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Enforcement
SFC Gains Access to Mainland Audit Papers for Investigations
By Editors | 04/07/2019
The MOF and CSRC agree to provide the “fullest assistance” in response to SFC requests for investigative assistance regarding the provision of audit working papers.
Market Infrastructure
China-Japan Cross-Border ETFs Start Trading
By Editors | 28/06/2019
Eight new cross-border ETFs have started trading on the Shanghai and Tokyo stock exchanges, just days after FTSE Russell started including China A shares in its indexes.
Securities / Derivatives
CSRC Allows Funds to Engage in Securities Lending
By Editors | 27/06/2019
Certain funds can lend stocks to the state-owned China Securities Finance Corp, which can then lend to brokers, who facilitate investor short selling.
Enforcement
Hong Kong SFC Releases 2018-19 Annual Report
By Editors | 24/06/2019
The SFC is working to introduce an investor identification regime for southbound Stock Connect trading in mid-2019, and considering adopting a market-wide circuit breaker mechanism.
Market Infrastructure
CSRC, PBOC Ask Leading Brokers to Support Smaller Peers
By Editors | 19/06/2019
Nine leading brokerages and fund managers have reportedly been asked to provide liquidity support to smaller securities firms and funds to help ease cash shortfalls.
Securities / Derivatives
SSE Issues Rules to Curb Abnormal Trading on New Board
By Editors | 19/06/2019
The rules are aimed at preventing large market fluctuations, while maintaining market liquidity, the Shanghai Stock Exchange said.
Market Infrastructure
CSRC, FCA Officially Launch Shanghai-London Stock Connect
By Editors | 18/06/2019
The Shanghai-London Stock Connect has opened for business, allowing listed companies in Shanghai and London to issue depositary receipts in each other’s markets.
Enforcement
SFC, CSRC to Facilitate Cross-Border Investigations
By Editors | 17/06/2019
The SFC and CSRC have agreed on a new cooperative framework to facilitate and coordinate cross-border investigations in “high impact or urgent cases”.
Securities / Derivatives
Shanghai’s New Tech Board to Commence Trading Within 2 Months
By Editors | 15/06/2019
China has held a launch ceremony for Shanghai’s new board, termed the ‘SSE STAR Market’. Trading is expected to commence within 2 months with about 30 companies.
Securities / Derivatives
SSE Approves First Three Companies to List on New Tech Board
By Editors | 06/06/2019
The three companies are among 117 that have so far applied for a listing. The three will now have to file listing registrations with the CSRC.
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