CHINA SECURITIES REGULATORY COMMISSION

Securities / Derivatives

CSRC to Roll Back Private Placement Restrictions – Report

By Editors | 03/05/2019

The CSRC is reexamining February 2017 restrictions on private placements, to address difficulties for listed companies in financing debt roll-over, working capital and expansion.

Market Infrastructure

HK-China Stock Connect to Include Dual Class Shares from July

By Editors | 02/05/2019

HKEX and the CSRC have agreed to allow listed companies with dual class shares to be included in the southbound Stock Connect trading starting in July.

Market Infrastructure

Hong Kong, China Framework Comparison – Investment Suitability

By Prasanna Venkatesan | 01/05/2019

Synpulse’s Prasanna Venkatesan, Gregory Achache and Marina Mai compare the investment suitability frameworks of Hong Kong and mainland China, and their pain points.

Enforcement

Chinese Fund Management Group Faces Police Investigation

By Editors | 30/04/2019

Jay Wei, chairman of JC Group, which controls multiple fund management units, is being investigated by Chinese police for potentially illegal multi-billion-dollar fundraising activities.

Enforcement

Goldman, Gao Hua Securities Agree to $22.3m CSRC Settlement

By Editors | 24/04/2019

Goldman Sachs and its Chinese partner Gao Hua Securities have agreed to an administrative settlement of 150 million yuan for internal control breaches.

Market Infrastructure

China, Japan Sign Agreement to Facilitate ETF Cross-Listings

By Editors | 23/04/2019

The Shanghai Stock Exchange and Japan Exchange Group have signed an ETF Connectivity Agreement to streamline investment in the each other’s markets.

Securities / Derivatives

Seven Funds Get CSRC Approval for Shanghai Sci-Tech Board

By Editors | 23/04/2019

The first seven funds have been approved by the CSRC to invest in stocks on Shanghai’s new science and technology innovation board.

Securities / Derivatives

China Further Loosens Restrictions on Index Futures Trading

By Editors | 22/04/2019

Margin requirements, intraday volume restrictions and transaction fees have all been reduced, according to a statement from the CFFEX.

Securities / Derivatives

CSRC Asks Brokers to Issue CDS on Private Company Bonds

By Editors | 19/04/2019

The move is aimed at helping private companies to raise funds on the market. CDS products, though new to China, will provide assurances against default.