《【中英文对照版】行政处罚罚没款执行规则.docx》由会员分享，可在线阅读，更多相关《【中英文对照版】行政处罚罚没款执行规则.docx（18页珍藏版）》请在三一办公上搜索。
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。Article8Whereapartyappliesforadministrativereconsiderationorfilesanadministrativelawsuitagainstanadministrativepenaltydecisi
17、on,theenforcementoftheadministrativepenaltyshallnotbesuspended,exceptasotherwiseprescribedbythelaw.第九条确有经济困难，需 要暂缓或者分期缴纳罚款的，当 事人应当在行政处罚决定书确定 的履行期限届满前向作出行政处 罚决定的中国证监会或其派出机 构提出书面申请，并附能够证明 其经济困难的相关凭证和暂缓或 者分期缴纳罚款的计划。Article9Whereapartyindeedhasfinancialdifficultiesandneedstopostponethepaymentofafineorpa
18、yafineininstallments,thepartyshall,beforetheexpirationofthetimelimitforperformanceasspecifiedinthewrittenadministrativepenaltydecision,fileawrittenapplicationwiththeCSRCoritslocalofficethatmadetheadministrativepenaltydecision,andattachtherelevantvouchersthatcanproveitsfinancialdifficultiesandtheplan
19、forpostponingthepaymentofthefineorpayingthefineininstallments.第十条当事人为法人或非 法人组织的，罚款金额不低于 500万元，且存在下列情形之 一，可以申请暂缓或者分期缴纳 罚款：Article10Apartywhichisalegalpersonorunincorporatedorganizationmayapplyforthepostponedpaymentofafineorthepaymentofafineininstallmentsunderanyofthefollowingcircumstancesifthefineisn
20、otlessthanfivemillionyuan:(1) Itraisesfundsthroughthedisposalofassetsandothermethods,andtheturnovertimeisinsufficient.（一）通过处置资产等方式筹集 资金，周转时间不足的；（二）需要维持日常经营运转， 一次缴纳罚款后可能面临停工停 产的；(3) Other financial difficulties.（三）其他经济困难的情形。(2) Itneedstomaintaindailyoperationandmayfacesuspensionofproductionafterthepa
21、ymentofthefineinalumpsum.当事人为自然人的，罚款金额不 低于100万元，且存在下列情形 之一，可以申请暂缓或者分期缴 纳罚款：(1) Serious loss is caused by force majeure.（一）因不可抗力造成重大损失 的；Apartywhoisanaturalpersonmayapplyforthepostponedpaymentofafineorthepaymentofafineininstallmentsunderanyofthefollowingcircumstancesiftheamountofthefineisnotlessthano
22、nemillionyuan:（二）因本人或家庭成员重大疾 病需要大量资金治疗的；(3) Apersonoranyofhisorherfamilymembersneedsalargeamountofmoneyforthetreatmentofserious川ness.（三）因通过变卖、抵押房产等 方式筹集资金，资金周转时间不 足的；(4) Fundsareraisedthroughthesaleormortgageofthehousingpropertyandtheturnovertimeisinsufficient.（四）其他经济困难的情形。(5) Otherfinancialdifficul
23、ties.第十一条 当事人申请暂缓 或者分期缴纳罚款的，应向中国 证监会或其派出机构提交以下申 请材料：Article11Whereapartyappliesforthepostponedpaymentofafineorthepaymentofafineininstallments,thepartyshallsubmitthefollowingapplicationmaterialstotheCSRCoritslocaloffice:(1)Awrittenapplicationforthepostponedpaymentofthefineorthepaymentofthefineininsta
24、llments.（一）暂缓或者分期缴纳罚款申请书；(2)Thepartysidentificationmaterials.（二）当事人身份证明材料;(3)Materialsprovingthatthepartyhasfinancialdifficulties.（三）证明当事人存在经济困难的材料；(4)MaterialsprovingthatthepartyfallsundertherelevantcircumstancesinArticle10.（四）证明当事人符合第十条相关情形的材料；(5)Aletterofcommitmentthattherelevantmaterialsaretruea
25、ndeffective.（五）相关材料真实有效的承诺书；(6)Otherrelevantmaterials.（六）其他有关材料。Article12TheCSRCoritslocalofficeshallpromptlyverifythefollowinginformation,understandthepartyswillingnesstopayandabilitytoperform,rationallyjudgewhetherthepartymeetstheconditionsforthepostponedpaymentofafineorthepaymentofafineininstallm
26、ents,andnotifythepartiesafterperformingapprovalprocedures.第十二条中国证监会及其派出机构应及时核实以下情况，了解当事人缴款意愿及履行能力，合理判断当事人是否符合暂缓或者分期缴纳罚款的条件，经履行批准程序后，通知当事人。(1)Theamountofthefineorconfiscatedmoney.（一）罚没款金额大小;(2)Thepaymentofthefineorconfiscatedmoney.（二）罚没款缴纳情况;(3)Financialdifficulties.（三）经济困难情况;(4)Thefeasibilityofthepa
