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Enforcement
Shanghai Bourse Probes First STAR Market Securities Fraud Case
By Editors | 12/04/2022
An optical storage equipment supplier is being investigated for failing to disclose that it granted loans to shareholders and other entities in exchange for pledged assets.
Securities / Derivatives
CSRC Takes Steps to Boost Confidence in Capital Market
By Manesh Samtani | 11/04/2022
The CSRC pledged to support companies’ capital raising efforts, encourage asset managers to buy up equities, and encourage listed companies to buy back shares and raise dividends.
Market Infrastructure
PBOC Unveils Draft Law to Establish Financial Stability Fund
By Darien Choong | 10/04/2022
The law will support the establishment of a guarantee fund for financial stability, while also strengthening accountability for regulatory violations and improving protections for market entities.
Securities / Derivatives
CSRC Proposes Rule Amendments to Resolve US Audit Dispute
By Darien Choong | 05/04/2022
The draft amendments will allow US regulators to inspect the audit working papers of Chinese companies listed in the US.
Enforcement
Former CSRC Official to Face Criminal Charges for Taking Bribes
By Editors | 04/04/2022
The former official accepted gifts, money, shares of companies, luxury goods and other personal benefits as bribes while he was tasked with reviewing IPO applications.
Securities / Derivatives
CSRC Says Talks With US Regulators Have Progressed ‘Smoothly’
By Editors | 03/04/2022
The CSRC was responding to a question about comments from SEC chair Gary Gensler which appeared to cast doubt that a deal on audit supervision was imminent.
Enforcement
CSRC Revokes Licences of Two Investment Consulting Firms
By Editors | 31/03/2022
The two well-established securities investment consulting firms were found to have disseminated false or misleading information to investors.
Enforcement
CSRC Fines Securities Firm Over Client Records Management
By Editors | 29/03/2022
Shenwan Hongyuan Securities failed to appropriately manage its online investment advisory business on Ant Group’s wealth management app.
Market Infrastructure
China to Establish Financial Stability Fund by September
By Editors | 29/03/2022
Regulators led by the PBOC plan to use the new financial stability fund as a backup to dispose of major risks which could have systemic effects.
Market Infrastructure
SSE, SZSE Issue Rules to Expand Stock Connect to Europe
By Editors | 29/03/2022
UK, Swiss and German listed companies can issue CDRs in China if they have a market cap of at least $3.14bn and a listing history of at least three years.
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