|
SN |
Formulating organization |
Regulation name |
Date of issue |
Date of implementation |
Date of revision |
Remark |
|
1 |
State Council Securities Committee |
Rules for the Implementation of Regulations on Domestically Listed Foreign Shares of Stock Companies |
1996-05-03 |
1995-12-25 |
|
Zheng Wei Fa [1996] No.9 |
|
2 |
The CSRC |
Provisional Regulations on the Administration of Qualification of Domestic and Overseas Securities Operating Institutes for Engaging in Foreign-capital Share Business |
1996-10-23 |
1996-12-01 |
|
Zheng Jian [1996] No.5 |
|
3 |
The CSRC |
Administrative Measures on the Self-operating Business of Securities Operating Institutes |
1996-10-23 |
1996-10-23
Article 20 would be implemented on and from February 1, 1997. |
|
Zheng Jian [1996] No.6 |
|
4 |
The CSRC |
Certain Regulations on Report System of Stock Exchange |
1997-11-19 |
1997-11-19 |
|
Zheng Jian Jiao Zi [1997] No.21 |
|
5 |
The CSRC, Press and Publication Administration, Ministry of Posts and Telecommunications, Administration of Radio, Film and Television, State Administration for Industry & Commerce, Ministry of Public Security |
Certain Regulations on Enhancing Administration of Securities and Futures Information Dissemination
|
1997-12-12 |
1998-04-01 |
|
Zheng Jian [1997] No.17 |
|
6 |
The CSRC |
Rules for Implementation of Provisional Regulations on Administration of Securities and Futures Investment Consultation |
1998-04-23 |
1998-04-23 |
|
Zheng Jian [1998] No.14 |
|
7 |
The CSRC |
Certain Opinions on Further Enhancing Supervision on Securities Companies |
1999-03-16 |
1999-03-16 |
|
Zheng Jian Ji Gou Zi [1999] No.14 |
|
8 |
The CSRC |
Administrative Measures on Representative Offices of Foreign Securities Institutes Established in China |
1999-04-21 |
1999-04-21 |
|
Zheng Jian Ji Gou Zi [1999] No. 26 |
|
9 |
The CSRC |
Inspection System of Securities Investment Consultation Institute |
1999-07-21 |
1999-07-21 |
|
Zheng Jian Ji Gou Zi [1996] No.65 |
|
10 |
The CSRC |
Provisional Administrative Measures on Online Securities Entrustment |
2000-03-30 |
2000-03-30 |
|
Zheng Jian Xin Xi Zi [2000] No.5 |
|
11 |
The CSRC |
Approval Procedures for Online Entrustment Business of Securities Companies |
2000-04-29 |
2000-04-29 |
|
Zheng Jian Xin Xi Zi [2000] No.6 |
|
12 |
The CSRC, Ministry of Finance |
Implementation Rules for Review and Approval on Converting Treasure Bonds Intermediary Institute of Ministry of Finance into Securities Operating Units |
2000-05-24 |
2000-05-24 |
|
Zheng Jian Ji Gou Zi [2000] No.96 |
|
13 |
The CSRC |
Administrative Measures on Transaction Settlement Funds of Clients |
2001-05-16 |
2002-01-01 |
|
Decree No.3 of CSRC |
|
14 |
The CSRC |
Administrative Measures on Stock Exchange |
2001-12-12 |
2001-12-12 |
|
Decree No.4 of CSRC |
|
15 |
The CSRC |
Administrative Measures on Securities Companies |
2001-12-28 |
2002-03-01 |
|
Decree No.5 of CSRC |
|
16 |
The CSRC |
Rules on Establishment of Securities Company with Foreign Equity Participation |
2002-06-01 |
2002-07-01 |
|
Decree No.8 of CSRC |
|
17 |
The CSRC |
Measures of China Securities Regulatory Commission on Administrative Reconsideration |
