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各证券监管办公室、证券监管特派员办事处,上海、深圳证券监管专员办事处:最近,部分地方的证监会监管机构来函询问有关对证券市场违法违规行为进行经济处罚,其罚没收入如何缴库问题。经研究,现就有关事项通知如下:一、从一九九九年一月一日起,各地证监会监管机构在规定权限内对证券市场违法违规行为行使罚款权,罚没收入应上缴中央国库。二、各地证监会监管机构在下发处罚通知书时,应同时抄报中国证券监督管理委员会会计部和稽查局。
Securities Regulatory Offices, Securities Regulatory Commissioners’ Offices, Shanghai and Shenzhen Securities Regulatory Offices: In recent days, some regulatory authorities of the CSRC have inquired about the economic penalties for illegal and illegal acts in the securities market and how they confiscate the confiscated income . As of the research, we hereby notify you of the relevant issues as follows: 1. From January 1, 1999, the regulatory authorities of the securities regulatory authorities across the country have exercised the fine of violating the law and regulation in the securities market within the prescribed limits of authority and the confiscated revenue should be turned over to the central treasury. Second, all regulatory agencies throughout the Commission issued a notice of punishment, it should also copy to the China Securities Regulatory Commission and the Audit Department.