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各证券监管办公室、办事处、特派员办事处:为了加强对证券投资咨询机构的监督管理,更好地贯彻落实《中华人民共和国证券法》、《证券、期货投资咨询管理暂行办法》及其《实施细则》,进一步推进证券投资咨询行业监管工作的制度化、规范化,现将《证券投资咨询机构检查制度》印发给你们,请结合辖区内的实际情况,认真贯彻执行。
Securities Regulatory Offices, Offices and Special Representative Offices: In order to strengthen the supervision and administration over securities investment advisory agencies and better implement the Securities Law of the People’s Republic of China, Interim Measures for the Administration of Securities and Futures Investment Consulting and its “ Implementation Rules, ”and further promote the institutionalization and standardization of the regulatory work in the securities investment consulting industry. We hereby issue and issue to you the“ Inspection System for Securities Investment Consulting Institutions ”, and conscientiously implement them in the light of the actual conditions in the jurisdiction.