证券、期货投资咨询管理暂行办法 INTERIM MEASURES FOR THE ADMINISTRATION OF SECURITIES AND FUTURES INVESTMENT CONSULT

al securities control offices(securities commissions)should establish a case and investigate the acts in violation of the provisions of these Measures and submit a report on the results of investigation to CSSCC for the record.

　　Chapter V Penalty Provisions

　　Article 32 Whoever engages in the securities

and futures investment consultancy business provided for in Article 2 of these Measures on one's own without the permission of CSSCC shall be ordered to suspend the business by the local securities control office(securities commission), and confiscated of the illegal gains and imposed a fine of the amount less than the equivalent value of the illegal gains.

　　Article 33 Any securities and futures investment consultancy agency that commits any of the following acts shall be imposed a fine of more than RMB 10,000 Yuan less than RMB 50,000 Yuan by the local securities control office(securities commission); where the circumstances are serious, the local securities control office(securities commission)should submit a report to CSSCC, and CSSCC shall impose a penalty of suspension or revocation of its business qualifications:

　　(1)there are false statements or major omissions in the documents and materials submitted to CSSCC;

　　(2)failure to fulfil the obligations of reporting and annual inspection in accordance with the provisions of these Measures;

　　(3)failure to go through the formalities for the changes in the relevant information of the agency which have taken place in accordance with the provisions of these Measures;

　　(4)securities and futures investment consultants of the agency having been subjected to administrative sanctions by the securities supervisory and control department for violation of the provisions of these Measures; and

　　(5)interfering with or obstructing the inspection and investigation of the local securities control office(securities commission) or concealing and destroying evidences.

　　Article 34 Any securities and futures investment consultancy agency that violates the provisions of Articles 18, 19, 20, 21, 22, 23, 24, 25 and 28 shall be penalized on one count or be concurrently administered a warning, confisticated of the illegal gains and imposed a fine of more than RMB 10,000 Yuan less than RMB 100,000 Yuan; where the circumstances are serious, the local securities control office(securities commission) should submit a report to CSSCC and CSSCC shall impose a penalty of suspension or nullification of the business qualification; where a crime has been constituted, criminal liability shall be investigated according to law.

　　Article 35 Any securities operations agency or futures brokerage firm that violates the provisions of Article 26 of these Measures shall be ordered by the local securities control office(securities commission) to make a rectification and concurrently administered a warning or imposed a fine of more than RMB 10,000 Yuan less than RMB 50,000 Yuan.

　　Article 36 Any securities and futures investment consultant that violates the provisions of Articles 18, 19, 20, 21, 22 and 24 of these Measures or fails to fulfil the obligations of reporting to and annual inspection by the competent securities department in pursuance of the provisions of these Measures shall be penalized on one count or concurrently administered a warning, confisticated of the illegal gains and imposed a fine of more than RMB 10,000 Yuan less than RMB 30,000 Yuan; where the circumstances are serious, the local securities control office(securities commission) shall submit a report to CSSCC which shall impose a penalty of suspension or nullification of its business qualification; where a crime has been constituted, criminal liability shall be investigated according to law.

　　Article 37 Any functionary of CSSCC or local securities control offices(securities commissions) that neglects the duty, abuses power, indulges in self-seeking misconduct constituting a crime shall be investigated of the criminal liability; where a crime has not been constituted, administrative sanctions shall be imposed according to law.

　　Chapter VI Supplementary Provision

　　Article 38 These Measures shall enter into force as of April 1, 1998

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