Aggregated News From Investment Management Regulators

China

Joint Announcement of the China Securities Regulatory Commission and the Hong Kong Securities and Futures Commission

To further deepen mutual stock market access between the Mainland and Hong Kong (Stock Connect) and promote the development of both capital markets, the China Securities Regulatory Commission (CSRC) and the Hong Kong Securities and Futures Commission (SFC) agree in principle to the inclusion of eligible exchange-traded funds (ETFs) by Mainland and Hong Kong exchanges in Stock Connect. It is hereby announced that: 1. To expand the variety of traded products and provide more investment opportunities and convenience for domestic and overseas investors, the CSRC and the SFC reached a consensus to include ETFs as eligible securities under Stock Connect...

Officials of Relevant CSRC Department Answered Reporter Question

Reporter: What are the CSRC’s comments on DiDi’s announcement today about its voluntary delisting from the U.S. stock exchange? CSRC Official: We have taken notice of the announcement. This is an independent corporate decision made by the company based on its own situation and market conditions. The CSRC has always maintained a consistent attitude that overseas listing of Chinese companies shall comply with applicable laws, regulations, and regulatory requirements in both their host and home markets, and required listed companies to fully protect the legitimate rights and interests of investors, especially those of small and medium investors.    DiDi’s voluntary delisting is a specific case that has no linkage to other Chinese companies listed overseas. It has nothing to do with the ongoing negotiation between Chinese and U.S....

Vice Chairman FANG Xinghai Virtually Met with Mr. Joerg WUTTKE, President of the European Union Chamber of Commerce in China

On 28th March 2022, CSRC Vice Chairman FANG Xinghai virtually met with Mr. Joerg WUTTKE, President of the European Union Chamber of Commerce in China, and representatives from member companies of the Chamber. They discussed topics includig enhancing China-EU capital market cooperation and supporting EU financial institutions' investment and business expansion in China. This news item was originally published by the China Securities Regulatory Commission (CSRC CN). For more information, please see the Source Link.

The CSRC Solicits Public Comments on Revision to the Provisions on Strengthening Confidentiality and Archives Administration of Overseas Securities Offering and Listing by Domestic...

In order to support domestic companies to offer and list securities in overseas markets pursuant to laws and regulations, to strengthen the confidentiality and archives administration concerning such overseas securities offering and listing by domestic companies, and to enhance cross-border regulatory cooperation in this regard, China Securities Regulatory Commission (CSRC), Ministry of Finance of the People’s Republic of China (MoF), National Administration of State Secrets Protection, and National Archives Administration of China, have jointly revised the Provisions on Strengthening Confidentiality and Archives Administration for Overseas Securities Offering and Listing (Announcement No.29 of the CSRC, hereinafter referred to as the “Provisions”). Now...

Officials of Relevant CSRC Department Answered Reporter Questions

On April 2, 2022, China Securities Regulatory Commission (CSRC) released the revised Provisions on Strengthening Confidentiality and Archives Administration of Overseas Securities Offering and Listing by Domestic Companies (Draft for Comments, hereinafter referred to as the revised “Provisions”) for public comments. The reporter interviewed the officials of relevant department at the CSRC regarding the revised Provisions.     1. Reporter: What is the main consideration for revising the Provisions on Strengthening Confidentiality and Archives Administration for Overseas Securities Offering and Listing (Announcement No. 29 ) at the current time?     CSRC Official: The Provisions played a positive role in promoting confidentiality and archives administration related to overseas securities offering and listing since it...

CSRC Official of Department of International Affairs Answered Reporter Question

Reporter: What are the CSRC’s comments on the recent statement of Chair of the US Securities Exchange Commission (SEC) on China-U.S. audit oversight cooperation? Official: We’ve noticed the remarks made by the SEC Chair during a recent media interview. As Chair Gensler said, there have been thoughtful, respectful, and productive conversations between regulators from both sides. Chairman Yi Huiman of the CSRC and Chair Gensler have had three video conferences since last August over the remaining issues concerning audit oversight cooperation. The Chinese side has engaged with the Public Company Accounting Oversight Board (PCAOB) for many rounds of candid, professional and effective consultations...

CSRC to Implement the Requirements of the FSDC and Safeguard Capital Markets Stability

Shortly after the meeting of the Financial Stability and Development Committee under China's State Council (FSDC) on March 16, the leadership of the China Securities Regulatory Commission (CSRC) convened to plan measures for implementing the requirements of the FSDC.     The CSRC recognizes the FSDC meeting as timely and important against the complexity of situations. The meeting places high priority on capital markets by fully addressing market concerns and providing very targeted guidance for actions to be taken. This year, China’s national economy continues the pace of recovery. Major economic indicators stay in appropriate ranges as pro-growth policies on all fronts are taking effect. Listed...

Chairman YI Huiman Met with ROK Ambassador to China JANG Ha Sung

On 16 March, 2022, CSRC Chairman YI Huiman met with Mr. JANG Ha Sung, Republic of Korea’s Ambassador to China. They discussed issues including the reform and opening-up of China’s capital markets and the development experience of capital markets of the ROK. The two sides agreed to deepen pragmatic cooperation between capital markets of both countries, thus making positive contributions to the economic and financial cooperation between the two countries at the 30th anniversary of the establishment of China-ROK diplomatic relations. This news item was originally published by the China Securities Regulatory Commission (CSRC CN). For more information, please see the...

