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Home > Laws & Regulations > Policy Release > Announcement > Content

CSRC Announcement [2009] No.8 Announcement of the China Securities Regulatory Commission

2009-05-28

The China Securities Regulatory Commission (CSRC) hereby announces the “Decision on Abolishment of Some Securities and Futures Rules (the 8th batch)”.

China Securities Regulatory Commission

April 10, 2009

Decision on Abolishment of Some Securities and Futures Rules (the 8th batch)

As required by the “Rules on Procedures for Formulating Rules” and the “Law of the People's Republic of China on Administrative Licenses”, based on abolishment of the previous 7 batch of rules and regulatory documents (hereinafter referred to as the rules), the China Securities Regulatory Commission (CSRC) has conducted a check-up on the rules of securities and futures departments promulgated from the establishment day of the CSRC to December 31, 2008 again. Specifically, from January 1, 2008 to December 31, 2008, 25 rules (see Attachment I) should have been abolished and become automatically invalid, and 15 rules (see Attachment II) have been explicitly abolished. The CSRC hereby announces the list of the above 40 rules as follows:

Attachment I -- List of the 8th Batch of Abolished Rules of Securities and Futures Departments

Serial number	Name	Document number	Promulgation authority	Promulgation time
1	Administration Measures on Securities Proprietary Business of Securities Business Institutions	Zheng Jian [1996] No.6	CSRC	October 23, 1996
2	Technological Management Regulations on Information Systems of Business Departments of Securities Business Institutions	Zheng Jian Xin Zi [1998] No.2	CSRC	March 5, 1998
3	Notice of Strengthening Management on Members of Stock Exchanges	Zheng Jian Jiao Zi [1998] No.12	CSRC	June 5, 1998
4	Notice of Relevant Issues of Verification and Approval at Securities Business Departments	Zheng Jian Ji Gou Zi [1999] No.13	CSRC	March 16, 1999
5	Notice of Forwarding the “Notice of Strengthening Technological Risk Prevention of Front-End Systems and Intensifying Internal Management” of the Shanghai Stock Exchange	Zheng Jian Shi Chang Zi [1999] No.22	CSRC	May 27, 1999
6	Notice of Issues of Strengthening Management on Settlement Risk for Members	Zheng Jian Shi Chang Zi [1999] No.24	CSRC	May 28, 1999
7	Notice of Arranging Listing of Trans-Rights of Listed Companies in Installments and Batches	Zheng Jian Gong Si Zi [2000] No.19	CSRC	March 13, 2000
8	Notice of Relevant Issues of Assisting Regional Depository Companies in Liquidation and Restructuring	Zheng Jian Shi Chang Zi [2000] No.3	CSRC	March 17, 2000
9	Notice of Relevant Problems of Regulating the Agency Business of Opening Securities Accounts	Zheng Jian Shi Chang Zi [2000] No.4	CSRC	March 27, 2000
10	Notice of Handling Relevant Businesses of Classifying Stocks of Listed Companies	Zheng Jian Shi Chang Zi [2000] No.8	CSRC	May 8, 2000
11	Notice of Regulating Risk Investment of Securities Companies	Zheng Jian Ji Gou Zi [2001] No.59	CSRC	April 12, 2001
12	Notice of Relevant Issues of Transferring Non-floating Shares in Listed Companies by Open Collection	Zheng Jian Gong Si Zi [2001] No.88	CSRC	August 17, 2001
13	Notice of Relevant Issues of Guiding Policies for Share Issuance and Listing	Zheng Jian Fa [2001] No.111	CSRC	September 10, 2001
14	Notice of Relevant Issues of Capital Increase in Listed Companies	Zheng Jian Fa [2001] No.146	CSRC	November 23, 2001
15	Administration Measures on Securities Companies	CSRC Decree　No.5	CSRC	December 28, 2001
16	System of Statistical Statements of Listed Companies	Zheng Jian Ji Gou Zi [2002] No.248	CSRC	August 20, 2002
17	Opinions on Measures for Strengthening Internal Control of Business Departments of Securities Companies	Zheng Jian Ji Gou Zi [2003] No.261	CSRC	December 15, 2003
18	Notice of Relevant Issues of Implementing the “Interim Measures for the Sponsoring System of Securities Issuance and Listing”	Zheng Jian Fa [2004] No.1	CSRC	January 2, 2004
19	Notice of Relevant Issues of Boosting Innovation in Securities Industry	Zheng Jian Ji Gou Zi [2004] No.96	CSRC	August 12, 2004
20	Notice of Relevant Issues of Conducting the Business of Collective Asset Management by Securities Companies	Zheng Jian Ji Gou Zi [2004] No.140	CSRC	October 22, 2004
21	Notice of Relevant Issues of Appraisal and Supervision by Standard Securities Companies	Zheng Jian Ji Gou Zi [2005] No.41	CSRC	April 6, 2005
22	Guiding Opinions on Applying for Freezing Capital and Securities Accounts to People’s Courts	Zheng Jian Fa L u Zi [2005] No.8	CSRC	September 27, 2005
23	Working Procedures of the Listed Company M & A and Restructuring Auditing Committee u nder CSRC	Zheng Jian Fa [2006] No.83	CSRC	July 25, 2006
24	Q & A No.1 on Information Disclosure Regulation for Companies Offering Securities to the Public -- Extraordinary Gains or Losses (amended in 2007)	Zheng Jian Kuai Ji Zi [2007] No.9	CSRC	February 2, 2007
25	Provisions on Authorizing Some Regional Regulatory Bureaus to Conduct Trial Examination on Professional Qualifications of Futures Companies’ Relevant Personnel	CSRC Decree [2008] No.11	CSRC	March 26, 2008