27、ymentplan.（四）缴款计划可行性;（五）行政处罚案件情节及社会 影响；(6) Thecircumstancesandsocialimpactoftheadministrativepenaltycase.（六）其他与案件执行相关的信 息。(7) Otherinformationrelatingtotheenforcementofthecase.第十三条经核实，认为当 事人提交的材料不全的，应当自 负责行政处罚执行工作部门收到 材料起10个工作日内通知当事人 补正。当事人在收到通知后15个 工作日内不予补正或补正材料仍 不符合要求的，不予受理。不符 合暂缓、分期缴纳罚款条件的， 经核实后作
28、出不予准许暂缓或分 期缴纳决定。Article 13 Wherethematerialssubmittedbyapartyarefoundtobeincompleteuponverification,thedepartmentinchargeoftheenforcementofadministrativepenaltiesshallnotifythepartytomakesupplementsorcorrectionswithintenworkingdaysofreceiptofthematerials.Ifthepartyfailstomakesupplementsorcorrections
29、within15workingdaysofreceiptofthenoticeorthesupplementsorcorrectionsstillfailtosatisfytherequirements,theapplicationshallnotbeaccepted.Iftheconditionsforthepostponedpaymentofthefineorthepaymentofthefineininstallmentsarenotmet,adecisionondisapprovingthepostponedpaymentofthefineorthepaymentofthefinein
30、installmentsshallbemadeafterverification.第十四条当事人暂缓缴纳 罚款的，期限最长不得超过六个 月。当事人分期缴纳罚款的，期 限最长不得超过三年。Article 14 Whereapartypostponesthepaymentofafine,themaximumperiodofpostponementshallnotexceedsixmonths.Ifapartypaysthefineininstallments,themaximumperiodofpaymentshallnotexceedthreeyears.第十五条 当事人申请暂缓 缴纳罚款或分期
31、缴纳罚款的，由 中国证监会负责人或其派出机构 负责人批准。Article 15 Whereapartyappliesforthepostponedpaymentofafineorthepaymentofafineininstallments,thepersoninchargeoftheCSRCoritslocalofficeshallapprovetheapplication.批准当事人暂缓或者分期缴纳罚Ifapartyisapprovedtopostponethepaymentofthefineorpaythefineininstallments,a款，应制作准予延/分期缴纳罚 款通知书，并
32、送达当事人。NoticeofApprovingthePostponedPaymentoftheFineorthePaymentoftheFineinInstallmentsshallbepreparedandservedontheparty.当事人经批准暂缓缴纳或分期缴 纳罚款的，如未按期履行，不得 再次申请。Ifapartyisapprovedtopostponethepaymentofthefineorpaythefineininstallments,itshallnotfileanewapplicationifitfailstodosoonschedule.第十六条在缴纳罚没款 时，如缴
33、款人与行政处罚决定书 中载明的当事人不一致，缴款人 应在汇款备注或附言栏中注明所 缴纳款项对应的当事人和行政处 罚决定书文号。Article 16 Wherethepayerisnotthepartyspecifiedinthewrittenadministrativepenaltydecisionwhenpayingafineorconfiscatedmoney,thepayershallindicatethepartyandthedocumentnumberofthewrittenadministrativepenaltydecisioncorrespondingtotheamountpa
34、idintheremarkscolumnorthepostscriptcolumn.第十七条当事人缴纳罚没 款后，中国证监会负责罚没款执 行工作的部门应按照国务院财政 部门有关规定，向当事人开具 非税收入一般缴款书。Article 17 Afterapartypaysafineorconfiscatedmoney,thedepartmentoftheCSRCinchargeofthecollectionofthefineorconfiscatedmoneyshall,inaccordancewiththerelevantprovisionsissuedbythefinancedepartmen
35、toftheStateCouncil,issueaGeneralLetterofPaymentofNon-taxRevenuetotheparty.第十八条当事人完全缴纳 罚没款后，中国证监会及其派出 机构应及时解除对当事人的权利 限制，包括解除已经查封、冻结 的财产等限制措施。Article 18 Afterapartypaysafineorconfiscatedmoneyinfullamount,theCSRCoritslocalofficeshalllifttherestrictionsontherightsofthepartyinatimelymanner,includingbutno
36、tlimitedtoliftingtherestrictivemeasuresforthepropertythathasbeenplacedundersealorfrozen.第十九条当事人在行政处 罚决定书载明的履行期限届满 后，未完全缴纳罚没款的，中国Article 19 Whereapartyfailstopaythepenaltyorconfiscatedmoneyinfullamountupontheexpirationofthetimelimitforperformanceasspecified in the written administrative penalty decis
37、ion, the CSRC or its local office shall give a reminder to the party in accordance with the law. The reminder shall be made in writing.证监会及其派出机构应依法对当 事人进行催告。催告应当以书面 形式作出。Article 20 The CSRC or its local office shall ascertain the following case information before giving a reminder:第二十条中国证监会及其 派出机构办理
