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I. General
l Responsibility
(1) Provisional Measures of Securities Supervision Commissioner Offices under the CSRC (February 28, 1998, Zheng Jian [1998] No.6)
(2) Notice on Authorizing Stock Exchange to Investigate and Handle the Financial Reports of the Listed Companies Facing Delisting Situation Which are Issued with Unqualified Audit Opinion (May 23, 2002, Zheng Jian Gong Si Zi [2002] No.11)
(3) Decision on Granting Responsibilities to Securities Association of China (October 31, 2002, Zheng Jian Fa [2002] No.82)
(4) Notice on Printing Responsibilities of Dispatched Offices for Supervisory Works (December 5, 2003, Zheng Jian Fa [2003] No.86)
(5) Notice on Transmitting the Circular on Clarifying the Responsibilities and Work Division for Identifying, Investigating and Suppressing Illegal Fund Raising Organizations (April 22, 2005, Zheng Jian Ban Fa [2005] No.15)
(6) Guidance for Work Division and Collaboration for Supervision Responsibilities of Securities Investment Funds (July 1, 2005, Zheng Jian Ji Jin Zi [2005] No.113)
(7) Notice on Printing Schemes for Work Division for Enhancing the Supervision on Self-operation, Asset Management Business Account and Investment Activities of Securities Companies (November 3, 2005, Zheng Jian Ban Fa [2005] No.76)
(8) Opinions on Issues Concerning the Performance of Responsibilities for Securities Company Supervision Stipulated in Securities Law (January 18, 2006, Zheng Jian Ji Gou Zi [2006] No.7)
l Legislation
(9) Provisional Regulations on Securities and Futures Regulation Formulation Procedures (May 15, 2003, Zheng Jian Fa [2003] No.28)
l Permission
(10) Provisional Regulations on Implementation Procedures of Administrative Permission by the CSRC (July 1, 2004, Zheng Jian Fa [2004] No.62)
(11) Notice on Implementation of Dispatching Items for Administrative Permission to the Dispatched Offices (July 15, 2004, Zheng Jian Fa Lv [2004] No.8)
l Inspection and Talks
(12) Inspection System of Securities Investment Consultation Institute (July 21, 1999, Zheng Jian Ji Gou Zi [1999] No.65)
(13) Measures on Inspection of Securities Companies (December 12, 2000, Zheng Jian Ji Gou Zi [2000] No.281)
(14) Measures on Implementation of Talking and Reminding System for Senior Managers of Securities Companies (January 10, 2001, Zheng Jian Fa [2001] No.6)
(15) Measures on Inspection of Listed Companies (March 19, 2001, Zheng Jian Fa [2001] No.46)
(16) Measures on Implementation of Talking System for Board Chairmen of Listed Companies (March 19, 2001, Zheng Jian fa [2001] No.47)
l Investigation and punishment
(17) Notice on Promoting the Reward for Reporting the Illegal Securities and Futures Trading and Fraud in Securities and Futures Issues (June 24, 2001, Zheng Jian Fa [2001] No.91)
(18) Guidance on Facilitating the Application to the People’s Court for Freezing Capital Account and Securities Account (September 27, 2005, Zheng Jian Fa Lv Zi [2005] No.8)
(19) Measures on Implementation of Freezing and Confiscation by the CSRC (December 30, 2005, Decree No.28 of CSRC)
(20) Notice on Inquiring and Freezing the Accounts of Parties to Securities Trading and Units and Individuals Involved in Investigated Events in the Financial Institute (December 30, 2005 by the CSRC and the People’s Bank of China, Zheng Jian Fa [2005] No.132)
(21) Notice on Enhancing the Law Enforcement Collaboration in Striking on Securities and Futures Crimes (March 2, 2006, Zheng Jian Fa [2006] No.17)
(22) Regulations on Banning the Entry into Securities Market (June 7, 2006, Decree No.33 of CSRC)
(23) Notice on Issues Concerning the Inquiry of the Accounts and Deposits of the Audited Unit in the Financial Institute by Auditing Authority (November 22, 2006 by National Audit Office of the People’s Republic of China, the People’s Bank of China, the CBRC and the CSRC, Shen Fa Fa [2006] No.67)
(24) Hearing Rules for Administrative Punishment by the CSRC (April 18, 2007, Zheng Jian Fa Lv Zi [2007] No.8)
(25) Implementation Measures of the CSRC for Limiting Securities Trading (May 18, 2007, Decree No.45 of CSRC)
l Reconsideration and arbitration
(26) Measures for Administrative Reconsideration of the CSRC (November 25, 2002, Decree No.13 of CSRC)
(27) Notice on Facilitating Securities and Futures Contract Dispute Arbitration (January 18, 2004 by Legislative Affairs Office of State Council and the CSRC, Guo Fa [2004] No.5)
l Open governmental affairs and letter-or-visit matters
(28) Provisional Measures on Press Release of the CSRC (April 12, 2005, Zheng Jian Fa [2005] No.28)
(29) Provisional Working Rules of the CSRC on Letter-or-visit Matters (July 14, 2005, Zheng Jian Fa [2005] No.70)
l Others
(30) Administrative Measures on Representative Offices of Foreign Securities Institutes Established in China (April 21, 1999, Zheng Jian Ji Gou Zi [1999] No.26)
(31) Notice on Submitting the Annual Work Report of Representative Offices of Foreign Securities Institutes Established in China (December 28, 1999, Zheng Jian Ji Gou Zi [1999] No.160)
(32) Provisional Measures on Securities and Futures Network, Information Security and Information Communication (February 1, 2005, Zheng Jian Xin Xi Zi [2005] No.1)
(33) Provisional Measures on Administration of Information Security Protection of Securities and Futures Industry (April 8, 2005, Zheng Jian Xin Xi Zi [2005] No.5)
(34) Provisional Measures on Administration of Growth Enterprises and Investment Enterprises (November 15, 2005 by National Development and Reform Commission, The Ministry of Science and Technology, Ministry of Finance, Ministry of Commerce, the People’s Bank of China, State Administration of Taxation, State Administration of Industry & Commerce, the CRRC, the CSRC, The State Administration of Foreign Exchange, Decree No.39 of NDRC)
(35) Administrative Measures on Representative Offices of Overseas Stock Exchanges Established in China (May 20, 2007, Decree No.44 of CSRC)
(36) Administrative Measures on Identification of client identity and maintenance of client identity information and trading record by financial institute (June 21, 2007 by the People’s Bank of China, the CBRC, the CSRC, the CIRC, Decree [2007] No.2 of the People’s Bank of China)
II. Issue
l Initial public offering
(1) Supplementary Regulations on Placing Shares to Employees by Stock Limited Company for Public Offering (February 1, 1994 by System Reform Committee and Securities Committee, Ti Gai Sheng [1994] No.15)
(2) Notice on the Confirmation of the Relevant Issues for Listing and Custody of the Enterprises with Problems Left Over by History (July 28, 1997, Zheng Jian Jiao Zi [1997] No.14)
(3) Notice on Terminating the Issuance of Employee Stocks (November 25, 1998, Zheng Jian Fa Zi [1998] No.297)
(4) Notice on Transmitting the Circular on Banning the Unauthorized Public Offering Activities in Stock Exchange by Xi’an Securities Regulatory Office (October 13, 1999, Zheng Jian Ban Fa [1999] No.50)
(5) Notice on Issues Concerning the Online Disclosure of Prospectus of Companies for Initial Public Offering (January 20, 2001, Zheng Jian Fa Xing Zi [2001] No.13)
(6) Administrative Measures on Initial Public Offering and Listing (May 17, 2006, Decree No. 32 of CSRC)
l Re-financing
(7) Provisional Operation Guides for Public Offering of Listed Companies (April 30, 2000, Zheng Jian Gong Si Zi [2000] No.45)
(8) Notice on Issues Concerning the Shortening of the Time from the End of New Share Issue to Listing (November 21, 2001, Zheng Jian Fa [2001] No.144)
(9) Administrative Measures on Securities Issuance by Listed Companies (May 6, 2006, Decree No.30 of CSRC)
(10) Implementation Rules for Non-public Issuance of Stocks by Listed Companies (September 17, 2007, Zheng Jian Fa Xing Zi [2007] No.302)
l Tutorship
(11) Notice on Issues Concerning Tutoring Policy for Share Issue and Listing (September 10, 2001, Zheng Jian Fa [2001] No.111)
(12) Measures on Tutoring Works for Initial Public Offering (October 16, 2001, Zheng Jian Fa [2001] No.125)
l Sponsor
(13) Guidance Opinion on the Issues Concerning the Securities Company Engaging in Share Issue and Underwriting Business (March 17, 2001, Zheng Jian Fa [2001] No.48)
