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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.
Market Infrastructure
Huatai Confirms Intention to Float London Depositary Receipts
By Editors | 06/06/2019
Huatai Securities reconfirming its intention to list depositary receipts on the LSE signals that the issues that delayed the Shanghai-London Stock Connect may now be resolved.
Securities / Derivatives
Sino-Japan ETF Connect Launched; Six Cross-Border ETFs Approved
By Editors | 27/05/2019
The announcement follows an ETF Connectivity Agreement signed by JPX and the SSE last month, where both agreed to establish an system for cross-listings of ETFs.
Enforcement
CICC Bankers Reprimanded for Altering IPO Documents
By Editors | 24/05/2019
Two CICC bankers have been named and shamed for altering the IPO application documents of a company seeking a listing on Shanghai’s new tech board.
Securities / Derivatives
China to Open Bond Futures Market to Domestic Banks
By Editors | 24/05/2019
Opening up bond futures trading to banks will improve volumes, liquidity, hedging tools, and price discovery across the broader bond market.
AML / KYC
Hong Kong, China Framework Comparison – KYC Standards
By Prasanna Venkatesan | 23/05/2019
Given the similarities between Hong Kong and China’s KYC frameworks, cross-border onboarding and account opening has become less of a challenge, say Synpulse’s Prasanna Venkatesan, Gregory Achache and Marina Mai.
Securities / Derivatives
China to Pilot Cross-Market Bond Index Funds
By Editors | 22/05/2019
The CSRC and PBOC are planning to launch pilot bond index mutual funds that can be traded either on stock exchanges or the interbank market.
Enforcement
UPDATED – Former CSRC Chief Under Investigation in Corruption Probe
By Editors | 20/05/2019
Liu Shiyu, the former head of the CSRC who was replaced in January, is now under investigation in a corruption probe.
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