the State Council must faithfully carry out their duties, operate according to law, and be just and honest. They shall not abuse their powers to obtain illegitimate interests.

    第一百七十一条 国务院证券监督管理机构依法履行职责，被检查、调查的单位和个人应当配合，如实提供有关文件和资料，不得拒绝、阻碍和隐瞒。

    Article 171. While the securities regulatory body under the State Council is executing its duties according to law, units and individuals under investigation shall be cooperative, and truthfully provide relevant documents and materials required. They shall not refuse or obstruct it, or conceal any relevant documents and materials.

    第一百七十二条 国务院证券监督管理机构依法制定的规章、规则和监督管理工作制度应当公开。

    Article 172. 'The securities regulatory body under the State Council shall publish its rules and regulations, and its supervision and administration work system formulated according to law.

    国务院证券监督管理机构依据调查结果，对证券违法行为作出的处罚决定，应当公开。

    After deciding to penalize an unlawful act of securities transaction based on its investigations, the securities regulatory body under the State Council shall publicize the decision.

    第一百七十三条 国务院证券监督管理机构依法履行职责，发现证券违法行为涉嫌犯罪的，应当将案件移送司法机关处理。

    Article 173.. While executing its duties according to law and discovering an unlawful act of securities transaction that may probably constitute a crime, the securities regulatory body under the State Council shall transfer the case to an judicial organ so that the latter will handle it.

    第一百七十四条 国务院证券监督管理机构的工作人员不得在被监管的机构中兼任职务。

    Article 174 Personnel of the securities regulatory body under the State Council shall not concurrently occupy posts in organizations under their supervision and administration.