(14) Provisional Measures on Securities Issue and Listing Sponsor System (December 28, 2003, Decree No.18 of CSRC)
(15) Notice on Issues Concerning the Implementation of Provisional Measures on Securities Issue and Listing Sponsor System (January 2, 2004, Zheng Jian Fa [2004] No.1)
(16) Notice on Further Facilitating the Implementation of Provisional Measures on Securities Issue and Listing Sponsor System (December 31, 2004, Zheng Jian Fa Xing Zi [2004] No.167)
(17) Work Standards for Due Diligence of Sponsor (May 29, 2006, Zheng Jian Fa Xing Zi [2006] No.15)
l Public Offering Review Committee
(18) Notice on Enhancing the Afterwards Supervision on the Companies Planning to Issue Shares through PORC (February 3, 2002, Zheng Jian Fa Xing Zi [2002] No.15)
(19) Guidance Opinion for the Review Works of CSRC PORC (January 20, 2004, Zheng Jian Fa [2004] No.9)
(20) Measures of CSRC PORC (May 9, 2006, Decree No.31 of CSRC)
(21) Rules for the Works of CSRC PORC (May 18, 2006, Decree No.51 of CSRC)
l Issue and underwriting
(22) Opinion on Pilot Operation of Over-allotment Option (September 3, 2001, Zheng Jian Fa [2001] No.112)
(23) Opinion on the Issues Concerning the Participation of Securities Company in the Securities Underwritten by the Subscription Affiliated Party (August 14, 2006, Zheng Jian Ji Gou Zi [2006] No.192)
(24) Administrative Measures on Issue and Underwriting of Securities (September 17, 2006, Decree No.37 of CSRC)
l Securities issue by securities companies
(25) Contents and Issue Procedures for Supervision Opinion on the Public Offering of Securities Companies (March 2, 2001, Zheng Jian Fa [2001] No.33)
(26) Provisional Measures on Bonds of Securities Companies (August 29, 2003, Decree No.15 of CSRC, Decision on Revising Provisional Measures on Bonds of Securities Companies on October 18, 2004, Revision of Decree No.25 of CSRC)
(27) Standards for Information Disclosure of Securities Companies for Targeted Bonds Issuance (August 29, 2003, Zheng Jian Fa Xing Zi [2003] No.106)
(28) Standards for Credit Rating Institute to Issue Credit Rating Report for Bonds of Securities Companies (August 29, 2003, Zheng Jian Fa Xing Zi [2003] No.106)
l Bonds issuance by overseas institute
(29) Provisional Administrative Measures on the Issue of RMB Bonds by International Development Institute (February 18, 2005 by the People’s Bank of China, Ministry of Finance, National Development and Reform Commission and the CSRC, Announcement [2005] No.5 of the People’s Bank of China)
l Corporate bonds
(30) Measures on Pilot Operation of Corporate Bonds Issuance (August 14, 2007, Decree No.49 of CSRC)
(31) Notice on Issues Concerning the Implementation of Measures on Pilot Operation of Corporate Bonds Issuance (August 14, 2007, Zheng Jian Fa [2007] No.112)
III. Listed company
l Information disclosure and financial accounting
(1) Notice on Issues Concerning the Employment and Replacement of CPA Firm (Audit Firm) by Listed Company (July 29, 1996, Zheng Jian Kuai Zi [1996] No.1)
(2) Notice on Issues Concerning the Preparation of Listed Companies for Asset Value Impairment (December 2, 1999, Zheng Jian Gong Si Zi [1999] No.138)
(3) Guidance for the Special Report on the Use of the Previously Raised Funds (April 10, 2001, Zheng Jian Gong Si Zi [2001] No.42)
(4) Notice on Further Improving the Quality of Financial Information Disclosure of Listed Companies (January 6, 2004, Zheng Jian Kuai Ji Zi [2004] No.1)
(5) Work Guidance for Relation between Listed Companies and Investors (July 11, 2005, Zheng Jian Gong Si Zi [2005] No.52)
(6) Administrative Measures on Information Disclosure of Listed Companies (January 30, 2007, Decree No.40 of CSRC)
(7) Notice on Issues Concerning the Investigation and Information Disclosure of Listed Companies (August 13, 2007, Zheng Jian Fa [2007] No.11)
(8) Notice on Standardizing the Information Disclosure of Listed Companies and the Activities of Related Parties (August 15, 2007, Zheng Jian Gong Si Zi [2007] No.128)
l Acquisition and restructuring
(9) Notice on Issues Concerning the Transfer of Nontradable Shares of Listed Companies by Means of Company Requisition (August 17, 2001, Zheng Jian Gong Si Zi [2001] No.88)
(10) Notice on Enhancing the Standardization Administration on the Activities for Agreement Transfer of Nontradable Shares of Listed Companies (September 30, 2001, Zheng Jian Fa [2001] No.119)
(11) Certain Opinions on Issues Concerning Listed Companies Involved in Foreign Investment (October 8, 2001 by Ministry of Foreign Trade and Economic Cooperation and the CSRC, Wai Jing Mao Zi Fa [2001] No.538)
(12) Notice on Issues Concerning the Major Asset Purchase, Sales and Replacement of Listed Companies (December 10, 2001, Zheng Jian Gong Si Zi [2001] No.105)
(13) Provisional Administrative Measures on Repurchase of Stocks from the Public by Listed Companies (June 16, 2005, Zheng Jian Fa [2005] No.51)
(14) Notice on Issue Concerning the Increase of Public Share Holding by Controlling Shareholders of Listed Companies After Equity Separation Reform (June 16, 2005, Zheng Jian Fa [2005] No.52)
(15) Administrative Measures on the Strategic Investment in Listed Companies by Foreign Investors (December 31, 2005 by Ministry of Commerce, CSRC, State Administration of Taxation, State Administration of Industry & Commerce, State Administration of Foreign Exchange, Decree No.28 of Ministry of Commerce in 2005)
(16) Administrative Measures on Acquisition of Listed Companies (July 31, 2006, Decree No.35 of CSRC)
(17) Regulations on Acquisition of Domestic Enterprises by Foreign Investors (August 8, 2006 by Ministry of Commerce, State Owned Assets Supervision and Administration Commission, State Administration of Taxation, State Administration of Industry & Commerce, the CSRC, State Administration of Foreign Exchange, Decree No.10 of Ministry of Commerce in 2006)
(18) Decision on Establishing Listed Company Acquisition and Restructuring Review Committee in PORC (July 17, 2007, Zheng Jian Fa [2007] No.93)
(19) Work Procedures for CSRC Listed Company Acquisition and Restructuring Review Committee (July 17, 2007, Zheng Jian Fa [2007] No.94)
l Transfer of state-owned shares
(20) Notice on Issues Concerning the Transfer of State-owned Shares and Legal Person Shares of Listed Companies to Foreign Investors (November 1, 2002 by the CSRC, Ministry of Finance, State Economic & Trade Commission, Zheng Jian Fa [2002] No.83)
(21) Announcement on Work Division for the Transfer of State-owned Shares and Legal Person Shares of Listed Companies to Foreign Investors (August 5, 2003 by Ministry of Commerce, Ministry of Finance, State Owned Assets Supervision and Administration Commission and the CSRC, Announcement No.25 of Ministry of Commerce in 2003)
(22) Provisional Measures on Transfer of Shares of Listed Companies by State-owned Shareholders (June 30, 2007 by State Owned Assets Supervision and Administration Commission and the CSRC, Decree No.19 of State Owned Assets Supervision and Administration Commission)
(23) Provisional Administrative Regulations on Marking of State-owned Shareholders of Listed Companies (June 30, 2007 by State Owned Assets Supervision and Administration Commission and the CSRC, Guo Zi Fa Chan Quan [2007] No.108)
l Corporate governance
(24) Notice on Banning General Managers and Senior Managers of Listed Companies from Taking Part-time Job in Units of Controlling Shareholders (May 6, 1999, Zheng Jian Gong Si Zi [1999] No.22)
(25) Guidance Opinion on Establishing Independent Director System in Listed Companies (August 16, 2001, Zheng Jian Fa [2001] No.102)
(26) Standards for Governance of Listed Companies (January 7, 2002 by the CSRC and State Economic & Trade Commission, Zheng Jian Fa [2002] No.1)
(27) Certain Regulations on Enhancing the Protection of Interests of Public Share Holders (December 7, 2004, Zheng Jian Fa [2004] No.118)
(28) Provisional Standards on Technical Management of Online Voting System for Shareholders’ Meeting of Listed Companies (December 20, 2004, Zheng Jian Xin Xi Zi [2004] No.5)
