The China Securities Regulatory Commission issued the “Implementation Measures for the Supervision and Administration of the Securities and Futures Market”. The “Implementation Measures” consist of 25 articles, which clarify the types of supervisory measures. List 14 types of commonly used measures, such as ordering corrections, regulatory conversations, issuing warning letters, and ordering periodic reports, and use “other supervisory and administrative measures stipulated by laws, administrative regulations, and the rules and regulations of the China Securities Regulatory Commission” as underpinning provisions. Clarify the principles for implementing regulatory measures. The implementation of supervisory measures should follow the principles of lawfulness, efficiency, and impartiality; should comply with the procedures stipulated in laws, administrative regulations, and the rules and regulations of the China Securities Regulatory Commission; should promptly correct illegal acts, prevent the spread of risk and consequences of harm; adhere to the combination of risk prevention and control with education; and should be based on facts, comparable to the nature, circumstances, degree of harm, and risk magnitude of the act.

The China Securities Regulatory Commission issued the “Implementation Measures for the Supervision and Administration of the Securities and Futures Market”. The “Implementation Measures” consist of 25 articles, which clarify the types of supervisory measures. List 14 types of commonly used measures, such as ordering corrections, regulatory conversations, issuing warning letters, and ordering periodic reports, and use “other supervisory and administrative measures stipulated by laws, administrative regulations, and the rules and regulations of the China Securities Regulatory Commission” as underpinning provisions. Clarify the principles for implementing regulatory measures. The implementation of supervisory measures should follow the principles of lawfulness, efficiency, and impartiality; should comply with the procedures stipulated in laws, administrative regulations, and the rules and regulations of the China Securities Regulatory Commission; should promptly correct illegal acts, prevent the spread of risk and consequences of harm; adhere to the combination of risk prevention and control with education; and should be based on facts, comparable to the nature, circumstances, degree of harm, and risk magnitude of the act.