(June 7, 2006, China Securities Regulatory Commission promulgated as of July 10, 2006, 33rd) first in order to maintain order in the market, protect the legitimate rights and interests of investors and the public interest, promote the healthy and stable development of the securities market, according to the People's Republic of China securities law and other laws and administrative rules and regulations, this provision is enacted.
    Second, China Securities Regulatory Commission (hereinafter "CSRC") for violation of laws, administrative regulations or the relevant responsible persons of the relevant regulations of the China Securities Regulatory Commission securities market into the measures taken, according to the facts, follow the principle of openness, fairness and justice. Third article following personnel violation legal, and administrative regulations or China SFC about provides, plot serious of, China SFC can according to plot serious of degree, take securities market ban into measures: (a) issued people, and listed company of Director, and prison thing, and senior management personnel, other information disclosure obligations people or other information disclosure obligations people of Director, and prison thing, and senior management personnel; (ii) issued people, and listed company of holding shareholders, and actual control people or issued people, and listed company holding shareholders, and actual control people of Director , And prison thing, and senior management personnel; (three) securities company of Director, and prison thing, and senior management personnel and features business sector head, and branch institutions head or other securities practitioners; (four) securities company of holding shareholders, and actual control people or securities company holding shareholders, and actual control people of Director, and prison thing, and senior management personnel; (five) securities service institutions of Director, and prison thing, and
    Senior management personnel, engaged in securities service business of personnel and securities service institutions of actual control people or securities service institutions actual control people of Director, and prison thing, and senior management personnel; (six) securities investment fund management people, and securities investment fund managed people of Director, and prison thing, and senior management personnel and features business sector, and branch institutions head or other securities investment fund practitioners; (seven) China SFC finds of other violation legal, and administrative regulations or China SFC about provides of about responsibility personnel.
    Article fourth of securities market into the measures of China Securities Regulatory Commission staff during the ban period, except not in their original institutions engaging in securities business or serve the original directors, supervisors and senior managers of listed companies of their duty, or in any other institutions engaging in securities business or other public company directors, supervisors and senior management positions.
    Personnel securities market into the measures taken, shall be made on receipt of the China Securities Regulatory Commission's securities market into the decision to immediately cease to engage in securities business or suspend the performance of listed companies Directors, supervisors and senior management positions, and institutions according to the procedures provided for by their being banned from holding office.
    Fifth article violation legal, and administrative regulations or China SFC about provides, plot serious of, can on about responsibility personnel take 3-5 years of securities market ban into measures; behavior bad, and serious disrupt securities market order, and serious damage investors interests or in major illegal activities in the up main role, plot more serious of, can on about responsibility personnel take 5-10 years of securities market ban into measures; has following case one of of, can on about responsibility personnel take lifelong of securities market ban into measures: (A) serious violation legal, and administrative regulations or China SFC about provides, constitute crime of; (ii) violation legal, and administrative regulations or China SFC about provides, behavior special bad, serious disrupt securities market order and caused serious social effect, or led investors interests suffered special serious damage of; (three) Organization, and planning, and led or implementation major violation legal, and administrative regulations or China SFC about provides of activities of; (four) other violation legal, and
    Administrative regulations or relevant regulations of the China Securities Regulatory Commission, the circumstances are especially serious.
    Sixth violation of laws, administrative regulations or relevant regulations of the China Securities Regulatory Commission, if the circumstances are serious, you can separate to the responsibilities to take the securities market into measures and perhaps also administrative penalty according to law; a suspected crime, transferred to the public security organs, people's procuratorates in accordance with law, and at the securities market into the measures taken.
    Seventh article has following case one of of, can on about responsibility personnel lighter, and reduce or from take securities market ban into measures: (a) active elimination or reduce violations against consequences of; (ii) tie investigation violations has meritorious service performance of; (three) by others directed, and stress has violations, and can active confessed violations of; (four) other can lighter, and reduce or from take securities market ban into measures of.
    Eighth common violation of laws, administrative regulations or relevant regulations of the China Securities Regulatory Commission, securities market into the measures need to be taken, secondary responsibility of the personnel may, in comparison with persons should bear the main responsibility, appropriate a lighter or mitigated punishment or be exempted from securities market into the measure.
    Nineth CSRC before the securities market into the measures taken, shall inform the securities market into the measures adopted by the parties, the reasons and basis, and shall inform the parties of a statement, and called for a hearing, the right to be heard.
    Article tenth securities market into the measures taken for the same offence and was found guilty of administrative penalties or, if its guilty judgments or administrative punishment decision is revoked or changed, thus affecting the securities market into the measure facts or legality, appropriateness, revoke or change the securities market according to law into action.
    11th SFC securities market into the measures taken by the Chinese people, the China Securities Regulatory Commission will be announced to the public by the China Securities Regulatory Commission Web site or specified media, and credit has been identified as the integrity of the securities market into the archive.
    12th the CSRC announced that individuals or units directly responsible for futures markets banned, you can refer to these provisions. 13th article of the regulations come into force on July 10, 2006.
                                                                                            March 3, 1997 the CSRC promulgated the provisional regulations on banning the entry into the securities market (Zheng Jian [1997]7) repealed simultaneously.