(29) Notice on Issuing Work Guidance for Training of Senior Managers of Listed Companies and Relevant Implementation Rules (December 22, 2005, Zheng Jian Gong Si Zi [2005] No.147)
(30) Provisional Administrative Measures on Equity Incentive of Listed Companies (December 31, 2005, Zheng Jian Gong Si Zi [2005] No.151)
(31) Rules for Shareholders’ Meeting of Listed Companies (March 16, 2006, Zheng Jian Fa [2006] No.21)
(32) Guidance for Articles of Association of Listed Companies (Revision 2006) (March 16, 2006, Zheng Jian Gong Si Zi [2006] No.36)
(33) Administrative Rules for the Shareholding by Directors, Supervisors and Senior Managers of Listed Companies and the Change of Shareholding (April 5, 2007, Zheng Jian Gong Si Zi [2007] No.56)
l Listing and delisting
(34) Notice on Issues Concerning Facilitating the Recovery of Normal Trading of Listed Companies Subject to Special Treatment (March 9, 1999, Zheng Jian Gong Si Zi [1999] No.19)
(35) Notice on Arranging the Listing of Conversion and Allotment Shares of the Listed Companies by Stages and By Batches (March 13, 2000, Zheng Jian Gong Si Zi [2000] No.19)
(36) Implementation Measures for Suspending or Terminating the Listing of Listed Companies Suffering Loss (Revision) (November 30, 2001, Zheng Jian Fa [2001] No.147)
(37) Supplementary Regulations on the Implementing the Implementation Measures for Suspending or Terminating the Listing of Listed Companies Suffering Loss (Revision) (March 18, 2003, Zheng Jian Gong Si Zi [2003] No.6)
(38) Guidance Opinion on Facilitating the Follow-up Works After Terminating the Listing of Stock Limited Companies (February 5, 2004, Zheng Jian Gong Si Zi [2004] No.6)
l Affiliated transaction, capital transfer and guarantee
(39) Notice on Issues Concerning the Standardization of Activities of Listed Companies (July 24, 1996, Zheng Jian Shang Zi [1996] No.7)
(40) Notice on Issues Concerning Guarantee Provided by Listed Companies for Other Parties (June 6, 2000, Zheng Jian Gong Si Zi [2000] No.61)
(41) Notice on Issues Concerning the Standardization of Capital Transfer between Listed Companies and Affiliated Party and External Guarantee Provided by Listed Companies (August 28, 2003 by the CSRC and State Owned Assets Supervision and Administration Commission, Zheng Jian Fa [2003] No.56)
(42) Notice on Standardizing the External Guarantee Activities of Listed Companies (November 14, 2005 by the CSRC and CBRC, Zheng Jian Fa [2005] No.120)
(43) Notice on Further Enhancing the Works for Settling Outstanding Debts (May 26, 2006, Zheng Jian Gong Si Zi [2006] No.92)
(44) Notice on Further Handling the Issues Concerning the Occupation of Capitals of Listed Companies by Substantial Shareholders (November 7, 2006 by the CSRC, Ministry of Public Security, the People’s Bank of China, State Owned Assets Supervision and Administration Commission, State Administration of Customs, State Administration of Taxation, State Administration of Industry & Commerce, and the CBRC, Zheng Jian Fa [2006] No.128)
(45) Notice on Further Standardizing the Use of Capital Raised by Listed Companies (February 28, 2007, Zheng Jian Gong Si Zi [2007] No.25)
l Share separation reform
(46) Opinion on Pilot Operation of Share Separation Reform (May 30, 2005 by the CSRC and State Owned Assets Supervision and Administration Commission, Zheng Jian Fa [2005] No.41)
(47) Notice on Further Facilitating the Share Separation Reform (June 9, 2005, Zheng Jian Fa [2005] No.46)
(48) Guidance Opinion on Share Separation Reform of Listed Companies (August 23, 2005 by the CSRC, State Owned Assets Supervision and Administration Commission, Ministry of Finance, the People’s Bank of China, and Ministry of Commerce, Zheng Jian Fa [2005] No.80)
(49) Administrative Measures on Share Separation Reform of Listed Companies (September 4, 2005, Zheng Jian Fa [2005] No.86)
(50) Notice on Issues Concerning the Foreign Capital Management in the Share Separation Reform of Listed Companies (October 26, 2005 by Ministry of Commerce and the CSRC, Shang Zi Fa [2005] No.565)
(51) Notice on Issues Concerning the Transfer of the Originally Nontradable Shares of Listed Companies after the Share Separation Reform (August 2, 2006, Zheng Jian Fa [2006] No.87)
(52) Notice on Issues Concerning the Interval for the Restart of Share Reform Procedures Where the Reform Scheme Failed to Pass in the Shareholders’ Meeting (September 26, 2006, Zheng Jian Fa [2006] No.112)
IV. Foreign-capital share
l Overseas listing
(1) Notice on Approving and Transmitting the Report on Problems Existing in the Overseas Public Offering and Listing of Domestic Enterprises of the CSRC (April 9, 1993 by State Council Securities Committee, Zheng Wei Fa [1993] No.18)
(2) Notice on Issues Concerning the Foreign Exchange Administration of Overseas Listed Companies (January 13, 1994 by the CSRC and State Administration of Foreign Exchange, Zheng Jian Fa [1994] No.8)
(3) Notice on Implementing the Necessary Provisions in Articles of Association of Overseas Listed Company (August 27, 1994 by State Council Securities Committee and System Reform Committee, Zheng Wei Fa [1994] No.21)
(4) Notice on Issues Concerning the Holding of Shareholders’ Meeting and Revision of Articles of Association in 1995 by Overseas Listed Companies (March 29, 1995 by State Council Securities Committee and System Reform Committee, Zheng Wei Fa [1995] No.5)
(5) Notice on Issues Concerning the Implementation of Circular on Further Enhancing Administration on Overseas Public Offering and Listing of the State Council (February 22, 1998, Zheng Jian [1998] No.5)
(6) Certain Opinions on Further Facilitating the Information Disclosure by Overseas Listed Companies (March 26, 1999, Zheng Jian Fa [1999] No.18)
(7) Opinion on Further Enhancing the Standardized Operation and Reform of the Overseas Listed Companies (March 29, 1999 by State Economic & Trade Committee and the CSRC, Guo Jing Mao Qi Gai [1999] No.230)
(8) Work Guidance for Secretary to Board of Directors of Overseas Listed Companies (April 8, 1999, Zheng Jian Fa Xing zi [1999] No.39)
(9) Notice on Issues Concerning the Application for Overseas Listing by Enterprises (July 14, 1999, Zheng Jian Fa Xing Zi [1999] No.83)
(10) Notice on Issues Concerning Further Improving the Foreign Exchange Administration on Overseas Listed Companies (August 5, 2002 by State Administration of Foreign Exchange and the CSRC, Hui Fa [2002] No.77)
(11) Notice on Issues Concerning the Standardization of Overseas Listing of the Enterprises Affiliated with the Domestically Listed Companies (July 21, 2004, Zheng Jian Fa [2004] No.67)
(12) Notice on Issues Concerning Centralized Registration and Depository of Non-overseas Listed Shares of the Overseas Listed Companies (March 28, 2007, Zheng Jian Guo He Zi [2007] No.10)
l B-shares
(13) Letter on Confirming the Profit Distribution Standard Upon Dividend Distribution of Enterprises Issuing B-shares (January 6, 1994, Zheng Jian Han Zi [1994] No.1)
(14) Implementation Rules for Regulations on Domestically Listed Foreign Capital Shares of Stock Limited Companies (May 3, 1996 by State Council Securities Committee, Zheng Wei Fa [1996] No.9)
(15) Notice on Issues Concerning Audit of Interim Financial Report of B-share Listed Companies (July 17, 1998, Zheng Jian Guo Zi [1998] No.16)
(16) Standard Formats of the Documents of the Companies to Apply for the Issue of Domestically Listed Foreign Capital Shares (B-shares) (March 25, 1999, Zheng Jian Fa [1999] No.17)
(17) Notice on Issues Concerning Issuance of B-shares by Enterprises (May 19, 1999, Zheng Jian Fa Xing Zi [1999] No.17)
(18) Notice on the Issues Concerning the Listing and Circulation of the Non-listed Foreign-capital Shares of the Domestically Listed Foreign Capital Shares (B-shares) Companies (September 1, 2000, Zheng Jian Gong Si Zi [2000] No.140)
(19) Notice on Issues Concerning Investment in Domestically Listed Foreign Capital Shares by Domestic Residents (February 21, 2001, Zheng Jian Fa [2001] No.22)
(20) Handling Procedures for the Listing and Circulation of the Non-listed Foreign-capital Shares of the Domestically Listed Foreign Capital Shares (B-shares) Companies (February 21, 2001, Zheng Jian Fa [2001] No.24)
