CSRC may adjust the above percentages based on the developments of securities market.
Under the proposals, the CSRC would have the right to conduct on-site investigation of fund managers and custodian Banks.
Article 33 A disclosure obligor shall disclose the information related to equity changes on at least one media designate by CSRC;
The custodian shall be responsible for the settlement of QFII's domestic securities investment, and shall file with CSRC and SAFE the relevant situation within five working days after opening a RMB settlement account.
If a major change occurs in a matter referred to in the application materials during the application period, the Fund manager shall submit updated materials to the CSRC within five working days of the date the change occurred.
3. Other circumstances as stipulated by CSRC and SAFE.
The chief compliance examiner( s) shall be filed with CSRC for the record.
The proposal of the listed company's associated party on offsetting debts with assets shall be submitted to CSRC for approval.
If the issuer and its lead underwriter recommence the offering work after a suspension, they shall report the same to the CSRC in a timely manner.
Article42: The convener shall submit matters put to a vote and adopted at a Fund shareholders' general meeting in accordance with Article75 of the Securities Investment Funds Law to the CSRC for verification or for the record within five days of the date of adoption thereof.
Any other liable person who is deemed by the CSRC as having violated the relevant laws, administrative regulations or provisions of the CSRC.
The application materials submitted by the domestic and foreign applicants to the CSRC must be in Chinese.
No less than one-third of the members of a board are to be independent directors who, according to a circulation from the CSRC, take no other position other than as a board director .
The CSRC will oversee the pilot reforms.
Repaying debts on behalf of the controlling shareholder or other associated party; Other means ascertained by CSRC.
If the Fund shareholders are to convene a Fund shareholders' general meeting themselves, they shall report the same to the CSRC for the record at least30 days in advance.
Prospectuses prepared by the Company shall comply with the relevant provisions of the CSRC.
Especially Yuantong, the listing plan has been reported to the CSRC, so we must work together and live a game of chess in the whole country vigorously.
Other responsibilities as defined by CSRC, PBOC and SAFE based on prudent supervision principles.
China Securities Regulatory Commission (CSRC)
(4) The home country/region of the applicant should have sound legal and regulatory system, and its securities regulator has signed Memorandum of Understanding with CSRC and has maintained an efficient regulatory and co-operative relationship;
5. Other documents as required by CSRC, PBOC and SAFE.
Article 36. In the event of any of the followings, QFII should surrender its Securities Investment Licence and Foreign Exchange Registration Certificate to CSRC and SAFE respectively:
Article 13. Approvals from CSRC, People's Bank of China (hereinafter referred to as "PBOC") and SAFE are required for custodian status.
國文精選館
