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Market Infrastructure
HKEX Instructs Market to Stop Issuing BCANs to Mainland Investors
By Editors | 24/06/2022
The instructions follow a December 2021 consultation from the CSRC that said Mainland investors would not be allowed to engage in northbound Stock Connect trading.
Securities / Derivatives
CSRC Explains Rule Requiring Fund Firms to Set Up CCP Units
By Manesh Samtani | 23/06/2022
The requirement for public fund companies to establish an internal CCP unit is “not linked to data security”, a CSRC official said.
Securities / Derivatives
SSE, SZSE Issue Rules to Curb Convertible Bond Volatility
By Darien Choong | 22/06/2022
Daily price limits will be implemented for listed convertible corporate bonds. Excessive volatility will result in risk warnings.
Securities / Derivatives
China Regulators Issue Notice on Promoting Private Pensions
By Darien Choong | 17/06/2022
The notice encourages FIs to help individuals plan early for retirement and emphasises the need to improve income levels among the elderly.
Enforcement
Another Former CSRC Official Under Corruption Probe
By Editors | 14/06/2022
The probe is linked to another investigation involving an official who worked for the CSRC department that oversaw listings on the ChiNext board.
Securities / Derivatives
China: Banks, Fund Managers Directed to Rein In Executive Pay
By Editors | 14/06/2022
Fund houses are required to defer a portion of executive bonus payments. Senior staff are directed to invest their bonuses in financial products issued by their companies.
Securities / Derivatives
CSRC Orders Six Brokerage Firms to Correct Violations
By Editors | 14/06/2022
The CSRC has issued warning letters to six securities companies, ordering them to correct violations involving their overseas subsidaries.
Securities / Derivatives
Shanghai Bourse Streamlines Process for Credit Bond Issuance
By Editors | 09/06/2022
The SSE says the enhanced review process for credit bond issuance and listing is simpler, more clear, and more transparent.
Securities / Derivatives
Foreign Firms Express Concern Over CSRC Cybersecurity Rules
By Editors | 05/06/2022
Financial firms are reportedly concerned that proposed new rules on cybersecurity could make them vulnerable to hackers and present sector-wide risks.
AML / KYC
Former CSRC Official Sentenced to Death With Reprieve
By Editors | 05/06/2022
A former CSRC official and Communist Party city chief was found to have taken $41mn in bribes between 2004 and 2020.
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