According to the relevant provisions of the "Regulations on the Openness of Government Information in People’s Republic of China (PRC)", the China Securities Regulatory Commission 201 is hereby promulgated.eightAnnual report on government information disclosure in. The contents of this report include voluntary disclosure of information, disclosure of information according to application, construction of information disclosure mechanism platform, information disclosure fees and reductions, application for administrative reconsideration and administrative litigation due to information disclosure, existing problems and improvement measures.
I. Active disclosure of information
201eightIn, China Securities Regulatory Commission and its dispatched offices made public government information through websites and other forms.14656strip,Which will be open to the public.5203strip,All agencies are open to the public.9453Article (For details of the information disclosure of the dispatched offices, please refer to the Unit 201 issued by the securities regulatory bureaus.eightAnnual report on government information disclosure). The government information voluntarily disclosed by the government organs mainly covers the following aspects:
(a) important regulatory policies and measures and dynamic information.
Publish major regulatory news in the column of "Highlights of CSRC"322Article. It mainly includes the important work meetings, important regulatory policies, listing of new products, investigation and handling of market violations, international regulatory cooperation and the progress of key work. Publish the order of the CSRC in the columns of "Order of the CSRC" and "Announcement of the CSRC"15Item, CSRC announcement40Item. The implementation of the "Notice of the General Office of the State Council on Doing a Good Job in the Disclosure of the Results of the Proposals of NPC Deputies and Committee Members Chinese People’s Political Consultative Conference" was made public.53A reply to the proposal of NPC deputies and the proposal of Committee member Chinese People’s Political Consultative Conference that I will handle.
(2) Administrative examination and approval information
Make a list of administrative examination and approval intermediary services and publish it on our website, including the name of the items, the basis for setting, the implementing agencies, fees and other information, so as to facilitate social supervision. Revise the service guide for administrative licensing matters.
In the audit of the company’s public offering of shares, the prospectus of the public initial public offering of shares (pre-disclosure and supplementary pre-disclosure)468The announcement of the meeting and the announcement of the audit results.33841 pieces of feedback on refinancing, 25 pieces of audit opinions of the audit committee, 6 pieces of questions and answers on issuance supervision, and 4 pieces of information disclosure quality spot check and lottery of the first-time enterprise. In the audit of unlisted public companies, there were 56 prospectus (declaration draft), 30 feedback opinions on applying for issuing shares to specific objects, 35 responses to feedback opinions on applying for issuing shares to specific objects, and 54 audit opinions on applying for issuing shares to specific objects. In the review of mergers and acquisitions of listed companies, there were 156 announcements of public mergers and acquisitions Committee meetings and audit results, and 169 feedback opinions on mergers and acquisitions. In the audit of corporate bond issuance, the prospectus of corporate bond offering (pre-disclosure) is made public.threeParts, feedbacktwentyPieces. Update and release the progress of initial public offering, merger and reorganization of listed companies, raising of securities investment funds, acceptance and review of administrative licensing matters such as securities and fund management institutions every week.
(three) inspection, punishment and administrative reconsideration information
Publish all kinds of inspection and law enforcement information in the column of "Inspection Bureau"24Article and case10Pieces. In the "Administrative Punishment Committee" column, the administrative punishment decision was issued.130A, market ban decision19Pieces. Publish the administrative reconsideration decision in the column of "Administrative Reconsideration"95Pieces.
(4) Market statistical information
Publish "Securities Market Express" in the column of "Statistical Data"110,Industry Classification of Listed Companies, 4 issues, Futures Market Weekly, 52 issues and Futures Market Monthly, 12 issues.
(5) Directory of legal institutions and information on regulatory cooperation.
existSecurities Regulatory Commission official websiteUpdate and release the list of securities companies, futures companies, public offering securities investment funds, Public Offering of Fund management institutions, subsidiaries of fund management companies engaged in asset management business of specific customers, custodians of securities investment funds, sales, payment and settlement institutions of publicly raised funds, custodians of qualified foreign institutional investors, qualified foreign institutional investors in RMB, qualified foreign institutional investors and securities investment consulting institutions.wait for.
