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Securities / Derivatives
China Releases Guidelines on Shanghai-London Stock Connect
By Editors | 15/10/2018
The guidelines set a minimum cap for London-listed firms seeking to issue depository receipts in China, among other requirements.
AML / KYC
China Issues AML/CTF Rules for Online Financial Institutions
By Editors | 12/10/2018
Online FIs required to verify client identities, monitor terrorist organisations and activities, properly store client information and transaction records, and report large-value and suspicious transactions.
Securities / Derivatives
ASIFMA Handbook Lays Out Reform Steps for China Securitisation Market
By Garima Chitkara | 03/10/2018
Industry body calls for streamlined securitisation framework, permanence of tax exemptions, and relaxation of rules for foreign investment into China’s ABS market.
Securities / Derivatives
China Tightens Rules on Offshore Operations of Brokerages, Funds
By Garima Chitkara | 01/10/2018
Brokerages and fund houses should ensure a “concise and transparent” network of overseas subsidiaries and ensure foreign units focus on the core business and not conduct any non-financial business.
Enforcement
Former CSRC Vice Chairman Jailed for 18 Years
By Editors | 01/10/2018
Yao Gang was sentenced for taking 70 million yuan in bribes from 2006 to 2015 and for pocketing 2.1 million yuan in insider trading gains.
Enforcement
China Details Penalties for Bond Underwriting Kickbacks
By Garima Chitkara | 21/09/2018
The CSRC will ban or impose penalties on firms engaging that help companies with low creditworthiness issue debt in exchange for under-the-table payments.
Securities / Derivatives
China Urges Analysts to Avoid “Negative Comments” on Stock Market
By Garima Chitkara | 20/09/2018
The CSRC is looking to avoid the spread of negative sentiment among retail investors as the Shanghai Composite Index falls to a three year low amid trade war tensions.
Securities / Derivatives
Chinese Brokers Receive Lukewarm Response from Expat Investors
By Manesh Samtani | 18/09/2018
Foreign nationals in China can now open trading accounts at local brokerages, but so far brokers and investors appear unenthusiastic, say reports.
Market Infrastructure
China Boosts Oversight over Domestic Ratings Agencies
By Manesh Samtani | 13/09/2018
PBOC, CSRC and NAFMII will collaborate on unified regulations and processes for ratings in the interbank and exchange-traded bond markets.
Securities / Derivatives
China Eases Rules on Stock Buybacks to Boost A-Share Market
By Manesh Samtani | 10/09/2018
An increase in stock buybacks by listed companies will help stabilise the A-share market following year-to-date losses of near 20%.
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