V. Information disclosure standard
l Standards on the Content and Format of Information Disclosure by Companies Issuing Securities to the Public
(1) No.2: Content and Format of Annual Report (Revision 2005) (December 15, 2005, Zheng Jian Gong Si Zi [2005] No.141)
(2) No.10: Application Documents of Listed Companies for Public Offering (May 8, 2006, Zheng Jian Fa Xing Zi [2006] No.1)
(3) No.11: Prospectus of Listed Companies for Public Offering (May 8, 2006, Zheng Jian Fa Xing Zi [2006] No.2)
(4) No.1: Prospectus (May 18, 2006, Zheng Jian Fa Xing Zi [2006] No.5)
(5) No.9: Application Documents for Initial Public Offering and Listing (May 18, 2006, Zheng Jian Fa Xing Zi [2006] No.6)
(6) No.15: Equity Change Report (August 4, 2006, Zheng Jian Gong Si Zi [2006] No.156)
(7) No.16: Listed Company Acquisition Report (August 4, 2006, Zheng Jian Gong Si Zi [200] No.156)
(8) No.17: Tender Offer Report (August 4, 2006, Zheng Jian Gong Si Zi [2006] No.156)
(9) No.18: Report of Board of Directors of the Acquired Company (August 4, 2006, Zheng Jian Gong Si Zi [2006] No.156)
(10) No.19: Application Documents for Exemption of Tender Offer (August 4, 2006, Zheng Jian Gong Si Zi [2006] No.156)
(11) No.5: Content and Format of the Company Share Change Report (Revision 2007) (June 28, 2007, Zheng Jian Gong Si Zi [2007] No.98)
(12) Content and Format of Semi-annual Report (Revision 2007) (June 29, 2007, Zheng Jian Gong Si Zi [2007] No.100)
(13) No.23: Prospectus of Issue of Corporate Bonds to the Public (August 15, 2007, Zheng Jian Fa Xing Zi [2007] No.224)
(14) No.24: Application Documents for Issue of Corporate Bonds to the Public (August 15, 2007, Zheng Jian Fa Xing Zi [2007] No.225)
(15) No.25: Scheme for Non-public Offering of Shares by Listed Companies and the Issue Report (September 17, 2007, Zheng Jian Fa Xing Zi [2007] No.303)
l Preparation Rules for Information Disclosure of Companies Issuing Securities to the Public
(16) No.5: Special Regulations on Contents and Formats of the Prospectus of the Securities Companies (November 2, 2000, Zheng Jian Fa [2000] No.76)
(17) No.6: Special Regulations on Notes to Financial Reports of Securities Companies (November 2, 2000, Zheng Jian Fa [2000] No.76)
(18) No.8: Special Regulations on Contents and Formats of the Annual Reports of the Securities Companies (December 21, 2000, Zheng Jian Fa [2000] No.80)
(19) No.10: Special Regulations on Contents and Formats of Prospectus of Companies Engaging in Real Estate Development Businesses (February 6, 2001, Zheng Jian Fa [2001] No.17)
(20) No.11: Special Regulations on Notes to Financial Reports of Companies Engaging in Real Estate Development Businesses (February 6, 2001, Zheng Jian Fa [2001] No.17)
(21) No.12: Legal Opinions and Lawyer’s Work Report on Public Offering (March 1, 2001, Zheng Jian Fa [2001] No.37)
(22) No.14: Handling of Unqualified Audit Opinion and Matters Involved (December 22, 2001, Zheng Jian Fa [2001] No.157)
(23) No.17: Special Regulations on Contents and Formats of Prospectus of Companies with Foreign Investment (March 19, 2002, Zheng Jian Fa [2002] No.17)
(24) No.18: Special Regulations on Information Disclosure of Commercial Banks (March 19, 2003, Zheng Jian Kuai Ji Zi [2003] No.3)
(25) No.20: Application Documents of Securities Companies for Bonds Issuance (August 29, 2003, Zheng Jian Fa Xing Zi [2003] No.106)
(26) No.21: Prospectus of Securities Companies for Bonds Issuance (August 29, 2003, Zheng Jian Fa Xing Zi [2003] No.106)
(27) No.22: Announcement of Securities Companies for Listing of Bonds (August 29, 2003, Zheng Jian Fa Xing Zi [2003] No.106)
(28) No.19: Correction of Financial Information and the Relevant Disclosure (December 1, 2003, Zheng Jian Kuai Ji Zi [2003] No.16)
(29) No.3: Special Regulations on Contents and Formats of Prospectus of Insurance Companies (December 8, 2006, Zheng Jian Fa Xing Zi [2006] No.151)
(30) No.9: Calculation and Disclosure of Net Assets Earning Ratio and Earning Per Share (Revision 2007) (February 2, 2007, Zheng Jian Kuai Ji Zi [2007] No.9)
(31) No.15: General Regulations on Financial Report (Revision 2007) (February 2, 2007, Zheng Jian Kuai Ji Zi [2007] No.9)
(32) No.13: Special Regulations on Contents and Formats of Quarterly Report (Revision 2007) (March 26, 2007, Zheng Jian Gong Si Zi [2007] No.46)
(33) No.4: Special Regulations on Information Disclosure of Insurance Companies (August 28, 2007, Zheng Jian Gong Si Zi [2007] No.139)
l Q&A on Standards on Information Disclosure of Companies Issuing Securities to the Public
(34) No.2: Withdrawal of Incentive Funds of the Mid-level and Senior Managers (June 29, 2001, Zheng Jian Kuai Ji zi [2001] No.15)
(35) No.5: Differences of the Financial Reports Prepared According to Domestic and Overseas Accounting Standards and the Relevant Disclosure (November 7, 2001, Zheng Jian Kuai Ji Zi [2001] No.60)
(36) No.6: Payment to CPA Firm and the Disclosure (December 24, 2001, Zheng Jian Kuai Ji Zi [2001] No.67)
(37) No.3: Source and Procedures for Recovering Accumulated Loss and the Relevant Information Disclosure (Revision 2006) (April 10, 2006, Zheng Jian Kuai Ji Zi [2006] No.8)
(38) No.1: Nonrecurrent Gain and Loss (Revision 2007) (February 2, 2007, Zheng Jian Kuai Ji Zi [2007] No.9)
(39) No.7: Preparation and Disclosure of Comparative Financial & Accounting Information During the Transition from Old Accounting Standards to New Accounting Standards (February 15, 2007, Zheng Jian Kuai Ji Zi [2007] No.10)
VI. Market transaction
l Stock exchange
(1) Administrative Measures on Stock Exchange (Approved by the State Council on November 30, 1997, Issued by Securities Committee on December 10, 1997, re-issued by Decree No.4 of CSRC on December 12, 2001 according to Official Reply of State Council on Revising Administrative Measures on Stock Exchange)
(2) Certain Regulations on Stock Exchange Report System (Provisional) (November 19, 1997, Zheng Jian Jiao Zi [1997] No.21)
(3) Notice on Enhancing Administration on Members of Stock Exchange (June 5, 1998, Zheng Jian Jiao Zi [1998] No.12)
(4) Notice on Issues Concerning Further Facilitating the Clear-up and Rectification of Securities Trade Centers (December 7, 1998, Zheng Jian [1998] No.57)
(5) Notice on Issues Concerning the Clear-up and Rectification of Securities Trade Centers (May 4, 1999, Zheng Jian Shi Chang Zi [1999] No.21)
(6) Notice on Transmitting the Circular on Enhancing Counter System Technical Risk Prevention and Strengthening Internal Control of Shanghai Stock Exchange (May 27, 1999, Zheng Jian Shi Chang Zi [1999] No.22)
l Treasury bonds transaction
(7) Notice on Banning the Short Selling of Treasury Bonds (May 20, 1994 by Ministry of Finance, the People’s Bank of China and the CSRC, Cai Guo Zhai Zi No.20)
(8) Opinion on Facilitating the Winding up of Securities Repurchase Debt Settlement (July 11, 2000 by the People’s Bank of China, Ministry of Finance, Ministry of Public Security and the CSRC, Yin Fa [2000] No.232)
(9) Notice on Launching Treasury Bonds Buyout Repurchase Transaction Businesses (April 8, 2004, Ministry of Finance, the People’s Bank of China and the CSRC, Cai Ku [2004] No.17)
(10) Notice on Implementing Net Price Transaction for the Discount of Treasury Bonds (March 12, 2007 by Ministry of Finance, the People’s Bank of China and the CSRC, Cai Ku [2007] No.21)
l Registration and settlement
(11) Notice on Issues Concerning the Enhancement of Settlement Risk Control (May 28, 1999, Zheng Jian Shi Chang Zi [1999] No.24)
(12) Notice on Issues Concerning the Assistance in Facilitating Local Registration Companies in Clear-up and Restructuring (March 17, 2000, Zheng Jian Shi Chang Zi [2000] No.3)
(13) Notice on Issues Concerning the Standardization of Securities Account Opening Agency Business (March 27, 2000, Zheng Jian Shi Chang Zi [2000] No.4)
(14) Notice on Issues Concerning the Handling of Matters Related to Share Classification of Listed Companies (May 8, 2000, Zheng Jian Shi Chang Zi [2008] No.8)
(15) Administrative Measures on Securities Registration and Settlement (April 7, 2006, Decree No.29 of CSRC)
