楚雄彝族自治州预防职务犯罪暂行规定
云南省楚雄彝族自治州人大常委会
楚雄彝族自治州预防职务犯罪暂行规定
(2006年12月27日州九届人大常委会第三十三次会议通过)
第一条 为从源头上防止和治理腐败,预防职务犯罪,促进履行职务的工作人员公正、廉洁,根据有关法律、法规的规定,结合我州实际,制定本规定。
第二条 本规定所指预防职务犯罪,是指国家机关、企业、事业单位、社会团体等采取措施,防止工作人员利用职务便利实施犯罪所开展的工作。
第三条 本州行政区域内的预防职务犯罪工作适用本规定。
第四条 预防职务犯罪工作坚持“标本兼治、综合治理”的方针,实行行业预防、重点预防、专门预防、社会预防相结合,加强教育、健全法制、强化监督。
第五条 州、县(市)建立预防职务犯罪工作领导机构,设立办公室,由同级人民检察院负责办公室的日常工作。
国家机关、企业、事业单位、社会团体等设立预防职务犯罪工作领导小组。
预防职务犯罪工作实行统一领导、各负其责、社会各界共同参与的工作机制。
第六条 预防职务犯罪工作实行领导责任制。国家机关、企业、事业单位、社会团体等主要负责人为本部门、本单位预防职务犯罪工作的第一责任人,其他负责人根据分工负直接领导责任。
第七条 州、县(市)预防职务犯罪工作领导机构负责本辖区的预防职务犯罪工作,履行以下职责:
(一)领导、协调本辖区的预防职务犯罪工作;
(二)分析研究预防职务犯罪工作中存在的问题;
(三)研究制定预防职务犯罪的对策和措施;
(四)开展预防职务犯罪宣传教育,总结推广经验,表彰先进;
(五)定期通报预防职务犯罪工作情况;
(六)研究决定预防职务犯罪工作的其他事项。
第八条 国家机关、企业、事业单位、社会团体等在开展预防职务犯罪工作中,履行以下职责:
(一)依据法律法规,制定预防职务犯罪措施并组织实施;
(二)负责对工作人员进行道德、纪律和法制教育;
(三)建立健全人、财、物等内部管理制度,对易发职务犯罪的岗位和环节加强监督管理;
(四)执行工作人员选拔、招聘、录用规定;
(五)执行预算外资金、行政事业性收费和罚没收入等财经管理制度,建立单位负责人年度经济责任审计制度;
(六)实行事务公开等制度,接受群众监督;
(七)接受当地预防职务犯罪工作领导机构对预防职务犯罪工作的领导、指导、监督、检查,并如实提供相关情况和资料;
(八)发现职务犯罪线索及时向主管部门报告并移送司法机关;
(九)履行预防职务犯罪的其他职责。
第九条 各级人民政府应当实行政务公开制度,并接受公民监督。
行政执法部门应当公开执法职责、执法依据、执法程序、职业纪律、服务承诺以及违纪违法的投诉途径、处理办法。法律法规另有规定的从其规定。
第十条 侦查、检察、审判、监管机关,应当实行警务、检务、审判、执行公开制度,接受社会监督。
第十一条 企业和经营性事业单位应当实行重要事务公开,建立投资、资产处置、资金调度、物资采购、产品销售及其他重要经济活动决策和执行的监督制约机制。加强对人事、财务、供销等重点岗位人员的教育、管理和监督。
第十二条 金融、国企、税务、建设、司法、工商、医药、卫生、烟草、交通、水利、电力、林业、教育、国土资源等重点部门和行业应当结合自身特点,针对容易引发职务犯罪的重要环节和重点岗位,制定预防职务犯罪的具体措施并组织实施。
财政、审计、监察等部门要加强沟通配合,在各自职责范围内做好预防职务犯罪工作。
第十三条 社区(居民)委员会、村民委员会应当实行社务公开、村务公开和财务公开制度,制定并实施预防职务犯罪措施。
第十四条 履行职务的工作人员不得有下列行为:
(一)贪污贿赂、挪用、私分公共财产、侵占公私财物;
(二)滥用职权、玩忽职守、徇私舞弊;
(三)非法拘禁、刑讯逼供、报复陷害;
(四)其他违反职务廉洁性、合法性的行为。
第十五条 担任领导职务和经营管理的人员不得有下列行为:
(一)借选拔、招聘、录用任用工作人员之机谋取私利;
(二)利用职权或者职务上的影响,干扰司法机关或者行政执法部门依法履行职责;
(三)违反规定干预重大事项决策、建设工程招投标及物资采购活动,从中谋取私利;
(四)违反规定决定经济方面的重大问题、重大项目和较大额度资金的安排使用;
(五)利用职权为自已的配偶、子女、其他亲友贷款、借款、提供担保或者经营与本单位同类的业务而谋取非法利益;
(六)纵容、包庇配偶、子女、其他亲友和身边工作人员进行违法违纪活动;
(七)对本单位发现的案情,隐案不报、瞒案不查;
(八)其他违法、违纪行为。
第十六条 国家机关、企业、事业单位、社会团体等应当把预防职务犯罪列入工作计划和廉政建设责任制的内容,与其他工作目标一并实行考核。
考核单位负责人时,应当把预防职务犯罪工作作为考核内容。
第十七条 人民检察院指导、监督有关单位预防职务犯罪工作的开展:
(一)督促、协助有关单位开展预防职务犯罪的宣传、教育和咨询活动;
(二)督促、协助职务犯罪易发、多发的行业和领域开展专项预防和重点预防;
(三)调查分析职务犯罪发生的原因、特点和规律,研究预防职务犯罪的对策和措施;
(四)组织预防职务犯罪工作的检查、考评,总结、推广预防职务犯罪工作的经验和做法;
(五)开展有关预防职务犯罪的其他工作。
