New guidelines clarify the due diligence obligations of sponsors. The CSRC has also set out five situations that would trigger on-site inspections of internal controls.
June 1, 2022The measures include support for IPO applicants, listing fee waivers, and regulatory support for securities firms.
May 24, 2022There have been rumours that foreign securities firms have been selling off stocks before they achieve the target prices specified in published research reports.
March 30, 2022All domestic and foreign banks are asked to integrate APIs in their workflows for reporting financial statements from January 2023.
March 23, 2022The LiVE Exchange will provide a new channel for SMEs and startups to raise capital. Only qualified investors will be allowed to participate in trading.
February 15, 2022The draft rules require investment banking intermediaries to strengthen risk control and strictly prohibit the use of below-market pricing to win business.
September 30, 2021The outstanding balance of short-term financing instruments issued by securities companies shall not exceed 60 percent of net capital.
August 2, 2021Sumitomo Mitsui Financial Group and SMBC Nikko Securities filed a joint application with the CSRC on Tuesday.
July 28, 2021The 29 firms that have entered the "white list" will receive lower levels of supervisory scrutiny and be allowed greater flexibility in their business processes.
June 2, 2021Longer trading hours are expected to increase participation from overseas investors, as well as local retail investors that trade after work.
May 18, 2021