Page 84 - 期货和衍生品行业监管动态（2022年11月）

期货和衍生品行业监管动态

中国证监会对《证券期货违法违规行为举报工作暂行规定》（证监会公告

〔2020〕7 号）进行了修订，形成了《证券期货违法违规行为举报工作规定（征

求意见稿）》。

征求意见稿共 24 条，主要修订内容如下：一是完善举报奖励制度，加大举
报奖励力度。内部知情人员有重大贡献的，较大幅度提高奖励金额上限。二是有

机衔接 12386 服务平台制度。接收证券期货违法线索网络举报渠道调整为中国证

监会 12386 服务平台，并进一步明确举报接收转办的工作机制。三是强化处理举

报工作要求。符合条件的举报，举报处理单位予以登记并采取适当方式核实情况，

依法采取相关处理措施。

意见反馈截止时间为 2022 年 12 月 25 日。

China Securities Regulatory Commission Solicits Public Comments on the Rules
on Whistleblowing of Securities and Futures Laws and Regulation Violations

(Draft for Comments) (2022/11/25)

China Securities Regulatory Commission has amended the Interim Rules on

Whistleblowing of Securities and Futures Laws and Regulation Violation (CSRC

Announcement [2020] No. 7), based on which the Rules on Whistleblowing of

Securities and Futures Laws and Regulation Violation (Draft for Comments) was

formulated.

The Draft for Comments contains 24 provisions. the main amendments are as

follows:

Improving the whistleblower reward system via an increase in rewards. Insiders

with significant contributions who blew the whistle will be eligible for a substantial

increase in the maximum amount of rewards.

Connecting the 12386 Service Platform. The 12386 Service Platform will be the
new platform for reports of clues for illegal activities pertaining to securities and

futures. The working mechanism for processing reports received and referred will also

be clarified by the amendments.

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