Measures Of China Securities Regulatory Commission On Administrative Reconsideration

Original Language Title: 中国证券监督管理委员会行政复议办法

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(November 25, 2002 China Securities supervision Management Committee makes 13th, announced) first chapter General first article to protection citizens, and corporate or other organization of lawful rights and interests of, guarantees securities supervision management institutions law exercise regulatory terms, according to People's Republic of China Securities method (following referred to securities method), and People's Republic of China administrative reconsideration method (following referred to administrative reconsideration method), legal and the other about provides, developed this approach.     A citizen, legal person or other organizations believe that the China Securities Regulatory Commission (hereinafter referred to as the China Securities Regulatory Commission) and its agency, authorized by a specific administrative act violations of their legitimate rights and interests according to law on administrative reconsideration bodies may apply for administrative reconsideration, administrative reconsideration organs accepting an application for administrative reconsideration, administrative reconsideration decision, these measures shall apply. Third administrative review organ in these measures is the China Securities Regulatory Commission.     The CSRC accepts an application for administrative reconsideration, to review the specific administrative act has been applying for administrative reconsideration and decision.     Fourth article China SFC is responsible for legal work of institutions (following referred to administrative reconsideration institutions) representative China SFC specific handle administrative reconsideration matters, perform following duties: (a) accepted administrative reconsideration application; (ii) to about organization and personnel survey forensics, check out file and information; (three) review application administrative reconsideration of specific administrative behavior whether legal and appropriate, developed administrative reconsideration decided; (four) processing or transferred on this approach eighth article by column about provides of review application;     (E) to the China Securities Regulatory Commission or its agencies, authorized under the law on administrative review and the acts as provided herein, in accordance with the recommendations dealing with the limits of authority and procedures, and (vi) other duties stipulated by laws and regulations. Fifth administrative reconsideration institutions to perform their duties of administrative reconsideration shall follow the principles of lawfulness, fair, open, timely, and convenient.     Any mistake shall be corrected to ensure correct implementation of laws and regulations.     Sixth administrative review officers shall perform the following obligations: (a) strict compliance with the Constitution, laws and regulations, (ii) review of administrative review cases based on facts and take law as the criterion, the law impartially and (iii) to protect the legal rights of participants in the administrative reconsideration; (d) to protect national interests and the legitimate rights and interests of citizens, legal persons or other organizations. Chapter II scope of administrative reconsideration article seventh administrative review to the applicant on the China Securities Regulatory Commission or its agency, authorized organizations, in accordance with the administrative review law article sixth of the scope of administrative reconsideration of specific administrative acts, may apply for administrative reconsideration. But on China SFC or its sent institutions, and authorized organization of following behavior cannot application administrative reconsideration: (a) China SFC or its sent institutions, and authorized organization on its staff made of administrative sanctions and other personnel processing decided; (ii) China SFC or its sent institutions, and authorized organization on securities, and Futures civil dispute made of mediation behavior; (three) not has forced force of securities, and Futures Administrative Guide behavior; (four) dismissed citizens, and corporate or other organization on China SFC or its sent institutions, and     Organization authorized by specific administrative acts appeal to repeat behavior (v) on the citizens, legal person or other organization does not have a practical impact on the rights and obligations of behavior.     Article citizens, legal persons or other organizations believe that the China Securities Regulatory Commission or its agency, authorized organizations of illegal specific administrative act on the basis of provisions, at the time of applying for administrative reconsideration of specific administrative acts, provisions can be made to the administrative reconsideration organ on the review application, but except for the laws, rules and regulations.     Chapter III application for administrative reconsideration Nineth citizens, legal persons or other organizations that the China Securities Regulatory Commission or its agency, authorize violations of the legitimate rights and interests of a specific administrative act of the Organization, you can know the specific administrative act within 60 days from the date an application for administrative reconsideration.     Delays due to force majeure or other just cause of statutory application period, approval by the administrative reconsideration organ, barriers continue to run from the date of the application period.     Tenth filed an application for administrative reconsideration in accordance with these measures of citizens, legal persons or other organizations are administrative review of applicants.     Citizens of the right to apply for administrative reconsideration, his near relatives may apply for administrative reconsideration.     Citizens without civil capacity of right to apply for administrative reconsideration or a person with limited civil capacity, their legal representative may apply for administrative reconsideration.     Right to apply for administrative reconsideration of the legal person or other organization of merger, Division or termination, under the rights of a legal person or other organization may apply for administrative reconsideration.     11th a citizen, legal person or other organization on the China Securities Regulatory Commission or its agency, authorized the Organization of specific administrative acts may apply for administrative reconsideration, the specific administrative act of China Securities Regulatory Commission or its agency, authorized organizations is the respondent.     China Securities Regulatory Commission in accordance with the laws and regulations grant to other agency or organization apply for administrative reconsideration of specific administrative acts, the institution or organization is authorized by the respondent.     