Attachment II -- List of Explicitly Abolished Rules of Securities and Futures Departments from January 1, 2008 to December 31, 2008

Serial number	Abolished r ules and regulatory documents by p romulgating d ecrees	Document number	Promulgation time	Newly p romulgated r ules and r egulatory d ocuments
1	Notice on Issues of Standardizing Listed Companies’ Activities	Zheng Jian Shang Zi [1996] No.7	July 24, 1996	Decision on Amendment to Some Provisions on Listed Companies’ Cash Dividend (CSRC Decree No.57)
2	Some Opinions on Strengthening Regulation by Securities Companies	Zheng Jian Ji Gou Zi [1999] No.14	March 16, 1999	Provisional Regulations for examination on business scopes of Securities companies (CSRC Announcement [2008] No.42)
3	Notice of Clearing and Standardizing Long-Distance Securities Business Branches	Zheng Jian Ji Gou Zi [1999] No.123	November 1, 1999	Provisions on Further Regulating Securities Business Branches (CSRC Announcement [2008] No.21)
4	Rules on Reference Contents and Format of Annual Reports of Futures Companies	Zheng Jian Kuai Ji Zi [2000] No.3	January 11, 2000	Rules on Contents and Format of Annual Reports of Futures Companies (amended in 2008) (CSRC Announcement [2008] No.8)
5	Notice of Some Issues on Strengthening Management of Securities Service Department	Zheng Jian Ji Gou Zi [2000] No.131	June 21, 2000	Provisions on Further Regulating Securities Business Branches (CSRC Announcement [2008] No.21)
6	Notice of Relevant Issues on Securities Companies’ Application for Establishing Securities Service Departments	Zheng Jian Ji Gou Zi [2000] No.264	November 14, 2000	Provisions on Further Regulating Securities Business Branches (CSRC Announcement [2008] No.21)
7	Notice of Publishing the “Contents of Supervision Opinion Letter of Public Offering of Stocks by Securities Companies and Issuance Procedures”	Zheng Jian Fa [2001] No.33	March 2, 2001	Rules of Issues concerning Supervision Opinion Letter of Securities Companies’ Application for IPO and Listing of Stock s (CSRC Announcement [2008] No.19)
8	Instructional Measures for IPO	Zheng Jian Fa [2001] No.125	October 16, 2001	Administrative Measures on Sponsorship for Securities Issuance and Listing (CSRC Decree No.58)
9	Notice of Some Issues of Major Purchases, Sales and Assets Replacement by Listed Companies	Zheng Jian Gong Si Zi [2001] No.105	December 10, 2001	Measures for Administration of Significant Assets Reorganization of Listed Companies (CSRC Decree No.53)
10	CSRC Notice of Adjustment to Part of the “Reference Content s and Format of Annual Reports of Futures Companies”	Zheng Jian Qi Huo Zi [2002] No.9	January 14, 2002	Rules on Contents and Format of Annual Reports of Futures Companies (amended in 2008) (CSRC Announcement [2008] No.8)
11	Rules on Content s and Format of Annual Reports of Securities Companies	Zheng Jian Kuai Ji Zi [2002] No.16	December 27, 2002	Rules on Content s and Format of Annual Reports of Securities Companies (amended in 2008) (CSRC Announcement [2008] No.1)
12	Rules on Contents and Format of Information Disclosure by Companies Publicly Issuing Securities -- Special Provisions on Information Disclosure by Commercial Banks	Zheng Jian Kuai Ji Zi [2003] No.3	March 19, 2003	Compilation Rules No.26 for Information Disclosure by Companies Offering Securities to the Public -- Specific Provisions on Information Disclosure by Commercial Banks (CSRC Announcement [2008] No.33)
13	Provisions on Procedures for Formulating Securities and Futures Rules (Trial)	Zheng Jian Fa [2003] No.28	May 15, 2003	Provisions on Procedures for Formulating Securities and Futures Rules (CSRC Decree No.59)
14	Interim Measures for the Sponsoring System of Securities Issuance and Listing	CSRC Decree No.18	December 28, 2003	Administrative Measures on Sponsorship for Securities Issuance and Listing (CSRC Decree No.58)
15	Provisions on Adjusting Standard of Calculating Net Capital of Securities Companies	Zheng Jian Ji Gou Zi [2007] No.201	August 21, 2007	Provisions on Adjusting Standard of Calculating Net Capital of Securities Companies (CSRC Announcement [2008] No.29)