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| Order of the China Securities Regulatory Commission | | 中国证券监督管理委员会令 |
| (No. 194) | | （第194号） |
| The Provisions on the Implementation of the Rules for the Undertakings Made by the Parties to Securities and Futures Administrative Law Enforcement, as deliberated and adopted at the 8th executive meeting of the China Securities Regulatory Commission for 2021 on December 22, 2021, are hereby issued and shall come into force on the date of issuance. | | 《证券期货行政执法当事人承诺制度实施规定》已经2021年12月22日中国证券监督管理委员会2021年第8次委务会议审议通过，现予以公布，自公布之日起施行。 |
| Yi Huiman, Chairman of the China Securities Regulatory Commission | | 中国证券监督管理委员会主席：易会满 |
| January 1, 2022 | | 2022年1月1日附件1：证券期货行政执法当事人承诺制度实施规定 |
| Annex 1: Provisions on the Implementation of the Rules for the Undertakings Made by the Parties to Securities and Futures Administrative Law Enforcement | | 附件2：《证券期货行政执法当事人承诺制度实施规定》起草说明 |
| Annex 2: Explanation on Drafting the Provisions on the Implementation of the Rules for the Undertakings Made by the Parties to Securities and Futures Administrative Law Enforcement | | 证券期货行政执法当事人承诺制度实施规定 |
| Provisions on the Implementation of the Rules for the Undertakings Made by the Parties to Securities and Futures Administrative Law Enforcement | | |
| Article 1 These Measures are developed in accordance with the Securities Law, the Measures for the Implementation of the Rules for the Undertakings Made by the Parties to Securities and Futures Administrative Law Enforcement (hereinafter referred to as the “Measures”), and other applicable laws and regulations for the purposes of regulating the work on the undertakings made by the parties to administrative law enforcement in securities and futures fields, maximizing the positive role of the rules for the undertakings made by the parties to administrative law enforcement in such aspects as protecting the lawful rights and interests of investors, enhancing the law enforcement efficiency, and maintaining the market order. | | 第一条 为了规范开展证券期货领域行政执法当事人承诺工作，充分发挥行政执法当事人承诺制度在保护投资者合法权益，提高执法效率，维护市场秩序等方面的积极作用，根据《证券法》《证券期货行政执法当事人承诺制度实施办法》（以下简称《办法》）等法律法规，制定本规定。 |
| Article 2 The CSRC shall form the Committee for the Examination of Undertakings Made by the Parties to Administrative Law Enforcement (hereinafter referred to as the “Committee”) to be responsible for organizing the work on the undertakings made by the parties to administrative law enforcement, and make collective decisions on accepting the applications for undertakings made by the parties to administrative law enforcement, signing undertaking recognition agreements, suspending or terminating case investigation, and other major matters. | | 第二条 中国证监会设立行政执法当事人承诺审核委员会（以下简称委员会），负责组织开展行政执法当事人承诺工作，并就受理行政执法当事人承诺申请、签署承诺认可协议、中止或者终止案件调查等重大事项进行集体决策。 |
| The Committee shall set the Office for the Examination of Undertakings Made by the Parties to Administrative Law Enforcement (hereinafter referred to as the “Office”) to be responsible for handling the specific work on undertakings made by the parties to administrative law enforcement. | | 委员会下设行政执法当事人承诺审核办公室（以下简称办公室），负责办理行政执法当事人承诺具体工作。 |
| The Office shall be mutually independent of the CSRC's case investigation department (hereinafter referred to as the “investigation department”) and the CSRC's case trial department (hereinafter referred to as the “trial department”). | | 办公室与中国证监会案件调查部门（以下简称调查部门）、中国证监会案件审理部门（以下简称审理部门）相互独立。 |
| Article 3 Where a party that applies for the application of the undertaking made by the party to administrative law enforcement falls under any circumstance specified in Article 7 of the Measures where the application is prohibited, the application shall not be accepted. | | 第三条 当事人申请适用行政执法当事人承诺，存在《办法》第七条规定的不得适用情形的，不予受理。 |