2002-11-25 |
2003-01-01 |
|
Decree No.13 of CSRC |
|
18 |
The CSRC |
Administrative Measures on Qualification of Securities Practitioners |
2002-12-16 |
2003-02-01 |
|
Decree No.14 of CSRC |
|
19 |
The CSRC |
Provisional Measures on Administration of Bonds of Securities Companies |
2003-08-29 |
2003-10-08 |
2004-10-18 |
Decree No.15 of CSRC |
|
20 |
The CSRC |
Provisional Measures on Client Asset Management by Securities Company |
2003-12-18 |
2004-02-01 |
|
Decree No.17 of CSRC |
|
21 |
The CSRC |
Provisional Measures on Securities Issuance Sponsor System |
2003-12-28 |
2004-02-01 |
|
Decree No.18 of CSRC |
|
22 |
The CSRC |
Administrative Measures on Information Disclosure of Securities Investment Funds |
2004-06-08 |
2004-07-01 |
|
Decree No.19 of CSRC |
|
23 |
The CSRC |
Administrative Measures on Sales of Securities Investment Funds |
2004-06-25 |
2004-07-01 |
|
Decree No.20 of CSRC |
|
24 |
The CSRC |
Administrative Measures on Operation of Securities Investment Funds |
2004-06-29 |
2004-07-01 |
|
Decree No.21 of CSRC |
|
25 |
The CSRC |
Administrative Measures on Management Companies of Securities Investment Funds |
2004-09-16 |
2004-10-01 |
|
Decree No.22 of CSRC |
|
26 |
The CSRC |
Administrative Measures on Position Holding of Senior Managers in Securities Investment Funds Industry |
2004-09-22 |
2004-10-01 |
|
Decree No.23 of CSRC |
|
27 |
The CSRC, the CBRC |
Administrative Measures on Qualification of Securities Investment Funds Custody |
2004-11-29 |
2005-01-01 |
|
Decree No.26 of CSRC |
|
28 |
The CSRC, Ministry of Finance, the People’s Bank of China |
Administrative Measures on Securities Investor Protection Funds |
2005-06-30 |
2005-07-01 |
|
Decree No.27 of CSRC |
|
29 |
The CSRC |
Measures for Implementation of Freezing and Confiscation by the CSRC |
2005-12-30 |
2006-01-01 |
|
Decree No.28 of CSRC |
|
30 |
The CSRC |
Administrative Measures on Securities Registration and Clearing |
2006-04-07 |
2006-07-01 |
|
Decree No.29 of CSRC |
|
31 |
The CSRC |
Administrative Measures on Securities Issuance by Listed Company |
2006-05-06 |
2006-05-08 |
|
Decree No.30 of CSRC |
|
32 |
The CSRC |
Administrative Measures of CSRC Public Offering Review Committee |
2006-05-09 |
2006-05-09 |
|
Decree No.31 of CSRC |
|
33 |
The CSRC |
Administrative Measures on Initial Public Offering and Listing |
2006-05-17 |
2006-05-18 |
|
Decree No.32 of CSRC |
|
34 |
The CSRC |
Provisions on Banning the Entry Into the Securities Market |
2006-06-07 |
2006-07-10 |
|
Decree No.33 of CSRC |
|
35 |
The CSRC |
Administrative Measures on Risk Control Indexes of Securities Companies |
2006-07-20 |
2006-11-01 |
|
Decree No.34 of CSRC |
|
36 |
The CSRC |
Administrative Measures on Acquisition of Listed Companies |
2006-07-31 |
2006-09-01 |
|
Decree No.35 of CSRC |
|
37 |
The CSRC, the People’s Bank of China, State Administration of Foreign Exchange |
Administrative Measures on Domestic Securities Investment by QFII |
2006-08-24 |
2006-09-01 |
|
Decree No.36 of CSRC |
|
38 |
The CSRC |
Administrative Measures on Securities Issuance and Underwriting |
2006-09-17 |
2006-09-19 |
|
Decree No.37 of CSRC |
|
39 |
The CSRC, Ministry of Finance |