第十八条 公安机关、人民检察院、人民法院在依法查处、惩治职务犯罪过程中,发现有关单位在管理和制度上存在问题的,应当及时提出司法建议,督促整改。
监察、审计、财政等部门在依法履行职责过程中,发现有关单位在管理和制度上存在问题的,应当及时提出整改建议。
被建议单位收到建议后,应当及时整改,并将整改情况在30日内反馈建议机关。
第十九条 公民有权对制度不健全、管理混乱的单位提出意见和建议;有权对人民法院审判和执行公开、人民检察院检务公开、人民政府及其部门政务公开情况进行监督,提出意见和建议。
受理单位对提出建议、意见或者检举的人应当给予保护,不得打击报复,并将处理情况及时反馈。
第二十条 新闻媒体在征得单位主管部门及检察机关同意后,可如实报道预防职务犯罪工作情况;相关单位和人员应予配合、支持,自觉接受舆论监督。
第二十一条 违反本规定第八条的,由本辖区或主管单位预防职务犯罪工作领导机构责令限期整改,逾期未改的,予以通报批评。
第二十二条 国家机关、企业、事业单位、社会团体等发生职务犯罪案件,致使国家、集体财产和人民群众生命、财产遭受重大损失,或者造成恶劣影响的,由主管单位或主管部门给予负领导责任的人员纪律处分。对发生职务犯罪案件隐瞒不报的依照有关规定从重处罚。
第二十三条 对拒绝接受司法机关、监察机关、审计部门、财政部门提出整改建议的单位,由主管单位或主管部门责令限期改正,予以通报批评,并给予负领导责任的人员纪律处分,致使发生职务犯罪案件的依照有关规定从重处罚。
第二十四条 对违反本规定情节严重的单位,不得参加当年综合性先进的评选;单位负责人不得参加当年评先受奖。
第二十五条 单位和履行职务的人员违反本规定,构成犯罪的,依法追究刑事责任。
第二十六条 专门从事预防职务犯罪工作的部门和人员违反本规定的,依照有关规定由主管部门给予处分;滥用职权、玩忽职守、徇私舞弊,构成犯罪的,依法追究刑事责任。
第二十七条 州、县(市)预防职务犯罪工作经费列入同级财政预算;单位预防职务犯罪经费由本单位列支。
第二十八条 州、县(市)人民检察院应当向本级人大及其常委会报告预防职务犯罪工作情况。
第二十九条 州、县(市)人民代表大会及其常务委员会对执行本规定的情况进行检查监督。
第三十条 本规定自2007年1月1日起实施。
SECURITIES AND FUTURES COMMISSION ORDINANCE ——附加英文版
Hong Kong
SECURITIES AND FUTURES COMMISSION ORDINANCE
(CHAPTER 24)
ARRANGEMENT OF SECTIONS
ion
I PRELIMINARY
hort title
nterpretation
II SECURITIES AND FUTURES COMMISSION
ecurities and Futures Commission
unctions of Commission
onstitution of Commission
ommission may establish committees
taff of Commission
eneral powers of Commission
elegation and sub-delegation of Commission's functions
Advisory Committee
Directions to Commission
Annual report of Commission
Commission to furnish information
Financial year and estimates of income and expenditure
Accounts
Auditors and audit
Investment of funds
III SECURITIES AND FUTURES APPEALS PANEL
Constitution of Appeals Panel
Appeals (registration, forfeiture and notices)
Hearing of appeals by tribunal
Procedure for appeals
Case stated
IV ADDITIONAL REGISTRATION REQUIREMENTS
Applications under section 51 of Securities Ordinance or section
30 of
odities Trading Ordinance; supplementary provisions
Applicant under Securities Ordinance or Commodities Trading
Ordinance
urnish information to Commission
Certificates of registration to continue in force
Section 23 (2) and (3) to apply to inquiries under section 56 of
rities Ordinance or section 36 of Commodities Trading Ordinance
