The Functions Of China Securities Association (csa)
Conducting self-regulation over securities industry under the government's centralized and comprehensive supervision and management;
Bridging between the Government and the industry;
Providing services to members, protecting the lawful rights and interests of members;
Maintaining fair competition order in securities industry, promoting transparency, justice and fairness of the securities market and push forward healthy and steady development of the securities market.
The Fourth Member General Meeting approved the amendments of the Articles of Association of China Securities Association (CSA). Functions and duties of China Securities Association (CSA) under the amended Articles of Association include the following:
1. According to the "Securities Law", China Securities Association (CSA) shall enforce the following functions and duties:
Educating and organizing members to observe securities laws and regulations;
Maintaining members' lawful rights and interests according to law;
Communicating members' suggestions and demands to CSRC;
Collecting securities information and provides services to members;
Formulating rules to be observed by members, organizes professional
training's for securities professionals employed by members, and facilitating business exchanges among members;
Mediating on securities business related disputes among members or among members and their clients;
Organizing members to research on industrial development, operation and other related issues;
Supervising and inspecting members conducts;
Executing disciplinary measures on members violating laws, regulations and the Articles of Association of China Securities Association (CSA) according to relevant provisions.
2. Based on the executive regulations and CSRC's norms, China Securities Association (CSA) exerts the followed functions and duties:
Enacting self-regulatory rules,practicing standards and business Criteria;
Conducting self-regulatory administration on members and the securities professionals employed by members;
In charge of qualification examinations, ratification and practice registration for securities professionals;
Organizing qualification tests for senior managers of securities companies, competence exams for sponsors and organizing continuing education and training programs for such senior managers and sponsors;
In charging of securities information technology exchange and Training;
Organizing and coordinating members to guarantee information safety;
Conducting appraisal on information safety risks for important information systems of securities companies;
Organizing investigation and identification of trading system accidents;
Other responsibilities authorized by executive regulations and rules of CSRC.
3. China Securities Association (CSA) formulates professional standards for securities professionals, arranges qualification examinations and advancement authentication for securities professionals, and organizes international exchange and cooperation for the securities industry.
4. China Securities Association (CSA) represents Chinese securities industry to join relative international organizations and promotes mutual recognitions of relative qualifications. China Securities Association (CSA) conducts other obligations relating to self-regulation.
by: gang zhao
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