| For a case that has not been subject to necessary investigation, the application materials for the undertaking made by the party to administrative law enforcement submitted by the party shall not be accepted. | | 对于未经过必要的调查的案件，当事人提交行政执法当事人承诺申请材料的，不予接收。 |
| Article 4 Where a party applies for the application of the undertaking made by the party to administrative law enforcement, it shall submit the following application materials to the CSRC in both paper and electronic forms: | | 第四条 当事人申请适用行政执法当事人承诺的，应当以纸质和电子两种形式向中国证监会提交以下申请材料： |
| (1) The written application. | | （一）申请书； |
| (2) A photocopy of the business license or a photocopy of the identity certificate. | | （二）营业执照复印件或者身份证明文件复印件； |
| (3) A photocopy of the investigation notice. | | （三）调查通知书复印件； |
| (4) A photocopy of the case acceptance notice (if any). | | （四）立案告知书复印件（如有）； |
| (5) A photocopy of the advance notice of administrative punishment (if any). | | （五）行政处罚事先告知书复印件（如有）； |
| (6) The internal resolution on filing the application (if the party is an entity). | | （六）提出申请的内部决议（如当事人为单位）； |
| (7) A power of attorney and a photocopy of the identity certificate of the entrusted person (if any). | | （七）委托书及受托人身份证明文件复印件（如有）； |
| (8) Contact information and mailing address of the party or entrusted person. | | （八）当事人或者受托人的联系方式、通讯地址； |
| (7) Other materials as required by the CSRC. | | （九）中国证监会要求提供的其他材料。 |
| Article 5 The written application shall indicate: | | 第五条 申请书应当载明以下事项： |
| (1) the basic information on the party; | | （一）当事人的基本信息； |
| (2) the party's acceptance of investigation; | | （二）当事人接受调查的情况； |
| (3) major facts on the suspected violation of law committed by the party; | | （三）当事人涉嫌违法的主要事实； |
| (4) a detailed explanation that the case does not fall under the circumstance where the undertaking made by the party to administrative law enforcement is not applicable; | | （四）案件不存在不得适用行政执法当事人承诺情形的详细说明； |
| (5) the measure that the party has taken or undertakes to take, including correcting the suspected violation of law, compensating the relevant investors for losses, and eliminating damage or adverse effects; and | | （五）当事人已采取或者承诺采取的纠正涉嫌违法行为、赔偿有关投资者损失、消除损害或者不良影响的措施； |
| (6) other matters as required by the CSRC. | | （六）中国证监会要求载明的其他事项。 |
| Article 6 The Office shall, after receiving the application materials for the undertaking made by the party to administrative law enforcement submitted by the party, send a copy to the investigation department; and if the case has entered the trial stage, send a copy to the trial department as well. | | 第六条 办公室在收到当事人提交的行政执法当事人承诺申请材料后，应当抄送调查部门；如果案件已进入审理阶段，还应当抄送审理部门。 |
| Where the Office deems upon examination that the application materials are complete, it shall issue a receipt of the application materials to the party; and if it is of the opinion that the application materials are incomplete, it shall inform the party of the supplements and corrections to be made. | | 办公室经审核认为申请材料完整的，应当向当事人出具申请材料接收凭证；认为申请材料不完整的，应当告知当事人补正的内容。 |
| The Office may communicate with the party on the integrity of application materials. | | 办公室可以就申请材料的完整性与当事人进行沟通。 |
| Article 7 The Office shall, after issuing the receipt of application materials to the party, solicit the opinions of the investigation department concerning the matters on the application of the undertaking made by the party to administrative law enforcement; and if the case has entered the trial stage, shall also solicit the opinions of the trial department. | | 第七条 办公室在向当事人出具申请材料接收凭证后，应当就案件适用行政执法当事人承诺相关事项征求调查部门的意见；如果案件已进入审理阶段，还应当征求审理部门的意见。 |
| ．．．．．． | | ．．．．．． |
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