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Securities / Derivatives
Chinese Exchanges to List ‘Belt and Road’ Bonds
By Editors | 06/03/2018
Seven domestic and foreign companies have so far been granted approval to list Belt and Road bonds on the Shanghai and Shenzhen stock exchanges.
Enforcement
Hong Kong SFC to Focus on Corporate Fraud in 2018
By Editors | 27/02/2018
SFC’s recent newsletter on enforcement priorities details concern on false financial statements, IPO fraud and other sponsor failures.
Securities / Derivatives
China Stalls Launch of Registration Based IPO System
By Editors | 26/02/2018
Initially set for implementation this week, the market-oriented approach to listings will be pushed forward two years.
Securities / Derivatives
China Urges Major Shareholders, Mutual Funds to Buy Equities
By Editors | 13/02/2018
Major shareholders encouraged to buy more shares to stabilise the market and protect investors; mutual funds should avoid being net sellers.
Enforcement
China’s People’s Daily Attacks Regulators on Conflicts of Interest
By Editors | 07/02/2018
Official Communist Party newspaper says regulators should be barred from taking jobs at firms they have supervised in the past.
Enforcement
China Regulator Sees Spike in Market Manipulation
By Samuel Riding | 29/01/2018
CSRC representative says recent days have seen ‘unusual trading’ in some market segments and individual stocks.
Enforcement
2017 a Punishing Year for Naughty Traders in China
By Editors | 18/12/2017
China securities regulator has issued 206 administrative penalties in 2017, more than $1bn in fines; increasing cooperation with HK SFC.
Enforcement
Hong Kong Court Confirms Legality of SFC-CSRC Information Sharing
By Editors | 12/12/2017
Judge rejects legal challenge to transfer of documents seized by SFC during execution of a search warrant to the Chinese securities regulator.
Market Infrastructure
China Introduces New Risk Management Rules for Exchange Members
By Editors | 07/12/2017
New rules, which go into effect on 1 June next year, include restrictions on buy-in of securities companies, fund companies and other participants.
AML / KYC
HK SFC, CSRC Agree Investor ID System for Northbound Stock Connect
By Editors | 04/12/2017
SFC says Northbound scheme will be followed by Southbound investor identification, eventually spread to all SEHK investors.
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