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目次一、调查的法律授权二、正式调查的一般情况三、主要案件类型及其调查程序四、调查可能面临的异议和阻挠五、调查中所涉及的信息问题六、调查的终结七、和解的一般程序八、批准和解的条件九、围绕和解的考量十、结语我国于2006年初实施的新修订的《证券法》完善了证券监督管理机构的职责,从现场检查权、记录查询权、账户冻结权、交易限制权等方面增强了证监会的执法权限。然而基于和谐监管的目标,我们
Table of Contents I. Legal Authorization of Investigation II. General Information of Official Investigation III. Types of Major Cases and Investigation Procedures IV. Objections and Obstructions that May Be Faced with V. Objection and Obstruction to Investigation V. Information Issues Involved in the Investigation VI. Conclusion of the Investigation VII. General Procedures VIII. Conditions of Approval of Settlement IX. Considerations of Settlement 10. Conclusion The newly revised Securities Law of China, implemented in early 2006, has perfected the duties of the securities regulatory body, ranging from on-site inspection rights, record-keeping rights, and account freeze Rights, trading restrictions and other aspects of enhancing the SFC’s enforcement authority. However, based on the goal of harmonious regulation, we