CHINA SECURITIES REGULATORY COMMISSION

Enforcement

China Investigates Senior CSRC Official for Corruption

By Editors | 27/04/2024

Yao Qian was director of the CSRC’s Science and Technology Supervision Department. An investigation into a Bank of China official was also launched.

Securities / Derivatives

China Works to Curb Domestic Access to Offshore LGFV Debt

By Editors | 27/04/2024

Registrations stop for new credit-linked notes backed by offshore LGFV debt. QDLP fund managers asked about exposures to offshore LGFV debt.

Securities / Derivatives

China to Revise Securities Investment Fund Law – Report

By Mark Johnston | 25/04/2024

CSRC is working on revisions to China’s securities investment fund law to improve protections for investors and reduce capital market risks.

Securities / Derivatives

China to Enhance Capital Market Access for Tech Firms

By Editors | 24/04/2024

New measures aim to drive investment in domestic tech firms through IPOs, M&A, bond issuance, and PE/VC investments, including by foreign institutions.

Fintech / Regtech

China Launches Unified Account Inquiry Platform for Fund Investors

By Sanday Chongo Kabange | 23/04/2024

The platform provides a “one-stop” service for investors to query information about their holdings in public funds, regardless of fund manager or sales channel.

Securities / Derivatives

CSRC Issues New Rules on Investment Fund Fees and Disclosures

By Editors | 22/04/2024

The rules prohibit passive stock funds from using commissions to pay for research and lower the concentration of transaction fees that can be distributed to a single brokerage.

Enforcement

Hong Kong AFRC Probing Whistleblower Allegations Against PwC

By Editors | 22/04/2024

The probe was prompted by an anonymous “whistle-blower report” circulating in the media which PwC says contains “inaccurate statements and false allegations”.

Market Infrastructure

CSRC Announces New Measures to Enhance Stock Connect

By Manesh Samtani | 21/04/2024

The measures include relaxed ETF eligibility criteria, inclusion of REITs and RMB-denominated HK stocks, and more support for Mainland listings in HK.

Securities / Derivatives

CSRC Addresses Concerns Over New Delisting Rules

By Editors | 17/04/2024

Chinese small-cap stocks sold off for two days after the CSRC announced new delisting rules and dividend requirements for listed companies.