CSRC Officials Answered Reporter Question

Reporter: Recently, the US Securities Exchange Commission (SEC) released a provisional list of five US-listed China-related companies that had been identified as being subject to the potential risk of delisting under the Holding Foreign Companies Accountable Act (HFCAA). What is the CSRC’s comment on this? CSRC Official: We have taken note of this development. This is a step taken by the US securities regulator to implement the HFCAA and relevant rules. We have made clear our position on the implementation of the HFCAA in previous statements. We respect the actions taken by overseas regulators to enhance oversight of relevant accounting firms so...

CSRC Annual Report  2019

This news item was originally published by the China Securities Regulatory Commission (CSRC CN). For more information, please see the Annual Report here: Source Link.

CSRC Annual Report 2020

This news item was originally published by the China Securities Regulatory Commission (CSRC CN). For more information, please see the Annual Report here: Source Link.

CSRC’s Annual Work Conference Sets Priorities for 2022

On 17 January, China Securities Regulatory Commission (CSRC) convened its Annual Work Conference 2022. Chairman Yi Huiman delivered a report which reviews the achievements of China’s capital market and the CSRC’s regulatory work in 2021, analyzes domestic and international developments, and unfolds the regulatory priorities and initiatives for 2022, with an overarching requirement of prioritizing stability through in-depth reforms. The conference was attended by other members of the CSRC leadership, senior officials from CSRC departments, and representatives from CSRC affiliates as well as relevant government authorities. The conference noted that, in view of the world changes unseen in a century...

Regulator Information

Abbreviation: ASIC
Jurisdiction: Australia
Abbreviation: BCSC
Jurisdiction: Canada
Abbreviation: BVI FSC
Jurisdiction: British Virgin Islands
Abbreviation: CSA
Jurisdiction: Canada
Regulator Name: Capital Market Authority
Abbreviation: CMA
Jurisdiction: Saudi Arabia
Abbreviation: CIMA
Jurisdiction: Cayman Islands
Regulator Name: Central Bank of Armenia
Abbreviation: CBA
Jurisdiction: Armenia
Regulator Name: Central Bank of Iceland
Abbreviation: CB IS
Jurisdiction: Iceland
Abbreviation: CBR
Jurisdiction: Russian Federation
Abbreviation: CSRC
Jurisdiction: China
Abbreviation: CSSF
Jurisdiction: Luxembourg
Abbreviation: CFTC
Jurisdiction: USA
Abbreviation: CFPB
Jurisdiction: United States
Abbreviation: HANFA
Jurisdiction: Croatia
Abbreviation: CySEC
Jurisdiction: Cyprus
Abbreviation: DFSA
Jurisdiction: Denmark
Abbreviation: AFM
Jurisdiction: Netherlands
Regulator Name: European Banking Authority
Abbreviation: EBA
Jurisdiction: Supranational
Abbreviation: EIOPA
Jurisdiction: Supranational
Abbreviation: ESMA
Jurisdiction: ESMA
Abbreviation: FDIC
Jurisdiction: United States
Regulator Name: Federal Reserve System
Abbreviation: FRB US
Jurisdiction: United States
Abbreviation: FRA
Jurisdiction: Egypt
Abbreviation: FCNB
Jurisdiction: Canada
Regulator Name: Financial Conduct Authority
Abbreviation: FCA
Jurisdiction: United Kingdom
Abbreviation: FinCEN
Jurisdiction: United States
Abbreviation: FINRA
Jurisdiction: United States
Regulator Name: Financial Market Authority
Abbreviation: FMA
Jurisdiction: Austria
Regulator Name: Financial Markets Authority
Abbreviation: AMF
Jurisdiction: Canada
Regulator Name: Financial Markets Authority
Abbreviation: AMF
Jurisdiction: France
Regulator Name: Financial Markets Authority
Abbreviation: FMA
Jurisdiction: New Zealand
Abbreviation: FSMA
Jurisdiction: Belgium
Abbreviation: SFC
Jurisdiction: Colombia
Abbreviation: FIN-FSA
Jurisdiction: Finland
Abbreviation: FME IS
Jurisdiction: Iceland
Abbreviation: FSA
Jurisdiction: Norway
Abbreviation: IOMFSA
Jurisdiction: Isle of Man
Abbreviation: JFSC
Jurisdiction: Jersey
Abbreviation: MFSA
Jurisdiction: Malta
Abbreviation: MSC
Jurisdiction: Canada
Abbreviation: MAS
Jurisdiction: Singapore
Abbreviation: NFA
Jurisdiction: United States
Abbreviation: CNV
Jurisdiction: Argentina
Abbreviation: OFAC
Jurisdiction: United States
Abbreviation: OCC
Jurisdiction: United States
Abbreviation: OSC
Jurisdiction: Canada
Abbreviation: CMVM
Jurisdiction: Portugal
Abbreviation: SEBI
Jurisdiction: India
Abbreviation: FSA
Jurisdiction: Japan
Abbreviation: SEC
Jurisdiction: United States
Abbreviation: SEC NG
Jurisdiction: Nigeria
Abbreviation: SEC TH
Jurisdiction: Thailand
Abbreviation: CVM
Jurisdiction: Brazil
Abbreviation: SFC
Jurisdiction: Hong Kong
Regulator Name: State Securities Commission
Abbreviation: SSC
Jurisdiction: Vietnam
Abbreviation: FI
Jurisdiction: Sweden
Abbreviation: FINMA
Jurisdiction: Switzerland
Abbreviation: UST
Jurisdiction: United States

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