Current Securities and Futures Regulations Compilation

Author: China Securities Regulatory Commission
Publisher:
Publish Date: 2002-07-01
Features:
1. This "Regulation Collection" is edited by the China Securities Regulatory Commission.
2. In early 2002, the China Securities Regulatory Commission conducted a review of its regulations and regulatory documents since its establishment. This "Regulation Collection" is compiled based on the results of this review.
3. This "Regulation Collection" includes 265 currently effective regulations and regulatory documents issued by the China Securities Regulatory Commission and the former State Council Securities Commission by the end of 2001, as well as 14 regulations and regulatory documents jointly issued with other ministries and commissions of the State Council.
4. The currently effective regulations and regulatory documents in this "Regulation Collection" are divided into two main parts: securities regulation and futures regulation. The securities regulation section is further categorized into seven categories based on the business scope of the regulations and regulatory documents: comprehensive, issuance, market, institutions, listed companies, information disclosure standards, and funds. Within each category, the documents are arranged in chronological order of issuance. The futures regulation section is arranged uniformly in chronological order of issuance. As an appendix, it includes a notice issued by the China Securities Regulatory Commission regarding the abolition of certain securities-related regulations.
5. This "Regulation Collection" only collects regulations and regulatory documents issued by the China Securities Regulatory Commission, the former State Council Securities Commission, or jointly with other ministries and commissions of the State Council. It does not include laws, administrative regulations, and regulatory documents related to the securities and futures markets. These laws, administrative regulations, and regulatory documents include: the "Company Law of the People's Republic of China," the "Securities Law of the People's Republic of China," the "Interim Regulations on the Management of Stock Issuance and Trading," the "Interim Measures for Prohibiting Securities Fraud," the "Special Provisions of the State Council on the Overseas Issuance and Listing of Shares of Joint Stock Companies," the "Provisions of the State Council on the Domestic Listing of Foreign Shares of Joint Stock Companies," the "Interim Measures for the Management of Convertible Corporate Bonds," the "Interim Measures for the Management of Fund Management Companies," the "Measures for the Management of Stock Exchanges," the "Interim Measures for the Management of Securities and Futures Investment Consulting," the "Regulations of the China Securities Regulatory Commission Stock Issuance Review Committee," the "Guidelines for the Approval and Supervision of Domestic Enterprises Applying for Listing on the Hong Kong GEM," the "Interim Regulations on the Management of Futures Trading," the "Interim Measures for the Management of the Risk Fund of Stock Exchanges," the "Interim Measures for the Management of the Risk Fund of Securities Settlement," the "Stock Issuance Approval Procedures of the China Securities Regulatory Commission," and the "Interim Measures for the Management of National Stock Divestment to Raise Social Security Funds," etc.