(16) Administrative Measures on Securities Settlement Risk Funds (June 16, 2006 by the CSRC, Ministry of Finance, Zheng Jian Fa [2006] No.65)
l Institutional investors
(17) Notice on Issues Concerning the Securities Accounts, Transaction Seats and Settlement Fund Accounts Involved in the Entrusted Investment of Social Security Fund Committee (July 11, 2002, Zheng Jian Shi Chang Zi [2002] No.3)
(18) Notice on Issues Concerning the Securities Accounts and Capital Accounts Special for Trust Opened by Trust Investment Companies (September 10, 2004 by the CBRC and CSRC, Yin Jian Fa [2004] No.61)
(19) Provisional Measures on the Administration on Share Investment by Insurance Institution Investors (October 24, 2004 by the CIRC and CSRC, Decree No.12 of CIRC in 2004)
(20) Notice on Issues Concerning the Share Investment Transaction of Insurance Institution Investors (February 7, 2005 by the CIRC and CSRC, Bao Jian Fa [2005] No.13)
VII. Securities company
l Establishment and change of company and branch
(1) Notice on Issues Concerning the Supervision over the Overseas Chinese-funded Securities Institutes (September 7, 1998, Zheng Jian Ji Zi [1998] No.19)
(2) Notice on Issues Concerning Review and Approval of Securities Operating Sites (March 16, 1999, Zheng Jian Ji Gou Zi [1999] No.13)
(3) Certain Opinions on Further Enhancing Supervision over Securities Companies (March 16, 1999, Zheng Jian Ji Gou Zi [1999] No.14)
(4) Notice on the Review and Approval of the Relocation of Securities Operating Institute in the Same City (August 30, 1999, Zheng Jian Ji Gou Zi [1999] No.92)
(5) Notice on Clearing Up and Standardizing Remote Securities Transaction Sites (November 1, 1999 by the CSRC and State Administration of Industry & Commerce, Zheng Jian Ji Gou Zi [1999] No.123)
(6) Implementation Rules for Review and Approval on Converting Treasure Bonds Intermediary Institute of Ministry of Finance into Securities Operating Units (May 24, 2000 by the CSRC and Ministry of Finance, Zheng Jian Ji Gou Zi [2000] No.96)
(7) Notice on Issues Concerning the Strengthening of Administration on Securities Service Departments (June 21, 2000, Zheng Jian Ji Gou Zi [2000] No.131)
(8) Notice on Issues Concerning the Clearing up and Standardization of Securities Operating Sites (October 11, 2000, Zheng Jian Ji Gou Zi [2000] No.235)
(9) Notice on Issues Concerning the Application of Securities Companies for Establishing Securities Service Department (November 14, 2000, Zheng Jian Ji Gou Zi [2000] No.264)
(10) Notice on Issues Concerning the Cross-province Relocation of Operating Sites of Securities Companies (May 21, 2001, Zheng Jian Ji Gou Zi [2001] No.80)
(11) Notice on Issues Concerning the Capital Increase and Share Expansion of Securities Companies (November 23, 2001, Zheng Jian Fa [2001] No.146)
(12) Administrative Measures on Securities Companies (December 28, 2001, Decree No.5 of CSRC)
(13) Rules for Establishment of Securities Companies with Foreign Equity Participation (June 1, 2002, Decree No.8 of CSRC)
(14) Notice on Issues Concerning the Rules for Establishment of Securities Companies with Foreign Equity Participation and Rules for Establishment of Funds Management Companies with Foreign Equity Participation (November 18, 2002 by the CSRC and Ministry of Foreign Trade and Economic Cooperation, Zheng Jian Fa [2002] No.86)
(15) Notice on Issues Concerning the Change of Shareholders Holding Less than 5% Equity of the Securities Companies (June 22, 2006, Zheng Jian Ji Gou Zi [2006] No.117)
l Corporate governance and internal control
(16) Provisional Standards for Technical Management of Information Technologies Used in the Operating Sites of Securities Operating Institutes (March 5, 1998, Zheng Jian Xin Zi [1998] No.2)
(17) Notice on Enhancing Risk Prevention of Securities Operating Sites (July 5, 1999, Zheng Jian Ji Gou Zi [1999] No.56)
(18) Notice on Facilitating the Internal Control Audit of Securities Companies (October 4, 2001, Zheng Jian Ji Gou Zi [2001] No.202)
(19) Provisional Standards for Securities Company Governance (December 15, 2003, Zheng Jian Ji Gou Zi [2003] No.259)
(20) Guidance for Internal Control of Securities Companies (December 15, 2003, Zheng Jian Ji Gou Zi [2003] No.260)
(21) Opinions on Certain Measures to Enhance the Internal Control of Operating Sites of Securities Companies (December 15, 2003, Zheng Jian Ji Gou Zi [2003] No.261)
l Personnel
(22) Administrative Measures on Qualification of Securities Practitioners (December 16, 2002, Decree No.14 of CSRC)
(23) Notice on Printing Commitment of Senior Managers of Securities Companies for Honest Operation (February 16, 2005, Zheng Jian Ji Gou Zi [2005] No.22)
(24) Administrative Measures on Qualification of Directors, Supervisors and Senior Managers of Securities Companies (November 30, 2006, Decree No.39 of CSRC)
(25) Notice on Issues Concerning the Implementation of Administrative Measures on Qualification of Directors, Supervisors and Senior Managers of Securities Companies (November 30, 2006, Zheng Jian Ji Gou Zi [2006] No.300)
l Business
(26) Notice on Improving Inspection System to Prevent the Stealing and Sales of Shares (June 14, 1994, Zheng Jian Fa Zi [1994] No.78)
(27) Provisional Measures on Administration of the Qualification of Domestic and Overseas Securities Operating Institutes for Engaging in Foreign-capital Share Business (October 23, 1996, Zheng Jian [1996] No.5)
(28) Administrative Measures on Self-operation Business of Securities Operating Institutes (October 23, 1996, Zheng Jian [1996] No.6)
(29) Notice on Banning the Non-securities Operating Institutes from Engaging in Securities Business Operation (July 17, 1999, Zheng Jian Ji Gou Zi [1999] No.63)
(30) Notice on Clearing the Problems Related to the Business of “Stock Investment through Deposit Book” (November 25, 1999, Zheng Jian Ji Gou Zi [1999] No.142)
(31) Provisional Administrative Measures on Online Securities Entrustment (March 30, 2000, Zheng Jian Xin Xi Zi [2000] No.5)
(32) Approval Procedures for Online Entrustment Business of Securities Companies (April 29, 2000, Zheng Jian Xin Xi Zi [2000] No.6)
(33) Supplementary Notice on Issues Concerning Securities Operating Institutes Engaging in B-share Business (February 23, 2001 by the CSRC, State Administration of Foreign Exchange, Zheng Jian Fa [2001] No.26)
(34) Administrative Measures on Transaction Settlement Funds of Clients (May 16, 2001, Decree No.3 of CSRC)
(35) Notice on Issues Concerning Administrative Measures on Transaction Settlement Funds of Clients (October 8, 1001, Zheng Jian Fa [2001] No.121)
(36) Notice On Adjusting the Securities Transaction Commission Collection Standard (April 4, 2002 by the CSRC, State Planning Commission, and State Administration of Taxation, Zheng Jian Fa [2002] No.21)
(37) Provisional Measures on Client Asset Management Business of Securities Companies (December 18, 2003, Decree No.17 of CSRC)
(38) Circular Concerning Separate Administration of the Settlement Reserve Accounts of Securities Companies (August 30, 2004, Zheng Jian Ji Gou Zi [2004] No.105)
(39) Notice on Further Enhancing Supervision on Clients’ Transaction Settlement Funds of Securities Companies (October 12, 2004, Zheng Jian Ji Gou Zi [2004] No.131)
(40) Notice on Issues Concerning Securities Companies Engaging in Integrated Assets Management Business (October 22, 2004, Zheng Jian Ji Gou Zi [2004] No.140)
(41) Notice on Further Enhancing the Monitoring over the Transfer of Clients’ Transaction Settlement Funds (January 28, 2005 by the CSRC and the People’s Bank of China, Zheng Jian Fa [2005] No.15)
(42) Notice on Transmitting Guidance for Self-operation Business of Securities Companies to Enhance Supervision on the Self-operation Business of Securities Companies (November 11, 2005, Zheng Jian Ji Gou Zi [2005] No.126)
(43) Administrative Measures on Pilot Operation of Capital Financing and Securities Financing Business of Securities Companies (June 30, 2006, Zheng Jian Fa [2006] No.69)
(44) Guidance for Internal Control for Pilot Operation of Capital Financing and Securities Financing Business of Securities Companies (June 30, 2006, Zheng Jian Ji Gou Zi [2006] No.124)
