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Enforcement
CSRC Strengthens Industry Controls to Prevent Insider Trading
By Editors | 13/02/2021
Listed companies are required to establish a system for the registration and management of individuals who possess inside information.
AML / KYC
CSRC Targets ‘Shadow Shareholders’ in New Guidelines
By Editors | 12/02/2021
A 36 month lock up period is being introduced for investors who purchase shares in companies within 12 months before their IPO applications.
ESG / Sustainability
CSRC Proposes Enhanced Investor Relations Management Rules
By Editors | 10/02/2021
The guidelines emphasise four principles of investor relationship management, and include an obligation for listed companies to disclose ESG information to investors.
Market Infrastructure
CSRC Approves Merger of Shenzhen’s Main and SME Boards
By Editors | 07/02/2021
The move will simplify the structure of the Shenzhen bourse and help it to better meet the financing needs of enterprises at different stages of development.
AML / KYC
Greater Bay Regulators Sign MoU on Wealth Management Connect
By Manesh Samtani | 07/02/2021
The regulators agree to issue guidance to banks on product due diligence, investor protection, AML/CFT requirements and personal data protection, among other areas.
Market Infrastructure
UPDATED – HKEX to Acquire Stake in Guangzhou Futures Exchange
By Editors | 07/02/2021
The move, being the first-ever equity investment in a mainland futures exchange by a non-mainland investor, will help HKEX promote green and low-carbon markets across the region.
Securities / Derivatives
CSRC, Exchanges Issue Final Rules for Index Funds
By Editors | 01/02/2021
The rules seek to strengthen the professional competence of index fund managers, enhance the quality of underlying indexes used, and improve risk control.
Securities / Derivatives
CSRC Approves Establishment of Guangzhou Futures Exchange
By Editors | 24/01/2021
The new exchange is part of a policy blueprint released by mainland authorities last year to facilitate the development of the Greater Bay Area.
Enforcement
CSRC Revises Rules for Banning Access to Securities Market
By Editors | 24/01/2021
The draft rules will allow regulators to restrict an individual or entity from trading in all securities and securities investment funds nationwide for up to 5 years.
Enforcement
NAFMII Punishes Bond Underwriters Over SOE Default
By Editors | 21/01/2021
The three banks failed to conduct proper due diligence and verify cash that appeared to be abnormally restricted when underwriting Yongcheng Coal’s bonds.
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