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Market Infrastructure
China Mulls New Rules to Prevent Conflict of Interest at Ratings Agencies
By Editors | 09/01/2019
The new rules would prohibit firms from providing consulting services to companies they rate and require disclosures of any conflicts of interests.
Enforcement
China Securities Regulator Breaks Record with 2018 Penalties
By Editors | 08/01/2019
The CSRC imposed fines of over $1.55bn in 2018, with the largest number of cases relating to insider trading, illegal disclosures and market manipulation.
Securities / Derivatives
Chinese Bourses Limit Stock Suspensions to 10 Trading Days
By Editors | 01/01/2019
The 10 day limit for stock suspensions compares to three months allowed previously for major asset restructurings, and up to five or six months in other cases.
Market Infrastructure
UPDATED – China’s Asset Management Sector Set for Shake-Up
By Manesh Samtani | 28/12/2018
Up to 22 banks have announced plans to set up new wealth management subsidiaries which could end up taking market share from asset management firms.
Securities / Derivatives
China Exempts Mainland Investors from Tax on Hong Kong Funds
By Editors | 19/12/2018
Chinese regulators have applied a one year income tax exemption for mainland investors buying and selling Hong Kong funds through the mutual recognition of funds scheme.
AML / KYC
Stock Connect to Introduce Investor ID Regime for Southbound Trading
By Editors | 17/12/2018
Launched on 26 September for northbound trading, the investor identification regime will be introduced for southbound trading by the end of Q1 2019.
Market Infrastructure
Shanghai-London Stock Connect Launch Delayed – Report
By Editors | 07/12/2018
The launch has reportedly been delayed in connection with a Brexit parliamentary vote and a lack of clarity from Chinese regulators on technical issues.
Enforcement
China Unifies Enforcement of Bond Markets Under CSRC
By Editors | 05/12/2018
The move to unify regulation of the bond markets under one authority is aimed at improving the overall regulatory system and preventing systemic risk.
Securities / Derivatives
CSRC Approves UBS Majority Control of China Securities JV
By Editors | 04/12/2018
UBS will become the first foreign financial institution to take a controlling stake in a China-based securities joint venture, having now received formal approval from the CSRC.
Securities / Derivatives
China Eases Restrictions on Index Futures Trading
By Editors | 04/12/2018
The CFFEX has lowered margin requirements and trading costs on stock index futures, while also raising the daily trading limit on individual futures products.editors
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