(6) Annual Report of the CSRC
In the column of "Understanding CSRC", I will publish 201.sevenThe annual report of 2008 systematically introduces the supervisory responsibilities and structure of our association, as well as its work in regulatory reform, system construction, innovation and development, risk prevention, legal system construction, inspection and law enforcement, investor protection, opening up and international cooperation.
(7) Department budget and final accounts
201eightApril 200813Day, announced that I will 201.eightAnnual departmental budget. 201eightJuly 2, 20080Day, announced that I will 201.sevenAnnual departmental accounts. The public content is refined to the item-level subjects of expenditure function classification. According to the requirements of the Ministry of Finance, the "three public funds" have disclosed the budget of all financial allocations, as well as the purchase and possession of official vehicles, the domestic official reception situation, the reasons for the increase or decrease of the "three public funds" and other information, and detailed the delegations and numbers going abroad on business.
II. Information disclosure upon application
In 2018, I will receive a total of 1227 applications for government information disclosure. Among them, 93 were on-site applications, accounting for 7.58%; 537 online applications, accounting for 43.77%; There were 596 letter applications, accounting for 48.57%.
Responded to 1199 applications for government information disclosure. Among them, 427 pieces have been voluntarily disclosed, accounting for 35.61%; 98 cases agreed to answer publicly, accounting for 8.17%; 196 did not agree with the public reply, accounting for 16.35%; 181 cases not disclosed by this administrative organ, accounting for 15.10%; There were 218 cases where the application information did not exist, accounting for 18.18%.
Iii. Construction of information disclosure mechanism platform
Adhere to and improve the routine press conference system. 201eightIn, held throughout the year 4.eightA routine press conference, take the initiative to release news.322Article, responding to the number of hot spots or major public opinions of public concern76A.
On the one hand, continue to do a good job in official website construction and daily operation and maintenance, and adjust and set up new website columns.214Item. On the other hand, efforts were made to build a "two micro-ends" comprehensive publicity platform, successfully launched the official mobile phone client of the CSRC, and enhanced the information disclosure ability and influence. As of 201eightDecember 31, 2008, Weibo fans of CSRC.579Ten thousand, the number of WeChat subscriptionsseventy-twoTen thousand, 48 regular press conferences were released through Weibo WeChat, and Weibo was released.790Article, wechat431strip.
Four, information disclosure fees and exemptions
201eightIn 2008, we did not charge any fees for searching, copying and mailing related to the disclosure of regulatory information.
V. Application for administrative reconsideration and administrative litigation due to information disclosure
In 2018, I received a total of eight applications for administrative reconsideration involving the disclosure of government information by government agencies, one of which partially revoked the specific administrative act, and the rest decided to maintain the specific administrative act. There were 7 new administrative litigation cases of information disclosure with our agency as the defendant, and 6 cases were carried forward from previous years. Among them, 6 cases were upheld by specific administrative actions or judgments to reject the plaintiff’s claims, and the other 7 cases are still in the process of court hearing.
VI. Existing Problems and Improvement Measures
The ways and scope of voluntary disclosure of government information need to continue to meet the market demand, and the level of disclosure of regulatory information according to application needs to be further improved. 201nineIn, I will continue to follow the Opinions of the General Offices of the General Office of the Central Committee of the CPC and the State Council on Comprehensively Promoting the Openness of Government Affairs (No.8 [2016] of the Central Office) and the General Office of the State Council on Printing and Distributing.<关于全面推进政务公开工作的意见>Notice of the Implementation Rules (Guo Ban Fa [2016] No.80) promotes the information disclosure of the securities and futures regulatory system, strengthens policy interpretation, enhances the effectiveness of publicity, and promotes the healthy development of the capital market.