Registered persons to notify Commission where records etc. kept
Financial resources rules
Modification of financial resources rules in particular cases
V REGULATION OF REGISTERED PERSONS' BUSINESS, ETC.
Supervision
Information relating to transactions
Certification to High Court relating to non-compliance under
section
r 31 33. Investigations
Returns
Production of computerized information
Magistrate's warrant
Destruction etc. of documents
Powers of intervention
Restriction of business
Restriction on dealing with assets
Maintenance of assets
Provisions relating to notices under section 39, 40, 41 or 43
Withdrawal, substitution or variation of notices under section
39, 40
1 44. Appeals against notices under this Part
Winding-up orders
Receiving orders
VI SPECIAL PROVISIONS RELATING TO EXCHANGE COMPANIES AND
RING HOUSES 47. Transfer and resumption of functions
Information: Exchange Companies and clearing houses
Notice of closure or re-opening
Additional powers--restriction notices relating to Exchange
Companies
clearing houses
Additional powers--suspension orders relating to Exchange
Companies
clearing houses
VII FUNDING
Levies
Appropriation
Fees and other charges
VIII MISCELLANEOUS
Injunctions to restrain contraventions
Waiver or modification of requirements
Immunity, etc.
Liability of directors, etc.
Evidence
Preservation of secrecy, etc.
Service of notices
Penalties for offences
Prosecution of certain offences by Commission
Dissolution of Provisional Securities and Futures Commission
Limited
transfer of property
Transitional
DULE Functions of Commission to which section 9 does not apply
establish the Securities and Futures Commission and to amend the
law
ting to dealing in securities and trading in futures contracts;
and to
ide for connected or incidental matters.
he Ordinance other than sections 27 (1) to (8), 30, 31, 32 and
65 as
with item 1 (b) of paragraph 4 of Schedule 2 insofar as they
relate
he repeal of sections 122 and 123 of the Securities Ordinance
y 1989 L. N. 126 of 1989
remaining provisions: 1 August 1989] L. N. 230 of 1989
PART I PRELIMINARY
hort title
Ordinance may be cited as the Securities and Futures
Commission
nance.