(45) Measures on Approval of Qualification of Treasury Bonds Underwriting Syndicate (July 4, 2006 by Ministry of Finance, the People’s Bank of China and the CSRC, Decree No.39 of Ministry of Finance)
l Finance
(46) Notice on Standardizing Participation of Securities Companies in Risk Investment (April 12, 2001, Zheng Jian Ji Gou Zi [2001] No.59)
(47) Notice on Issues Concerning Guarantee of Securities Companies (April 24, 2001, Zheng Jian Fa [2001] No.69)
(48) Administrative Measures on Loans to Securities Companies with Share Pledge (November 2, 2004 by the People’s Bank, CBRC and CSRC, Yin Fa [2004] No.256)
(49) Notice on Issues Concerning Securities Companies Borrowing Primary Debts (December 13, 2005, Zheng Jian Ji Gou Zi [2005] No.146)
(50) Administrative Measures on Risk Control Indexes of Securities Companies (July 20, 2006, Decree No.34 of CSRC)
(51) Notice on Adjusting Net Asset Calculation Standard of Securities Companies (August 21, 2007, Zheng Jian Ji Gou Zi [2007] No.201)
l Information report and disclosure
(52) Statistic and Report System of Securities Companies (August 20, 2002, Zheng Jian Ji Gou Zi [2002] No.248)
(53) Notice on Issuing Standards for Contents and Formats of Annual Report of Securities Companies (Revision 2002) and Submitting Supplementary Regulatory Report (December 27, 2002, Zheng Jian Kuai Ji Zi [2002] No.16)
(54) Notice on Issues Concerning the Implementation of Accounting System for Financial Enterprises by Securities Companies (January 5, 2004, Zheng Jian Ji Gou Zi [2004] No.1)
(55) Notice on Issues Concerning Information Publication of Securities Companies (April 20, 2006, Zheng Jian Ji Gou Zi [2006] No.71)
l Classified supervision
(56) Notice on Issues Concerning the Promotion of Securities Innovation Activities (August 12, 2004, Zheng Jian Ji Gou Zi [2004] No.96)
(57) Notice on Issues Concerning the Review and Supervision on Securities Companies of Regulatory Type (April 6, 2005, Zheng Jian Ji Gou Zi [2005] No.41)
l Protection funds
(58) Notice on Issues Concerning the Handling of the Interest of the Frozen Subscription Capital During the Issue of Such Securities as Shares and Convertible Bonds (January 28, 2005 by the CSRC and Ministry of Finance, Zheng Jian Fa Xing Zi [2005] No.5)
(59) Administrative Measures on Securities Investor Protection Funds (June 30, 2005 by the CSRC, Ministry of Finance and the People’s Bank of China, Decree No.27 of CSRC)
(60) Provisional Administrative Measures on the Application for the Use of Securities Investor Protection Funds (March 7, 2006, Zheng Jian Fa [2006] No.20)
(61) Provisional Administrative Measures on the Creditor’s Rights of the Securities Investors Protection Funds Companies in China (May 17, 2006, Zheng Jian Fa [2006] No.48)
(62) Notice on Issues Concerning Paying Securities Investors Protection Funds (July 12, 2006, Zheng Jian Fa [2006] No.78)
(63) Notice on Printing Provisional Implementation Measures on Securities Companies Paying Securities Investors Protection Funds (March 28, 2007, Zheng Jian Fa [2007] No.50)
l Risk Handling
(64) Opinion on Acquisition of Individual Creditor’s Rights and Client’s Securities Transaction Settlement Funds (November 9, 2004 by the People’s Bank of China, Ministry of Finance, the CBRC, and CSRC, Zheng Jian Fa [2004] No.110)
(65) Implementation Measures on Acquisition of Individual Creditor’s Rights and Client’s Securities Transaction Settlement Funds (January 28, 2005 by the CSRC, the People’s Bank of China, Ministry of Finance, and the CBRC, Zheng Jian Fa [2005] No.10)
(66) Notice on Further Facilitating the Identification and Confirmation of Individual Creditor’s Rights (May 23, 2005, Zheng Jian Ban Fa [2005] No.28)
(67) Notice on Issues Concerning Acquisition of Individual Creditor’s Rights and Client’s Securities Transaction Settlement Funds of the Securities Companies (June 30, 2005, the CSRC, the People’s Bank of China, and Ministry of Finance, Zheng Jian Fa [2005] No.59)
(68) Guidance for Connection Technology for Accessing the Information System of Securities Companies in the Risk Handling Procedures (April 21, 2006, Zheng Jian Xin Xi Zi [2006] No.3)
(69) Circular on Issuing the Supplementary Notice on Issues Concerning Acquisition of Individual Creditor’s Rights (June 2, 2006 by the People’s Bank of China, Ministry of Finance, the CBRC and the CSRC, Yin Fa [2006] No.189)
VIII. Securities service institutes
l CPA firms and asset evaluation institutes
(1) Notice on No Restriction on the Cross-region Securities Business Operation by Intermediary Institutes (November 16, 1999, Zheng Jian Kuai Ji Zi [1999] No.60)
(2) Administrative Regulations on Operation Permit for CPA for Engaging in Securities and Futures Businesses (June 10, 2000 by Ministry of Finance and the CSRC, Zheng Xie Zi [2000] No.56)
(3) Supplementary Provisions of Administrative Regulations on Operation Permit for CPA for Engaging in Securities and Futures Businesses (July 30, 2003 by Ministry of Finance and the CSRC, Cai Kuai [2003] No.22)
(4) Regulations on the Regular Replacement of Signing CPA for Securities and Future Audit Businesses (October 8, 2003 by Ministry of Finance and the CSRC, Zheng Jian Kuai Ji Zi [2003] No.13)
(5) Responsibility System for the Supervision over Securities and Futures Related Businesses by CPA Firms and Asset Evaluation Institutes (November 21, 2005, Zheng Jian Kuai Ji Zi [2005] No.13)
(6) Notice on Issues Concerning CPA Firms Engaging in Securities and Futures Related Businesses (April 9, 2007 by Ministry of Finance and the CSRC, Cai Kuai [2007] No.6)
l Law firms
(7) Administrative Measures on Law Firms Engaging in Securities Legal Businesses (March 9, 2007 by the CSRC and Ministry of Justice, Decree No.41 of the CSRC)
l Investment consultation and securities information dissemination
(8) Notice on Enhancing Supervision over Dissemination of Securities and Futures Market Information by Local Newspaper and Other Media (May 29, 1996, Zheng Jian Fa Zi [1996] No.64)
(9) Certain Regulations on Enhancing Administration of Securities and Futures Information Dissemination (December 12, 1997 by the CSRC, Press and Publication Administration, Ministry of Posts and Telecommunications, State Administration of. Ratio, Film and Television, Ministry of Industry & Commerce, Ministry of Public Security, Zheng Jian [1997] No.17)
(10) Implementation Rules for Provisional Administrative Measures on Securities and Futures Investment Consultation (April 23, 1998, Zheng Jian [1998] No.14)
(11) Notice on Application of Securities Investment Consultation Institute for Operation Qualification and Application of Securities Investment Consultation Personnel for Practice Qualification (July 27, 1999, Zheng Jian Ji Gou Zi [1999] No.68)
(12) Notice on Enhancing the Administration on Securities Operation Institute and Operating Sites Engaging in Securities Consultation and Securities Information Dissemination Business (September 21, 1999, Zheng Jian Ji Gou Zi [1999] No.105)
(13) Notice on the Administration on the Change of Securities Investment Consultation Institute and Turnover of Consultation Personnel (May 8, 2000, Zheng Jian Ji Gou Zi [2000] No.86)
(14) Notice on Issues Concerning the Standardization of Securities Investment Consultation Businesses Offered for the Public (October 11, 2001, Zheng Jian Ji Gou Zi [2001] No.207)
(15) Notice on Issuing the Provisional Administrative Regulations on Securities Investment Consultation Business with Membership System (December 12, 2005, Zheng Jian Ji Gou Zi [2005] No.143)
(16) Notice on Standardizing the Securities Investment Consultation Institutes and Radio and TV Securities Programs (September 15, 2006 by the CSRC and State Administration of. Ratio, Film and Television, Zheng Jian Ji Gou Zi [2006] No.104)
l Securities Credit Rating
(17) Provisional Administrative Measures on Securities Market Credit Rating (August 24, 2007, Decree No.50 of CSRC)
IX. Funds
l Fund management companies
(1) Guidance Opinion on Internal Control of Securities Investment Funds Management Companies (December 3, 2002, Zheng Jian Ji Jin [2002] No.93)