Commissioned by the China Securities Regulatory Commission or its agency agency specific administrative acts or organizations may apply for administrative reconsideration, the institution of a delegate is the respondent.     Two or more agencies specific administrative act undertaken or authorized organizations may apply for administrative reconsideration, the joint agency or organization to formulate specific administrative acts are common on the respondent.     Provide a specific administrative acts being revoked, continues to exercise the powers of the institution or organization is to be the applicant does not continue to exercise the power of agency or organization, decided to withdraw the organ shall be the respondent. 12th and has an interest in applying for administrative reconsideration of specific administrative act of the other citizens, legal persons or other organizations may participate as third party application for administrative reconsideration.     Administrative reconsideration organs may also notify such persons as a third party to the administrative review.     Participate in the administrative review of the third party has the right to propose and take the necessary administrative reconsideration of the claim.     13th the applicant, the third party may appoint one or two agents to apply for and participate in the administrative review.     Agent when you apply for and participate in the administrative reconsideration, shall submit to the administrative reconsideration organ power of attorney signed by the client and show clients and agents of valid identity documents.     14th section of China Securities Regulatory Commission or its agency, authorized the Organization of specific administrative acts and administrative reconsideration shall be applied to the China Securities Regulatory Commission on administrative reconsideration.     Administrative review decision on the China Securities Regulatory Commission, may apply to the State Council for final or you can bring administrative proceedings.     15th the applicant may apply for administrative reconsideration, an application shall be submitted to the China Securities Regulatory Commission on administrative reconsideration. Applicants may apply for administrative reconsideration, may apply in writing, or orally.     Oral application, the administrative body for reconsideration shall make a written record, signed by the applicant.     An application for administrative reconsideration shall set forth the following: (a) the basic situation of the applicant, (ii) requests for administrative review, (iii) the main facts and reasons may apply for administrative reconsideration; (d) the address at which a reconsideration decision served; (e) applying for administrative reconsideration time. 16th applicants to administrative reconsideration bodies may apply for administrative reconsideration, administrative reconsideration organs have been accepted, statutory administrative reconsideration of the applicant within the time limit shall not revert to the courts; applicant filed a suit before the administrative litigation, has been accepted by the peoples Court shall apply for administrative reconsideration.     Administrative reconsideration organs and people's courts at the same time accepted, attended by the parties to participate in the administrative reconsideration or administrative proceedings.     Fourth chapter administrative reconsideration of accepted 17th article administrative reconsideration organ received administrative reconsideration application Hou, should in 5th within for review, on has following case one of of administrative reconsideration application, decided not accepted, making not accepted decided book and told applicants: (a) administrative reconsideration application over statutory term, and no due extended term reason of; (ii) no clear of was applicants of; (three) not has application people qualification of; (four) no specific of administrative reconsideration requests and main facts according to of;     (E) this approach shall not belong to the scope of administrative reconsideration of administrative reconsideration organs jurisdiction; (f) the applicant filed a suit before the administrative litigation, has been accepted by the peoples Court.     Except as provided in the preceding paragraph, an application for administrative reconsideration from the date of receipt of the administrative reconsideration shall be entertained.     18th the citizens, legal persons or other organizations shall apply for administrative reconsideration, administrative reconsideration decision is inadmissible or after accepting it than administrative review period does not respond, applicants of the inadmissibility decisions receipt date or the date of the expiration of the administrative review within 15th bring administrative proceedings in accordance with law.     19th article administrative reconsideration during, specific administrative behavior not stop implementation; but, has following case one of of, can stop implementation: (a) was applicants think need stop implementation of; (ii) administrative reconsideration organ think need stop implementation of; (three) applicants application stop implementation, administrative reconsideration organ think its requirements reasonable, decided stop implementation of; (four) legal provides stop implementation of.     Chapter fifth administrative review decision 20th written review of the approach to the principle of administrative reconsideration, but applicants requesting or administrative reconsideration bodies may consider necessary, and to relevant organizations and personnel to investigate the situation, listen to the views of the applicant and the respondent and the third party. 21st administrative reconsideration institutions shall from the date of filing of administrative reconsideration in the 7th, the copy of the application for administrative reconsideration or administrative reconsideration request copies of transcripts sent by the applicant.     Being the applicant shall receive a copy of the application or from the date of application copies of transcripts in the 10th, provide written responses, and submit the original specific administrative act of the totality of the evidence, evidence and other relevant information.    Written replies submitted by the applicant shall specify the following: (a) the basic situation of the respondent; (Ii) was applicants had made specific administrative behavior Shi by finds of facts, and master of evidence and the applies of legal, and regulations and the normative file, on about facts of statement should indicate corresponding of evidence and the evidence of source; (three) on applicants administrative reconsideration application in the statement of facts and reason article-by-article proposed reply and for corresponding of proof; (four) conclusion; (five) made written replies of time, was applicants signed chapter.     Relevant evidence was submitted by the applicant, according to according to regulations and other related materials shall be bound into volumes.     