nterpretation
his Ordinance, unless the context otherwise requires-
aring house" means a clearing house within the meaning of section
2
of the Commodities Trading Ordinance (Cap. 250) or a
recognized
ring house within the meaning of section 2 of the Securities
(Clearing
es) Ordinance (Cap. 420); (Amended 66 of 1990 s. 2; 68 of 1992
s. 20)
Commission" means the Securities and Futures Commission
established
ection 3; "Commodity Exchange" has the meaning assigned to
it by
ion 2 (1) of the Commodities Trading Ordinance (Cap. 250);
pany" means any company within the meaning of the Companies
Ordinance
. 32) and includes an overseas company within the meaning of
that
nance or any other body corporate incorporated in Hong Kong
having a
e capital;
a equipment" has the meaning assigned to it by section 27;
a material" means any document or other material used in
connection
or produced by data equipment;
ablishment day" means the day on which section 3 comes into
operation;
hange Company" means-
the Stock Exchange Company; or
the Futures Exchange Company,
"Exchange Companies" means both of those companies;
cutive director" and "non-executive director" mean a director
of the
ission who is appointed under section 5 as an executive director
and a
executive director thereof, respectively; "exempt dealer"
has the
ing assigned to it by section 2 (1) of the Securities Ordinance
(Cap.
;
ancial resources rules" means rules made under section 28;
"financial
" means the period specified in section 14 (1);
m" has the meaning assigned to it by section 2 (1) of the
Commodities
ing Ordinance (Cap. 250);
ction" includes power and duty;
ures contract" has the meaning assigned to it by section 2 (1)
of the
odities Trading Ordinance (Cap. 250);
ures Exchange Company" means the Exchange Company within the
meaning
ection 2 (1) of the Commodities Trading Ordinance (Cap. 250);
up of companies" has the meaning assigned to it by section 2 (1)
of
Companies Ordinance (Cap. 32);
etary Authority" means the Monetary Authority appointed under
section
f the Exchange Fund Ordinance (Cap. 66); (Added 82 of 1992 s. 6)
icer", in relation to a company, has the meaning assigned to
it by
ion 2 (1) of the Companies Ordinance (Cap. 32);
el" means the Securities and Futures Appeals Panel
established by
ion 18; "property investment arrangements" means
investment
ngements as defined in relation to property other than
securities by
ion 2 of the Protection of Investors Ordinance (Cap. 335);
ord or other document" includes--
a book, voucher, receipt or data material, or information
which is
rded in a non-legible form but is capable of being reproduced
in a
ble form; and (b) any document, disc, tape, sound track or
other
ce in which sounds or other data (not being visual
images) are
died so as to be capable (with or without the aid of other
equipment)
eing reproduced and any film (including a microfilm), tape or
other
ce in which visual images are embodied so as to be
capable (as
esaid) of being reproduced;
istered person" means a person who is registered under the
Securities
nance (Cap. 333), the Commodities Trading Ordinance (Cap.
250) (or
those Ordinances) as a dealer, dealing partnership,
dealer's
esentative, investment adviser, commodity trading adviser,
investment
sers' partnership, investment representative or a commodity
trading
ser's representative;
relevant Ordinances" means this Ordinance, Part II of the
Companies
nance (Cap. 32) (insofar as that Part relates, whether
directly or
rectly, to the performance of functions by the Commission in
relation
rospectuses and purchase by a company of its own shares) and Part
XII
hat Ordinance (insofar as that part relates, whether
directly or
rectly, to the performance of functions by the Commission in
relation
rospectuses), the Securities Ordinance (Cap. 333), the
Commodity
anges (Prohibition) Ordinance (Cap. 82), the Commodities
Trading
nance (Cap. 250), the Protection of Investors Ordinance (Cap.