(2) Administrative Measures on Securities Investment Funds Management Companies (September 16, 2004, Decree No.22 of CSRC)
(3) Notice on Issues Concerning the Implementation of Administrative Measures on Securities Investment Funds Management Companies (September 21, 2004, Zheng Jian Ji Jin Zi [2004] No.147)
(4) Administrative Measures on Pilot Operation of Funds Management Companies Established by the Commercial Banks (February 20, 2005 by the People’s Bank of China, the CBRC and the CSRC, Announcement [2005] No.4 of the People’s Bank of China)
(5) Notice on Issues Concerning the Funds Management Companies Making Fund Investment with Self-owned Capital (June 8, 2005, Zheng Jian Ji Jin Zi [2005] No.96)
(6) Provisional Guidance for Contents and Formats of Supervision and Audit Report of Securities Investment Funds Management Companies (October 25, 2005, Zheng Jian Ji Jin Zi [2005] No.175)
(7) Notice on Issues Concerning Items for Administrative Permission, Including Establishment of Branches, Change of Names and Revision of Articles of Associations for Funds Management Companies (February 7, 2006, Zheng Jian Ji Jin Zi [2006] No.14)
(8) Notice on Issues Concerning the Review and Approval of the Items for Administrative Permission, Including Establishment of Branches, Change of Names and Revision of Articles of Associations for Funds Management Companies (February 7, 2006, Zheng Jian Ji Jin Zi [2006] No.15)
(9) Notice on Issues Concerning the Standardization of Establishment and Equity Disposal of Funds Management Companies (May 8, 2006, Zheng Jian Ji Jin Zi [2006] No.84)
(10) Provisional Standards for Governance of Securities Investment Funds Management Companies (June 15, 2006, Zheng Jian Ji Jin Zi [2006] No.122)
(11) Notice on Issues Concerning Risk Reserve Withheld by Funds Management Companies (August 14, 2006, Zheng Jian Ji Jin Zi [2006] No.154)
(12) Supplementary Provisions on Issues Concerning Risk Reserve Withheld by Funds Management Companies (January 12, 2007, Zheng Jian Kuai Ji Zi [2007] No.1)
l Funds practitioners
(13) Administrative Measures on Post Holding by Senior Managers in Securities Investment Funds Industry (September 22, 2004, Decree No.23 of CSRC)
(14) Notice on Issues Concerning the Implementation of Administrative Measures on Post Holding by Senior Managers in Securities Investment Funds Industry (September 23, 2004, Zheng Jian Ji Jin Zi [2004] No.150)
(15) Administrative Regulations on Supervisors of Securities Investment Funds Management Companies (May 8, 2006, Zheng Jian Ji Jin Zi [2006] No.85)
(16) Guidance Opinion on Administration on Investment Managers of Funds Management Companies (October 27, 2006, Zheng Jian Ji Jin Zi [2006] No.226)
(17) Notice on Issues Concerning Funds Practitioners Investing in Securities Investment Funds (June 13, 2007, Zheng Jian Ji Jin Zi [2007] No.171)
l Funds Operation
(18) Notice on Issues Concerning the Transaction and Charge of Securities Investment Funds (April 3, 1998, Zheng Jian Ji Zi [1998] No.15)
(19) Notice on Issues Concerning the Enhancement of Supervision over Securities Investment Funds (August 24, 1998, Zheng Jian Ji Zi [1998] No.29)
(20) Notice on Issues Concerning the Enhancement of the Monitoring over the Securities Investment Fund Transaction Activities (February 5, 2001, Zheng Jian Ji Jin Zi [2001] No.2)
(21) Notice on Standardizing the Securities Transaction Activities in the Operation of Securities Investment Funds (February 26, 2001, Zheng Jian Fa [2001] No.29)
(22) Administrative Measures on Operation of Securities Investment Funds (June 29, 2004, Decree No.21 of CSRC)
(23) Notice on Issues Concerning the Implementation of Administrative Measures on Operation of Securities Investment Funds (July 15, 2004, Zheng Jian Ji Jin Zi [2004] No.104)
(24) Provisional Regulations on the Administration of Monetary Market Funds (August 16, 2004 by the CSRC, and the People’s Bank of China, Zheng Jian Fa [2004] No.78)
(25) Notice on Issues Concerning the Investment in Monetary Market Funds (March 25, 2005, Zheng Jian Ji Jin Zi [2005] No.41)
(26) Notice on Issues Concerning Further Improving the Approval Procedures for Securities Investment Fund Raising Application (June 16, 2005, Zheng Jian Ji Jin Zi [2005] No.101)
(27) Notice on Issues Concerning the Investment Warrant of Securities Investment Fund in the Share Separation Reform (August 15, 2005, Zheng Jian Ji Jin Zi [2005] No.138)
(28) Notice on Issues Concerning the Short-term Capital Financing and Securities Financing in Monetary Market Fund Investment (September 22, 2005, Zheng Jian Ji Jin Zi [2005] No.163)
(29) Notice on Issues Concerning the Bank Deposit for Monetary Market Fund Investment (November 21, 2005, Zheng Jian Ji Jin Zi [2005] No.190)
(30) Notice on Issues Concerning Investment of Securities Investment Fund in Asset Backed Securities (May 14, 2006, Zheng Jian Ji Jin Zi [2006] No.93)
(31) Notice on Issues Concerning the Investment of the Funds to Securities Subject to Restricted Circulation, Such as Non-public Offering Shares (July 20, 2006, Zheng Jian Ji Jin Zi [2006] No.141)
(32) Notice on Issues Concerning the Improvement of the Transaction Seat System of the Securities Investment Funds (February 16, 2007, Zheng Jian Ji Jin Zi [2007] No.48)
l Information disclosure of funds
(33) Administrative Measures on Information Disclosure of Securities Investment Funds (June 8, 2004, Decree No.19 of CSRC)
(34) Standards for Contents and Formats of Information Disclosure by Securities Investment Funds No.1: Contents and Formats of Listing Announcement (June 8, 2004, Zheng Jian Ji Jin Zi [2004] No.72)
(35) Standards for Contents and Formats of Information Disclosure by Securities Investment Funds No.2: Contents and Formats of Annual Report (June 8, 2004, Zheng Jian Ji Jin Zi [2004] No.72)
(36) Standards for Contents and Formats of Information Disclosure by Securities Investment Funds No.3: Contents and Formats of Semi-annual Report (June 8, 2004, Zheng Jian Ji Jin Zi [2004] No.72)
(37) Standards for Contents and Formats of Information Disclosure by Securities Investment Funds No.4: Contents and Formats of Contents and Formats of Quarterly Report (June 8, 2004, Zheng Jian Ji Jin Zi [2004] No.72)
(38) Standards for Contents and Formats of Information Disclosure by Securities Investment Funds No.5: Contents and Formats of Prospectus (August 5, 2004, Zheng Jian Ji Jin Zi [2004] No.119)
(39) Standards for Contents and Formats of Information Disclosure by Securities Investment Funds No.6: Contents and Formats of Fund Contract (September 15, 2004, Zheng Jian Ji Jin Zi [2004] No.139)
(40) Standards for Contents and Formats of Information Disclosure by Securities Investment Funds No.7: Contents and Formats of Custody Agreement (December 21, 2005, Zheng Jian Ji Jin Zi [2005] No.203)
(41) Rules on Reparation of Information Disclosure by Securities Investment Funds No.1: Calculation and Disclosure of Major Financial Indexes (September 1, 2003, Zheng Jian Ji Jin Zi [2003] No.104)
(42) Rules on Reparation of Information Disclosure by Securities Investment Funds No.2: Preparation and Disclosure of Net Asset Value Performance (September 1, 2003, Zheng Jian Ji Jin Zi [2003] No.104)
(43) Rules on Reparation of Information Disclosure by Securities Investment Funds No.3: Preparation and Disclosure of Notes to Financial Statement (June 8, 2004, Zheng Jian Ji Jin Zi [2004] No.72)
(44) Rules on Reparation of Information Disclosure by Securities Investment Funds No.4: Preparation and Disclosure of Reports on Funds Investment Portfolio (June 8, 2004, Zheng Jian Ji Jin Zi [2004] No.72)
(45) Rules on Reparation of Information Disclosure by Securities Investment Funds No.5: Special Regulations on Information Disclosure of Monetary Market Funds (March 25, 2005, Zheng Jian Ji Jin Zi [2005] No.42)
(46) Notice on Issues Concerning the Implementation of Evaluation Business and Share Net Value Calculation in Enterprise Accounting Standards by Securities Investment Funds (June 28, 2007, Zheng Jian Kuai Ji Zi [2007] No.21)
l Funds sales