Specific administrative acts on the China Securities Regulatory Commission on administrative reconsideration, hosted by the China Securities Regulatory Commission-related business functions in accordance with the requirements to submit a written reply.     22nd the applicant and the third party may have access to the respondent's written responses, evidence, based on the specific administrative act, and other related materials, in addition to involving State secrets, business secrets or personal privacy, administrative reconsideration bodies may not refuse.     Check out material Shi, by following program and requirements handle: (a) to administrative reconsideration organ proposed application, and by administrative reconsideration organ law review agreed; (ii) check out Shi, due administrative reconsideration organ staff presence; (three) applicants, and third people shall not altered, and damage, and removal, and take go, and added check out of material; without administrative reconsideration organ agreed, shall not for copy, and remake, and RIP.     23rd in the administrative review process, the respondent to the applicant and any other relevant organizations or individuals is not allowed to collect evidence.     24th administrative reconsideration decision is made, the applicants to withdraw an application for administrative reconsideration, with justification, can be withdrawn withdrawn an application for administrative reconsideration, administrative review terminated.     Termination of administrative reconsideration, administrative reconsideration organ shall draw up a notice of the termination of administrative reconsideration, and notify the applicant and the third party and the respondent.     25th article in administrative reconsideration process in the, appeared following case one of of, administrative reconsideration organ should suspended on specific administrative behavior of review, and making administrative reconsideration suspended notice, notification applicants, and third people and was applicants: (a) administrative reconsideration method 26th article, and 27th article provides of case; (ii) as applicants of corporate or other organization terminated, yet determine right obligations bear people of; (three) application people death, need waiting for its near relatives showed that whether participate in administrative reconsideration of;     (D) the applicant is incapacitated, legal representative has not been determined, and (v) according to the judiciary, other administrative bodies, organization of administrative decisions or conclusions of the reconsideration decision, and (vi) other circumstances that warrant the suspension of administrative reconsideration.     26th the administrative reconsideration of the respondent should be specific administrative acts legality and appropriateness review, comment, agreed by the heads of administrative reconsideration organs or brainstorm after the adoption, as provided for in article 28th of the administrative reconsideration law of administrative reconsideration decision.     An application for administrative reconsideration, administrative review mechanism to review and put forward opinions, subject to the consent of the head of the administrative body for reconsideration decision; major, complex application for administrative reconsideration, administrative review mechanism to review and put forward opinions, the China Securities Regulatory Commission brainstorming the reconsideration and Litigation Committee, administrative reconsideration, reported to the heads of administrative reconsideration organs consent decision. 27th administrative body for reconsideration shall, within 60 days from the date of the acceptance of the application of administrative reconsideration decision; but the law of administrative reconsideration is limited except for less than 60 days.     Situation is complex, cannot make a reconsideration decision within the prescribed period, approved by the heads of administrative reconsideration organs, may be appropriately extended, and inform the applicant and the respondent but extend the deadline up to 30th.     28th administrative reconsideration service of instruments, in accordance with the provisions of civil procedure relating to the service.     Once the administrative reconsideration decision is served, shall come into legal effect.     29th the respondent shall perform the administrative reconsideration decision.     Respondent fails to perform or unwarranted delay in the fulfilment of decisions of administrative reconsideration, administrative reconsideration organ shall draw up a notice of the order to perform ordered to fulfill.     Administrative reconsideration decision for failure to comply is the applicant and related persons pursuant to the relevant laws and regulations by the CSRC and other relevant provisions of accountability.     Article 30th applicant fails to bring or carry out an administrative reconsideration decision, or failure to perform a final administrative decision, apply to a court for mandatory enforcement according to law by the CSRC.     Sixth chapter supplementary articles article 31st of administrative reconsideration organs and the respondent in the administrative reconsideration, a violation of the law on administrative review and the acts as provided herein, as provided for in the sixth chapter of the administrative review law, shall be investigated for legal responsibility.     32nd of administrative reconsideration organs in receiving, examining and deciding an application for administrative reconsideration process, you can use the Special seal for administrative reconsideration.     Administrative review of legal instruments, reference to the legal instrument of the China Securities Regulatory Commission on administrative reconsideration format.       33rd article this way come into force on January 1, 2003. Attached: China Securities supervision Management Committee administrative reconsideration legal instruments format (a) China Securities supervision Management Committee administrative reconsideration legal instruments format (ii) China Securities supervision Management Committee administrative reconsideration legal instruments format (three) China Securities supervision Management Committee administrative reconsideration legal instruments format (four) China Securities supervision Management Committee administrative reconsideration legal instruments format (five) China Securities supervision Management Committee administrative reconsideration legal instruments format (six) China Securities supervision tube Commission on administrative reconsideration law document format (VII) format of China Securities Regulatory Commission on administrative reconsideration law instruments (h) format of China Securities Regulatory Commission on administrative reconsideration law instruments (IX) format of China Securities Regulatory Commission on administrative reconsideration law instruments (10)

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