What Is Regulatory Management?
The so-called supervisory authority's authority refers to the power enjoyed by the securities regulatory authority of the State Council to perform its duties. According to the provisions of the Securities Law 168, the securities regulatory authority under the State Council performs its duties according to law and has the right to take the following measures: 1. The right to investigate and obtain evidence. The securities regulatory authority under the State Council has the right to enter the venue where the illegal act occurred to investigate and obtain evidence.
Supervision and management authority
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- Chinese name
- Supervision and management authority
- Types of
- Authority
- Enjoy unit
- Securities regulatory agency of the state council
- According to
- "Securities Law"
- The so-called supervisory authority's authority refers to the power enjoyed by the securities regulatory authority of the State Council to perform its duties. According to the provisions of the Securities Law 168, the securities regulatory authority under the State Council performs its duties according to law and has the right to take the following measures: 1. The right to investigate and obtain evidence. The securities regulatory authority under the State Council has the right to enter the venue where the illegal act occurred to investigate and obtain evidence.
- The so-called supervisory authority's authority refers to the power enjoyed by the securities regulatory authority of the State Council to perform its duties. According to the provisions of the Securities Law 168, the securities regulatory authority under the State Council performs its duties according to law and has the right to take the following measures: 1. The right to investigate and obtain evidence. The securities regulatory authority under the State Council has the right to enter the venue where the illegal act occurred to investigate and obtain evidence.
- 2. Right of inquiry. The securities regulatory authority under the State Council, in order to perform its supervisory and management responsibilities, has the right to inquire the parties related to the matters under supervision and inspection, as well as units and individuals related to the incident under investigation, and require them to explain the matters related to the incident under investigation.
- 3. Right to inspect, copy and archive. The securities regulatory authority under the State Council has the right to inspect and copy the securities transaction records, registration and transfer records, financial and accounting information, and other relevant documents and information of the parties and units and individuals related to the investigated incident in order to perform their supervision and management responsibilities. Documents and materials that may be transferred or concealed are sealed, and the sealed documents and materials shall not be handled freely by the relevant personnel.
- 4. Query accounts and apply for freezing right of judicial organs. The securities regulatory authority under the State Council has the right to inquire the funds, securities and securities accounts of the parties and units and individuals related to the incident under investigation, and has the right to apply to the judicial organs to freeze the evidence of evidence of transfer or concealment of illegal funds and securities.