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1 |
Approval for Initial Public Offering (A Share and B Share) |
The China Securities Regulatory Commission
(hereinafter referred to as the CSRC) |
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2 |
Approval for New Issue by the Listed Companies |
The CSRC |
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3 |
Review and Approval for the Issuance of Convertible Corporate Bonds |
The CSRC |
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4 |
Approval for Listing of Stocks |
The CSRC |
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5 |
Review and Approval for the Issuance of Corporate Bonds |
The CSRC |
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6 |
Registration of the Sponsor Institutions and Representatives |
The CSRC |
As formulated by Decree No.42 of the State Council |
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7 |
Approval for Listing of the Enterprise Bonds |
Implemented by the securities exchanges authorized by the CSRC |
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8 |
Review and Approval for the Establishment, Dissolution or Revocation of Securities Companies and Their Branches |
The CSRC |
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9 |
Appraisal and Approval for the Types of Securities Companies |
The CSRC |
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10 |
Review and Approval for the Change in Scopes of Business, Registered Capitals, Articles of Association, Corporate Forms, and Mergers and Separations of Securities Companies |
The CSRC |
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11 |
Review and Approval for the Client Assets Management by Securities Companies |
The CSRC |
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12 |
Approval for the Qualification of Securities Investment Consulting Business |
The CSRC |
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13 |
Approval for the Securities Crediting Assessing Business |
The CSRC |
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14 |
Approval for Relocation of the Branches of Securities Companies |
Dispatched offices under the CSRC
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The relevant authority is granted to the dispatched offices according to the Decisions of the State Council on the Third Batch of Administrative Approval Items for Invalidation and Modification (No.16 [2004] the State Council) |
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15 |
Review and Approval for the Transference and Exchange of Business Branches of Securities Companies |
Dispatched offices under the CSRC |
The relevant authority is granted to the dispatched offices according to the Decisions of the State Council on the Third Batch of Administrative Approval Items for Invalidation and Modification (No.16 [2004] the State Council) |
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16 |
Review and Approval for Developing the Plans of Collective Assets Management |
The CSRC |
As formulated by Decree No. 412 of the State Council
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17 |
Review and Approval for the Change in Shareholders of or Shareholdings in Securities Companies |
The CSRC |
As formulated by Decree No. 412 of the State Council |
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18 |
Approval for the Senior Management Qualifications of Securities Companies |
The CSRC |
As formulated by Decree No. 412 of the State Council |
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19 |
Approval for the Qualification of Branch Leaders of Securities Companies |
Dispatched offices under the CSRC |
The relevant authority is granted to the dispatched offices according to the Decisions of the State Council on the Third Batch of Administrative Approval Items for Invalidation and Modification (No.16 [2004] the State Council) |
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20 |
Approval for the Qualification of Foreign Securities Companies Engaged in Foreign Shares Business |
The CSRC |
As formulated by Decree No. 412 of the State Council |
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21 |
Approval for the Establishment of Chinese Representative Offices by Foreign Securities Institutions |
The CSRC |
As formulated by Decree No. 412 of the State Council |
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22 |
Approval for the Change in Names of the Chinese Representative Offices of Foreign Securities Institutions |
The CSRC |
As formulated by Decree No. 412 of the State Council |
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23 |
Approval for the Chief and General Representatives of the Chinese Representative Offices of Foreign Securities Institutions |
The CSRC |
As formulated by Decree No. 412 of the State Council |
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24 |
Approval for Relocations of the Chinese Representative Offices of Foreign Securities Institutions |
Dispatched offices under the CSRC
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The relevant authority is granted to the dispatched offices according to the Decisions of the State Council on the Third Batch of Administrative Approval Items for Invalidation and Modification (No.16 [2004] the State Council) |
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25 |
Exemption from the Duties of Tender Offers |
The CSRC |
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26 |
Filing of Reports on the Acquisition of Listed Companies |
The CSRC |
As formulated by Decree No. 412 of the State Council |
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27 |
Review and Approval for the Mergers and Separations of Listed Companies |
The CSRC |
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28 |
Approval for Share Issuance by the Listed Companies for Assets Purchase |
The CSRC |
As formulated by Decree No. 412 of the State Council |
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29 |
Review and Approval for Shares Repurchase by the Listed Companies |
The CSRC |
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30 |
Approval for the Major Purchases, Sales and Replacements of Assets of Listed Companies |
The CSRC |
As formulated by Decree No. 412 of the State Council |
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31 |
Approval for the Listing and Circulation of Untradable Foreign Shares by the Companies with Domestically Listed Foreign Shares (B Shares) |
The CSRC |
As formulated by Decree No. 412 of the State Council |
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32 |
Approval for the Establishment of Fund Administration Companies |
The CSRC |
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33 |
Review and Approval for the Establishment of Branches and the Changes in Articles of Association or Other Important Events of Fund Administration Companies |
The CSRC |
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34 |
Approval for the Selection or Reappointment of Senior Management of Fund Administration Companies |
The CSRC |
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35 |
Approval for the Selection or Reappointment of Senior Management of Fund Custodian Companies |
The CSRC |
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36 |
Approval for the Fund Custodian Qualification |
The CSRC |
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37 |
Approval for the Fund-raising Applications |
The CSRC |
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38 |
Review and Approval for Listing and Trading of the Tranches of Close-ended Funds |
The CSRC |
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39 |
Approval for the Qualification of Other Institutions Authorized by Fund Managers for Subscription, Redemption and Registration of the Open-ended Funds |
The CSRC |
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40 |
Approval for Converting the Operation Mode of Funds |
The CSRC |
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41 |
Approval for Expanding the Close-ended Funds or Extending the Contract Period of the Fund |
The CSRC |
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42 |
Review and Approvals for the Resolutions of Fund Tranche Holders’ Meetings |
The CSRC |
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43 |
Approval for Advertising and Promotion Campaigns of Open-ended Funds |
The CSRC |
As formulated by Decree No. 412 of the State Council |
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44 |
Review and Approval for the Qualification of the Qualified Foreign Institutional Investors
|
The CSRC |
As formulated by Decree No. 412 of the State Council |
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45 |
Review and Approval for the Qualification of the Qualified Foreign Institutional Investor Custodians |
The CSRC
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