【中英文对照版】行政处罚罚没款执行规则.docx

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1、行政处罚罚没款执行规则RulesfortheCollectionofFinesandConfiscatedMoneyinAdministrativePenalties制定机关：中国证券监督管理委员会发文字号：中国证券监督管理委员会公告202351号公布日期：2023.08.31施行日期：2023.08.31效力位阶：部门规范性文件法规类别：证券监督管理机构与市场监管IssuingAuthority：ChinaSecuritiesRegulatoryCommissionDocumentNumber:AnnouncementNo.512023oftheChinaSecuritiesRegulato

2、ryCommissionDateIssued：08-31-2023EffectiveDate：08-31-20231.evelofAuthority：DepartmentalRegulatoryDocumentsAreaofLaw：SecuritiesRegulatoryInstitutionsandMarketSupervisionandManagementAnnouncementoftheRegulatoryCommissionChinascunt,s中国证券监督管理委员会公告(No.512023)(2023)51号)TheRulesfortheCollectionofFinesandCo

3、nfiscatedMoneyinAdministrativePenaltiesareherebyissuedandshallcomeintoforceonthedateofissuance.现公布行政处罚罚没款执行规则，自公布之日起施行。Annex:RulesfortheCollectionofFinesandConfiscatedMoneyinAdministrativePenalties附件：行政处罚罚没款执行规则ChinaSecuritiesRegulatoryCommission中国证监会August31,20232023年8月31日行政处罚罚没款执行规则RulesfortheColl

4、ectionofFinesandConfiscatedMoneyinAdministrativePenalties第一条 为规范中国证券监 督管理委员会（以下简称中国证 监会）行政处罚罚没款执行工 作，维护证券期货执法的权威性 和严肃性，根据中华人民共和 国证券法中华人民共和国期 货与衍生品法中华人民共和 国行政强制法中华人民共和 国行政处罚法及相关法律法 规，制定本规则。Article1TheseRulesaredevelopedinaccordancewiththeSecuritiesLawofthePeoplesRepublicofChina,theFuturesandDerivativ

5、esLawofthePeoplesRepublicofChina,theAdministrativeCompulsionLawofthePeoplesRepublicofChina,theAdministrativePenaltyLawofthePeoplesRepublicofChina,andrelevantlawsandregulationstostandardizethecollectionoffinesandconfiscatedmoneyinadministrativepenaltiesimposedbytheChinaSecuritiesRegulatoryCommission(

6、hereinafterreferredtoastheuCSRCn)andmaintaintheauthorityandseriousnessofsecuritiesandfutureslawenforcement.第二条本规则所称罚没款 系中国证监会及其派出机构行政 处罚确定的，当事人应缴纳的违 法所得和罚款。行政处罚当事人 履行缴纳罚没款义务和中国证监 会开展罚没款执行相关工作遵循 本规则进行，行政处罚其他内容 的执行遵照相应的规定实施。Article2ForthepurposesoftheseRules,ufineorconfiscatedmoney*1meanstheillegalinc

7、omeorfinepayablebyapartyasdeterminedinanadministrativepenaltyimposedbytheCSRCoritslocaloffice.ThepartytoanadministrativepenaltyshallfulfilltheobligationtopayafineorconfiscatedmoneyandtheCSRCshallcollectthefineorconfiscatedmoneyinaccordancewiththeseRules,andothercontentofadministrativepenaltiesshallb

8、eimplementedinaccordancewiththecorrespondingprovisions.第三条中国证监会及其派 出机构依法履行职责，有权查询 当事人的资金账户、证券账户、 银行账户以及其他具有支付、托 管、结算等功能的账户信息。Article3Inperformingtheirdutiesinaccordancewiththelaw,theCSRCanditslocalofficesshallhavetherighttoinquireaboutinformationontheparties*cashaccounts,securitiesaccounts,bankaccou

9、nts,andotheraccountswithpayment,custodial,settlement,andotherfunctions.如有当事人已经或可能转移、隐 匿违法资金、证券等涉案财产情 形的，可以按照中国证券监督 管理委员会冻结、查封实施办 法的规定及时申请采取冻结或 者查封措施。Ifapartyhasormayhavetransferredorconcealedanypropertyinvolvedinthecasesuchasillegalfundsandsecurities,anapplicationfortakingthemeasureoffreezeorplaceme

10、ntundersealmaybefiledinatimelymannerinaccordancewiththeprovisionsoftheMeasuresoftheChinaSecuritiesRegulatoryCommissionforFreezeandPlacementunderSeal.第四条案件调查结束后， 调查部门对当事人采取冻结、查 封措施的，应当在案件移交审理 部门时一并说明。Article4Afterthecompletionofthecaseinvestigation,iftheinvestigationdepartmenthastakenthemeasureoffree

11、zeorplacementundersealagainsttheparty,itshallmaketherelevantexplanationwhentransferringthecasetothetrialdepartment.第五条 在案件审理处罚过 程中，应同步关注当事人的财产 状况，评估可执行性。如有当事 人已经或可能转移、隐匿违法资 金、证券等涉案财产情形的，可 以根据案件审理情况及时申请冻 结或者查封，按照中国证券监 督管理委员会冻结、查封实施办 法的规定实施。Article5Intheprocessofcasetrialandpunishment,attentionshallbe

12、paidtothepropertystatusofthepartiesandenforceabilityshallbeassessedatthesametime.Ifapartyhasormayhavetransferredorconcealedanypropertyinvolvedinthecasesuchasillegalfundsandsecurities,anapplicationfortakingthemeasureoffreezeorplacementundersealmaybefiledinatimelymanneraccordingtothetrialofthecase,and

13、theapplicationshallbeimplementedinaccordancewiththeMeasuresoftheChinaSecuritiesRegulatoryCommissionforFreezeandPlacementunderSeal.前期调查部门如已采取冻结查封 措施的，应根据审理情况进行评 估并做好衔接工作。如有必要请 调查部门配合办理相关手续的， 调查部门应予以协助。Iftheinvestigationdepartmenthastakenthemeasureoffreezeorplacementundersealatthepreliminarystage,itsh

14、allmakeanassessmentaccordingtothetrialofthecaseandeffectivelyconductthetransitionalwork.Theinvestigationdepartmentshallprovideassistanceifitisnecessarytorequesttheinvestigationdepartmenttocooperateinhandlingtherelevantprocedures.第六条中国证监会及其派 出机构作出行政处罚决定时，应 在行政处罚决定书中载明罚没款 收缴的指定银行账户、缴纳方 式、履行期限等事项。Artic

15、le6Whenmakinganadministrativepenaltydecision,theCSRCoritslocalofficeshallspecifyinthewrittenadministrativepenaltydecisionsuchmattersasthedesignatedbankaccountforthecollectionofthefineorconfiscatedmoney,themethodofpayment,andthetimelimitforperformance.第七条当事人应在行政处 罚决定书载明的履行期限内，及 时足额缴纳罚没款。Article7Apart

16、yshallpromptlypayafineorconfiscatedmoneyinfullamountwithinthetimelimitspecifiedinthewrittenadministrativepenaltydecision.第八条当事人对行政处罚 决定不服，申请行政复议或者提 起行政诉讼的，行政处罚不停止 执行，法律另有规定的除外。Article8Whereapartyappliesforadministrativereconsiderationorfilesanadministrativelawsuitagainstanadministrativepenaltydecision,theenforcementoftheadministr