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Enforcement
Former CSRC Shandong Official Expelled from CCP For Graft
By Editors | 10/12/2019
Xu Tie was placed under investigation earlier this year, 6 years after his retirement from the Shandong bureau of the CSRC.
Securities / Derivatives
Shenzhen Exchange Issues Rules for Stock Options Pilot
By Editors | 09/12/2019
The launch of the stock options pilot is part of an initiative to diversify financial products and improve risk management and hedging tools in the Greater Bay Area.
Market Infrastructure
China Issues Measures to Clean Up Credit Ratings Industry
By Editors | 03/12/2019
The measures are part of China’s efforts to clean up the ratings industry and open up to foreign competition, in order to boost foreign participation in the domestic bond markets.
Securities / Derivatives
CSRC Formally Bars Manipulation of Futures Markets
By Editors | 27/11/2019
The CSRC prohibits four types of futures trading manipulation, including false trading and activities intended to spread false information or create confusion among investors.
AML / KYC
SSE, SZSE Propose Rules Changes to Implement Investor ID Regime
By Editors | 25/11/2019
Under the regime, brokers must assign a unique digital code that identifies each investor, who will be “deemed to agree” that their information may be transferred to the Hong Kong SFC and SEHK.
Securities / Derivatives
Nomura Joint Venture Secures China Securities Business Licence
By Editors | 25/11/2019
Nomura Orient International Securities, 51% owned by its Japanese parent, will be allowed to operate brokerage, investment consulting, proprietary trading, and asset management businesses.
Securities / Derivatives
CSRC Approves Launch of New Commodity Options Contract
By Editors | 25/11/2019
PTA, methanol, iron ore and gold options will launch in December and rapeseed meal options will launch in mid-January.
Securities / Derivatives
CSRC Solicits Comments on Revised Rules for Futures Exchanges
By Editors | 20/11/2019
The CSRC has revised its rules for futures exchanges to align with new developments, existing futures market practices, and international standards, as well as to improve front-line supervision.
Securities / Derivatives
CSRC to Allow Full Conversion of Non-tradeable Shares to H-Shares
By Editors | 19/11/2019
The move is seen as a way for state investors to exit some industries, and a way for some mainland companies to raise new funds and improve liquidity in their H-shares.
Enforcement
CSRC Revokes Licences of CEFC China Securities Unit
By Editors | 18/11/2019
CEFC Shanghai Securities Co used its own and client funds to provide financing to its parent and other affiliated companies for purchasing and leasing properties.
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