335),
Stock Exchanges Unification Ordinance (Cap. 361), the Securities
aring Houses) Ordinance (Cap. 420), the Securities
(Disclosure of
rests) Ordinance (Cap. 396) and the Securities (Insider
Dealing)
nance (Cap. 395); (Amended 62 of 1990 s. 41; 68 of 1992 s. 20;
87 of
s. 2) "securities" has the meaning assigned to it by section 2
(1) of
Securities Ordinance (Cap. 333);
ck Exchange Company" means the Exchange Company within the
meaning of
ion 2 (1) of the Stock Exchanges Unification Ordinance (Cap. 361);
ding in commodity futures contracts" has the meaning assigned to
it by
ion 2 (1) of the Commodities Trading Ordinance (Cap. 250);
bunal" means a tribunal appointed under section 20;
fied Exchange" has the meaning assigned to it by section 2 (1)
of the
k Exchanges Unification Ordinance (Cap. 361).
PART II SECURITIES AND FUTURES COMMISSION
ecurities and Futures Commission
There is hereby established a body to be known as the Securities
and
res Commission.
The Commission shall be a body corporate with power to sue
and be
. (3) The receipts of the Commission shall not be subject to
taxation
r the Inland Revenue Ordinance (Cap. 112).
(a) The Commission shall provide itself with a seal.
The seal of the Commission shall be authenticated by the signature
of
chairman or deputy chairman of the Commission or, if both the
chairman
deputy chairman of the Commission are absent from Hong Kong or
unable
ct, the signature of some other director of the Commission
authorized
t to act in that behalf.
unctions of Commission
The Commission shall have the following functions--
to advise the Financial Secretary on all matters
relating to
rities, futures contracts and property investment arrangements;
without prejudice to any duties imposed or powers conferred
on any
r person in regard to the enforcement of the law
relating to
rities, futures contracts and property investment arrangements,
to be
onsible for ensuring that the provisions of the relevant
Ordinances,
the provisions of any other Ordinance so far as they
relate to
rities, futures contracts and property investment
arrangements, are
lied with;
to report to the Financial Secretary the occurrence of any dealing
in
tion to securities which it reasonably believes or suspects to
be an
der dealing within the meaning of section 9 of the Securities
(Insider
ing) Ordinance (Cap. 395); (Amended 62 of 1990 s. 42)
to be responsible for supervising and monitoring the activities
of the
ange Companies and clearing houses;
to take all reasonable steps to safeguard the interests of
persons
ing in securities or trading in futures contracts or entering
into
erty investment arrangements;
to promote and encourage proper conduct amongst members
of the
ange Companies and clearing houses, and other registered persons;
to suppress illegal, dishonourable and improper practices in
dealing
ecurities, trading in futures contracts, entering into
property
stment arrangements, and the provision of investment advice or
other
ices relating to securities, futures contracts and property
investment
ngements;
to promote and maintain the integrity of registered
persons and
urage the promulgation by registered persons of balanced and
informed
ce to their clients and to the public generally;
to consider and suggest reforms of the law relating to
securities,
res contracts and property investment arrangements;
to encourage the development of securities and futures markets
in Hong
and the increased use of such markets by investors in Hong Kong
and
where; (k) to promote and develop self-regulation by market
bodies in
securities and futures industries;
subject to the provisions of this Ordinance, to co-operate with
and
st authorities or regulatory organizations, in Hong Kong or
elsewhere,
are concerned with securities and futures, or with banking,
insurance
ther financial services or with the affairs of corporations;
(Added 67
991 s. 2)
to perform any other functions conferred by or under
any other
nance.
As regards any function, the Commission may, for the
guidance of
stered persons and others, prepare and cause to be published in
the
tte guidelines indicating the manner in which, in the absence of
any
icular consideration or circumstance, it proposes to
perform the
tion.
