CHINA SECURITIES REGULATORY COMMISSION

AML / KYC

CSRC Proposes Tougher Rules for Private Investment Funds

By Editors | 12/12/2023

Qualified investors in PE and VC funds would have to invest at least CNY 3 million, three times the current threshold.

Securities / Derivatives

CSRC Proposes New Rules, Lower Fees for Public Funds Sales

By Editors | 10/12/2023

The rule changes seek to reduce the commission rates charged on public funds and improve the processes managers use to select distributors.

Fintech / Regtech

China Issues Operational Risk Guidelines for Securities Industry

By Manesh Samtani | 06/12/2023

Any major operational risk event that occurs must be reported to the SAC on the same day, along with related impacts and response measures.

Securities / Derivatives

CSRC Approves First Three Consumption-related REITs

By Editors | 27/11/2023

The new approvals come after the CSRC unveiled measures in March this year to foster the issuance of new REIT products.

Enforcement

CSRC Probes Private Funds Over False Disclosures

By Editors | 27/11/2023

The CSRC said two private funds engaged in a multi-layered investment scheme, with false information disclosure and possible criminal behavior.

Market Infrastructure

SFC, HKEX Formally Announce Plans to Launch China Treasury Bond Futures

By Editors | 26/11/2023

The launch of treasury bond futures in Hong Kong will further expand the toolkit for overseas investors to hedge their exposure to Mainland assets.

Chinese Regulators Pledge Renewed Support for Tech Industry

By Editors | 25/11/2023

Financial institutions were directed to improve their services and financing support for technology firms.

Securities / Derivatives

Mizuho Seeking Licence to Establish China Securities Unit

By Editors | 24/11/2023

If approved, Mizuho will become the third Japanese firm after Nomura and Daiwa to establish a securities company in China.

Securities / Derivatives

CSRC Issues Derivatives Trading Rules for Follow-up Consultation

By Manesh Samtani | 20/11/2023

Excessive speculative behaviour and overly complex products are restricted. Derivatives traders must meet suitability standards.