(47) Administrative Measures on Securities Investment Funds (June 25, 2004, Decree No.20 of CSRC)
(48) Notice on Issues Concerning the Implementation of Administrative Measures on Securities Investment Funds (July 15, 2004, Zheng Jian Ji Jin Zi [2004] No.106)
(49) Administrative Regulations on Information Management Platform for Securities Investment Fund Sales Business (March 15, 2007, Zheng Jian Ji Jin Zi [2007] No.76)
(50) Guidance Opinion on Internal Control of Sales Institute of Securities Investment Funds (October 12, 2007, Zheng Jian Ji Jin Zi [2007] No.277)
(51) Guidance Opinion on Applicability of Securities Investment Funds Sales (October 12, 2007, Zheng Jian Ji Jin Zi [2007] No.278)
l Fund entrustment
(52) Administrative Measures on Qualification for Entrustment of Securities Investment Funds (November 29, 2004 by the CSRC and CBRC, Decree No.26 of CSRC)
l Enterprise annuity
(53) Provisional Measures on Enterprise Annuity Fund Management (February 23, 2004 by Ministry of Labor and Social Security, the CBRC, CSRC and CIRC, Decree No.23 of Ministry of Labor and Social Security)
(54) Notice on Issues Concerning the Securities Investment of Enterprise Annuity Funds (October 11, 2004 by the CSRC and Ministry of Labor and Social Security, Lao She Bu Fa [2004] No.25)
l Qualified domestic and foreign institutional investors
(55) Notice on Issues Concerning Further Facilitating the Domestic Securities Investment Registration and Settlement Business by QFII (June 27, 2003, Zheng Jian Shi Chang Zi [2003] No.2)
(56) Notice on Issues Concerning the Domestic Securities Investment Registration and Settlement Business by QFII (July 4, 2003, Zheng Jian Shi Chang Zi [2003] No.3)
(57) Administrative Measures on Domestic Securities Investment by QFII (August 24, 2006 by the CSRC, the People’s Bank of China and State Administration of Foreign Exchange, Zheng Jian Ji Jin Zi [2006] No.176)
(58) Notice on Issues Concerning the Implementation of Administrative Measures on Domestic Securities Investment by QFII (August 24, 2006, Zheng Jian Ji Jin Zi [2006] No.176)
(59) Provisional Administrative Measures on Overseas Securities Investment by Qualified Domestic Institutional Investors (June 18, 2007, Decree No.46 of CSRC)
(60) Notice on Issues Concerning the Implementation of Provisional Administrative Measures on Overseas Securities Investment by Qualified Domestic Institutional Investors (June 18, 2007, Zheng Jian Fa [2007] No.81)
X. Futures
l Investigation and punishment on illegal futures
(1) Notice on Serious Investigation and Punishment on Illegal Foreign Exchange Futures and Foreign Exchange Margin Transaction Activities (October 28, 1994 by the CSRC, State Administration of Foreign Exchange, State Administration of Industry & Commerce, Ministry of Public Security, Zheng Jian Fa [1994] No.165)
(2) Notice on Suspending Bean Oil Futures Transaction and Banning the Futures Transaction by Means of Sugar Medium and Long Term Contract Transaction (January 11, 1995 by the CSRC and Ministry of Internal Trade, Zheng Jian Fa Zi [1995] No.8)
(3) Notice on Suspending the Medium and Long Term Contract Transaction (March 28, 1995 by the CSRC and Ministry of Internal Trade, Nei Mao Shi Lian Zi [1995] No.21)
(4) Notice on Further Clarifying the Responsibilities and Work Division in Investigating and Punishing the Illegal Futures Transaction (August 12, 1998 by the CSRC and State Administration of Industry & Commerce, Zheng Jian Qi Zi [1998] No.15)
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(5) Notice on Issues Concerning the Change Registration of Futures Brokerage Companies (January 5, 1999 by the CSRC and State Administration of Industry & Commerce, Zheng Jian Qi Huo Qi [1999] No.1)
(6) Notice on Facilitating the Annual Audit and Report of Futures Brokerage Companies (January 11, 2000, Zheng Jian Kuai Ji Zi [2000] No.3)
(7) Guiding Principle for Enhancing the Internal Control of Futures Brokerage Companies (April 6, 2000, Zheng Jian Qi Huo Zi [2000] No.12)
(8) Notice on Issues Concerning the Supervision over Operating Sites of Futures Brokerage Companies (September 5, 2001, Zheng Jian Qi Huo Zi [2001] No.28)
(9) Notice on Partially Adjusting the Reference Contents and Formats of Annual Report for Futures Brokerage Companies (January 14, 2002, Zheng Jian Qi Huo Zi [2002] No.9)
(10) Provisional Standards on Governance of Futures Brokerage Companies (March 15, 2004, Zheng Jian Qi Huo Qi [2004] No.13)
(11) Notice on Submitting Supervision Report on Futures Brokerage Companies (July 27, 2004, Zheng Jian Qi Huo Zi [2994] No.53)
(12) Notice on Issues Concerning Futures Brokerage Companies with Equity Participations by Hong Kong and Macao Service Providers (August 19, 2005, Zheng Jian Qi Huo Zi [2005] No.138)
(13) Notice on Further Enhancing Establishment of Internal Management System of Futures Companies and Perfecting Corporate Governance Structure (October 8, 2005, Zheng Jian Qi Huo Zi [2005] No.160)
(14) Administrative Measures on Futures Companies (April 9, 2007, Decree No.43 of CSRC)
(15) Provisional Measures on Administration on Risk Control Indexes of Futures Companies (April 19, 2007, Zheng Jian Fa [2007] No.55)
(16) Notice on Printing Futures Company Financial Supervisory Report (June 4, 2007, Zheng Jian Kuai Ji Zi [2007] No.17)
(17) Notice on Adjusting the Preparation Works for Risk Control Report of Futures Companies (July 19, 2007, Zheng Jian Qi Huo Zi [2007] No.93)
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(18) Administrative Measures on Qualification of Directors, Supervisors and Senior Managers of Futures Companies (July 4, 2007, Decree No.47 of CSRC)
(19) Administrative Measures on Futures Practitioners (July 4, 2007, Decree No.48 of CSRC)
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(20) Notice on Printing Guidance for Futures Brokerage Contract and Futures Transaction Risk Instruction (December 21, 1999, Zheng Jian Qi Huo Zi [1999] No.21)
(21) Provisional Standards for Information Technology Administration of Futures Exchanges and Futures Operating Institutes (December 26, 2000, Zheng Jian Qi Huo Zi [2000] No.38)
(22) Administrative Measures on State-owned Enterprises Engaged in Overseas Futures Hedging Businesses (May 24, 2001 by the CSRC, State Economic and Trade Commission, Ministry of Foreign Trade and Economic Cooperation, State Administration of Industry & Commerce, and State Administration of Foreign Exchange, Zheng Jian Fa [2001] No.81)
(23) Guidance Opinion on Administration System for State-owned Enterprises Engaged in Overseas Futures Hedging Businesses (October 11, 2001, Zheng Jian Qi Huo Zi [2001] No.29)
(24) Notice on Granting China Futures Association with the Responsibility of Archiving and Reviewing the Futures Brokerage Contracts (April 23, 2003, Zheng Jian Qi Huo Zi [2003] No.30)
(25) Notice on Enhancing the Administration on Futures Transaction Coding (November 19, 2003, Zheng Jian Qi Huo Zi [2003] No.97)
(26) Guidance for Administration System of State-owned Cotton Related Enterprise Engaging in Futures Hedging Businesses (May 25, 2004, Zheng Jian Qi Huo Zi [2004] No.32)
(27) Provisional Measures on Closed Management of Futures Brokerage Companies (July 20, 2004, Zheng Jian Qi Huo Zi [2004] No.32)
(28) Notice on Issues Concerning the Standardization of Margin Deposit and Withdrawal (January 19, 2006, Zheng Jian Qi Huo Zi [2006] No.9)
(29) Administrative Measures on Futures Exchange (April 9, 2007, Decree No.42 of CSRC)
(30) Provisional Measures on Management of Futures Investors Protection Funds (April 19, 2007 by the CSRC and Ministry of Finance, Decree No.38 of CSRC)
(31) Provisional Measures on Financial Futures Settlement Business of Futures Companies (April 19, 2007, Zheng Jian Fa [2007] No.54)
(32) Provisional Measures on Securities Companies Providing Intermediary Services for Futures Companies (April 20, 2007, Zheng Jian Fa [2007] No.56)
(This English version by Shenzhen Securities Information Co., Ltd. is for your reference only. In case any discrepancy exists between the Chinese and English context, the Chinese version shall prevail.)
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