The Commission may from time to time engage such
consultants or
sers as it may consider necessary to assist the Commission
in the
ormance of its functions. (4) Nothing in subsection (1) (k)
shall be
rded as limiting or otherwise affecting any other function
of the
ission.
onstitution of Commission
Subject to subsection (2), the Commission shall consist of a
chairman
inted by the Governor and such uneven number, not being less than
7,
ther directors so appointed as the Governor may determine; and
when
number of such other directors ceases to be an uneven
number the
rnor shall make such appointment or appointments as may be
necessary
omply with this subsection.
Half of the directors of the Commission, including the chairman,
shall
ppointed to be executive directors and the remainder
shall be
inted to be non-executive directors.
The Governor may appoint an executive director to be deputy
chairman
he Commission.
(a) If no appointment has been made under subsection (3) or if
the
ce of deputy chairman of the Commission is vacant, the
Financial
etary may designate an executive director to act as chairman of
the
ission during any period during which the chairman of the
Commission
nable to act as chairman due to illness or other incapacity
or is
nt from Hong Kong.
A designation under this subsection shall cease when revoked
by the
ncial Secretary or an appointment is made under
subsection (3),
hever first occurs. (5) The terms and conditions of office
of a
ctor of the Commission shall be such as the Governor may
determine.
A director of the Commission may at any time resign his
office by
er sent to the Governor.
A director of the Commission shall be paid by the Commission
such
neration, allowances or expenses as the Governor may determine.
The Governor may by notice in writing remove from office any
director
he Commission whose removal appears to him to be desirable
for the
ctive performance by the Commission of its functions.
Meetings of the Commission shall be held as often as may be
necessary
the performance of its functions, and may be convened by the
chairman
he deputy chairman or any 2 other directors.
If the office of chairman of the Commission is vacant or the
chairman
he Commission is unable to act as chairman due to illness or
other
pacity or is absent from Hong Kong the deputy chairman or an
executive
ctor designated under subsection (4) shall act as chairman
in his
e.
At a meeting of the Commission--
the chairman shall be chairman of the meeting; or
if the chairman is not present, the deputy chairman shall be
chairman
he meeting; or
if neither the chairman nor the deputy chairman is
present, the
ctors present shall choose one of their number to be chairman of
the
ing.
The quorum for a meeting of the Commission shall be 4 directors
of
2 shall be executive directors and 2 shall be non-
executive
ctors.
Each director of the Commission present at a meeting thereof
shall
a vote. (14) (a) Every question for decision at a meeting of
the
ission shall be determined by a majority of votes of the
directors
ent and, in the event that voting is equally divided,
subject to
graph (b) the chairman of the meeting shall have a casting vote.
(b)
chairman of a meeting shall not exercise a casting vote until
after he
consulted the Financial Secretary as regards that exercise.
The Commission may act notwithstanding a vacancy among its
directors.
The Commission shall organize and regulate its
administration,
edure and business.
ommission may establish committees
The Commission may establish standing or special committees
and may
r or assign to any such committee any matter for
consideration,
iry or management by the committee.
The Commission may appoint any person to be a member of any
committee
blished under this section, whether that person is a director of
the
ission or not. (3) Any reference or assignment under
subsection (1)
every appointment under subsection (2) may be withdrawn or
revoked by
Commission at any time, and no such reference or assignment
shall
ent the performance by the Commission of any of its functions.
A committee established under this section may elect any
of its
ers to be chairman and may regulate its own procedure and
business;
in the exercise of its powers under this subsection such
committee
l be subject to and act in accordance with any direction given
to the
ittee by the Commission for the purposes of this subsection.
Meetings of a committee established under this section shall be
held
uch times and places as the chairman of that committee may,
subject to
ection (4), determine.
taff of Commission
The Commission may from time to time employ persons who shall be
paid
remuneration and allowances and shall hold their employment on
such
r terms and conditions as the Commission shall determine.
The Commission may make arrangements for or in respect
of the
ision and maintenance of such schemes (whether contributory or
not)
the payment to its employees and their dependants of such
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