Listed companies, securities companies, futures companies conduct guidance

Author: Zhang Xinwen
Publisher:
Publish Date: 2002-11-01
Features:
Part 1: Supervision of Listed Companies
1. Supervision of inspections of listed companies
2. Supervision of review of information disclosure (periodic reports) of listed companies
3. Supervision of review of information disclosure (temporary reports) of listed companies
4. Supervision of review of new share issuance of listed companies
5. Supervision of stock issuance coaching for initial public offerings of listed companies
Part 2: Supervision of Securities Firms
1. Supervision of qualification for appointment of senior management of securities companies
2. Supervision of qualification for appointment of heads of securities branches and securities service departments
3. Supervision of establishment of securities branches by securities companies
4. Supervision of relocation of securities branches across provinces/cities/regions
5. Supervision of relocation of securities branches into provinces/cities/regions
6. Supervision of relocation of securities branches and securities service departments within the same city
...
Part 3: Supervision of Futures Companies
1. Supervision of application for establishing futures brokerage companies
2. Supervision of application for establishing branches of futures brokerage companies
3. Supervision of qualification for appointment of senior management of futures brokerage companies
4. Supervision of changes in futures brokerage companies
5. Supervision of annual inspections of futures brokerage companies
6. Supervision of business inspections of futures brokerage companies
...
Part 4: Case Investigation and Related Matters
1. Case investigation and case filing
2. Case investigation and investigation
3. Reception of public complaints and suggestions
4. Assistance in investigations
5. Supervision of case investigation execution
...