38、催告之前，应当查 明以下案件信息：(1) The basic information on the penalty in the case, including but not limited to the document number of the written administrative penalty decision, the name or title of the party, contact information, penalty matters, and the time when the written administrative penalty decision
39、is made and served.（一）案件处罚基本信息，包括 但不限于：行政处罚决定书文 号、当事人姓名或名称、联系方 式、处罚事项、行政处罚决定书 作出及送达时间；(2) Payment of the fine or confiscated money.（二）罚没款缴纳情况;(3) The funds or securities frozen by the CSRC or its local office, the frozen amount, and the period of freezing.（三）证监会及其派出机构冻结 的资金或证券、冻结金额、冻结 期限；(4) Other e
40、nforcement.information related to the（四）其他与执行工作相关的信 息。Article21Aremindershallbeserveddirectlyontheparty.Ifapartyrefusestoacceptthereminderortheremindercannotbedirectlyservedontheparty,theremindershallbeservedinaccordancewiththerelevantprovisionsoftheCivilProcedureLawofthePeoplesRepublicofChina.第二十一条
41、催告书应当直 接送达当事人。当事人拒绝接收 或者无法直接送达当事人的，应 当依照中华人民共和国民事诉 讼法的有关规定送达。当事人在调查和处罚阶段同意并 签订送达地址确认书的，可以按Ifapartyagreestoandsignstheletterofconfirmationoftheserviceaddressattheinvestigationandpunishmentstage,thereminder may bedetermined in the照送达地址确认书确定的方式进 行送达，包括采取传真、电子邮 件等电子送达方式。servedinthemannerconfirmationofse
42、rviceaddress,includingfax,email,andotherelectronicservicemethods.第二十二条在催告过程 中，发现当事人存在合并、重 组、注销、解散、破产或者个人 下落不明，以及转移资产、涉嫌 逃避履行罚没款义务等情形，应 当收集、固定相关证据并作好记 录，视情况及时采取查封冻结、 债权申报等有利于罚没款执行的 措施。Article22Where,inthecourseofgivingareminder,itisfoundthatthepartyisinvolvedinabusinesscombination,restructuring,dereg
43、istration,dissolution,orbankruptcy,or,asanindividual,thewhereaboutsofthepartyisunknown,thepartyhastransferredassets,orissuspectedofevadingtheobligationtopaythefineorconfiscatedmoney,relevantevidenceshallbecollectedandfixed,recordsshallbeproperlykept,andmeasuresconducivetothecollectionofthefineorconf
44、iscatedmoneysuchasthefreeze,placementunderseal,anddeclarationofcreditorsrightsshallbepromptlytakenasthecasemaybe.第二十三条当事人在行政 处罚决定书载明的履行期限届满 后，未完全缴纳罚没款的，除准 予当事人暂缓或分期缴纳罚款的 外，中国证监会及其派出机构应 将其记入证券期货市场诚信档案 数据库，并可以依法申请司法机 关对当事人采取失信惩戒等限制 措施。Article23Whereapartyfailstopayafineorconfiscatedmoneyinfullamountup
45、ontheexpirationofthetimelimitforperformanceasspecifiedinthewrittenadministrativepenaltydecision,theCSRCanditslocalofficeshall,inadditiontopermittingthepartytopostponethepaymentofthefineorpaythefineininstallments,recordthecaseinthecreditarchivedatabaseofthesecuritiesandfuturesmarket,andmayapplytothej
46、udicialauthorityfortakingdisciplinaryactionsagainstthedishonestactandotherrestrictivemeasuresagainstthepartyinaccordancewiththelaw.第二十四条 经中国证监会 或其派出机构批准暂缓或分期缴 纳罚款的，应解除对当事人的限 制措施，并提示当事人在批准的 期限内缴纳罚款。未按期履行 的，应及时对当事人采取限制措Article24WheretheCSRCoritslocalofficeapprovesthepostponedpaymentofafineorthepayment
47、ofafineininstallments,therestrictivemeasuresimposedonthepartyshallbeliftedandthepartyshallbepromptedtopaythefinewithintheapprovedtimelimit.Ifthepartyfailstodosoonschedule,restrictive施。measuresshallbetakenagainstthepartyinatimelymanner.第二十五条中国证监会及 其派出机构应及时跟踪掌握当事 人申请行政复议或者提起行政诉 讼的情况。Article 25 TheCSRC
48、anditslocalofficesshallpromptlytrackandmasterthepartiesapplicationforadministrativereconsiderationorfilingofadministrativelawsuits.未完全缴纳罚没款的当事人在法 定期限内不申请行政复议或者提 起行政诉讼的，中国证监会及其 派出机构应自期限届满之日起三 个月内向人民法院申请强制执 行。Whereapartywhofailstopayafineorconfiscatedmoneyinfullamountdoesnotapplyforadministrativereconsiderationorfileanadministrativelawsuitwithinthestatutorytimelimit,theCSRCoritslocalofficeshallapplytothepeoplescourtforenforce
