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CSRC regulates content and format of asset management contracts executed by fund management companies

Greenberg Traurig LLP
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China
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October 12 2009

The China Securities Regulatory Commission (the CSRC) published the Rules on the Content and Formats of Fund Management Companies’ Specific Asset Management Contracts with Multiple Clients (the "Fund Management Rules") on August 4, 2009

Regulation of listing of corporate bonds on stock exchanges

Greenberg Traurig LLP
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China
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February 2 2010

Upon approval by the China Securities Regulatory Commission ("CSRC"), Shenzhen Stock Exchange ("SZSE") put the Circular on Promulgating the Rules of Shenzhen Stock Exchange on the Listing of Corporate Bonds (the "SZ Bond Listing Rules") into effect in the early November, and Shanghai Stock Exchange ("SSE") amended its Rules on the Listing of Corporate Bonds (the "SH Bond Listing Rules"

New provisions on domestic securities investments by QFII

Greenberg Traurig LLP
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China
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December 10 2012

For the purpose of further implementation of the Regulations on Domestic Securities Investments by Qualified Foreign Institutional Investors (“QFII Regulations”), the China Securities Regulatory Commission (CSRC) issued the Provisions on Certain Issues Concerning the Implementation of the Regulation on Domestic Securities Investments by Qualified Foreign Institutional Investors (“QFII Provisions”) on July 27, 2012, which took effect the same day

Shanghai Stock Exchange publishes revised regulation on securities listing

Greenberg Traurig LLP
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China
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October 12 2009

Shanghai Stock Exchange (SSE) revised the Tentative Examination and Approval Regulation on Securities Listing (the "Securities Listing Regulation") to specify the approval procedure for the listing of securities on SSE

SAFE tightens control over the collective operation of foreign exchange capital of domestic enterprises’ internal members

Greenberg Traurig LLP
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China
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February 2 2010

The Administration Provisions on Collective Operation of Foreign Exchange Capital of Domestic Enterprises' Internal Members ("SAFE Provisions"), published by the State Administration of Foreign Exchange ("SAFE") on October 15, 2009, regulate the use of self-owned foreign exchange capital by internal members of a domestic enterprise (including a foreign-invested enterprise), including inter-offering of foreign exchange capital, foreign currency pool management and spot exchange settlement and sales through the internal financial company

SAFE issues new foreign exchange administration rules on offshore securities investments

Greenberg Traurig LLP
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China
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February 2 2010

The State Administration of Foreign Exchange ("SAFE") issued the Circular on Issues Relevant to Foreign Exchange Administration on Offshore Securities Investment by Fund Management Company and Securities Company (the "OSI Circular") on September 29, 2009, which took effect on the same day

The opening of securities account by VC enterprises or other partnerships becomes possible

Greenberg Traurig LLP
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China
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February 2 2010

China Securities Depository and Clearing Corporation Limited ("SD&C") published the Operating Guidance on Opening Securities Account by Partnership Enterprises and Other Non-Legal-Person Entities (the "Securities Account Guidance") at the beginning of December

China released guidance on financial services to support key industries and reduce productivity excess

Greenberg Traurig LLP
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China
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February 2 2010

The People's Bank of China ("PBOC"), the China Banking Regulatory Commission ("CBRC"), the China Securities Regulatory Commission ("CSRC") and the China Insurance Regulatory Commission ("CIRC") jointly released the Guiding Opinions on Supporting the Adjustment and Revitalization of the Key Industries and Restraining the Productivity Excess of Certain Industries via Financial Services (the "Financial Services Guiding Opinions") on December 22, 2009

Mandatory filing of RMB funds in China

Greenberg Traurig LLP
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China
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February 10 2012

On November 23, 2011, the National Development and Reform Commission (NDRC) issued the Notice on Promoting the Standardized Development of Equity Investment Enterprises (the “PE Notice”) which took effect on the immediate date of issuance

China amends rules of establishing securities companies and subsidiaries

Greenberg Traurig LLP
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China
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December 10 2012

The China Securities Regulatory Commission released the Decision on Amending the Rules for Establishment of Securities Companies with Foreign Equity (“Securities Decision”) and the Decision on Amending the Trial Regulations for Establishment of Subsidiaries by Securities Companies (“Subsidiaries Decision”) on October 16, 2012, which took effect on the same day