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SFC Releases Consultation Conclusions On Guidelines For Market Soundings

On October 31, 2024, the Securities and Futures Commission (SFC) of Hong Kong released its consultation conclusions on the proposed guidelines for market soundings (Consultation Conclusions). A final version of the Guidelines for Market Soundings (Guidelines) was gazetted the following day.

China Commercial

DP

Davis Polk & Wardwell

Code Of Ethics (COE) Implementation Guidelines - Creating An Effective COE Program For Private Fund Managers

The China Securities Regulatory Commission issued the Provisions on Code of Ethics of Securities and Futures Business Institutions and Their Staff in June 2018, which was amended in August 2022.

LO

Llinks Law Offices

CSRC Released The Provisions On Futures Program Trading

On 13 June 2025, the China Securities Regulatory Commission ("CSRC") released the Provisions on the Administration of Program Trading in the Futures Market (Trial) (《期货市场程序化交易管理规定(试行)》) ("Futures Program Trading Provisions"), which will take effect on 9 October 2025.

LO

Llinks Law Offices

PRC Financial Regulation: Annual Report (2024) - Securities And Futures

Despite the replacement of the former CBIRC, the CSRC retained its position and gained an upgraded status, reflecting the importance attached to the regulation of securities and development of the capital markets through top-level regulation.

China Commercial

FP

Fangda Partners

CSRC's New Regulations On Programme Trading In The Chinese Securities And Futures Market

China Commercial

SY

Shanghai YaoWang Law Offices

CSRC's New Regulations On Programme Trading In The Chinese Futures Market (Consultation Paper)

China Commercial

SY

Shanghai YaoWang Law Offices

U.S. SEC Proposes To Reshape The Definition Of Foreign Private Issuer - And The Impact On Chinese Issuers

China Commercial

HP

Haiwen & Partners

关税乱拳下的合同履行困境：不可抗力或者情势变更？

China International

AB

AnJie Broad Law Firm

境内资金合规出海的选择——ODI、QDII和QDLP/QDIE比较研究

China Commercial

AB

AnJie Broad Law Firm

减持新规下的上市公司合规要点

China Commercial

AB

AnJie Broad Law Firm

香港证监会就虚拟资产交易平台之双重牌照监管制度

China Government

AB

AnJie Broad Law Firm

股权司法拍卖：操作流程与问题解析

China Commercial

AB

AnJie Broad Law Firm

Companies In Beijing Are Submitting Application Materials Relating To The Security Assessment For Cross-Border Data Transfer

China Commercial

SM

Sheppard Mullin Richter & Hampton

《票据交易主协议》框架下的商业银行转贴现风险资产计提探讨

AB

AnJie Broad Law Firm

PRC Financial Regulation: Annual Report (2024) - Securities And Futures

China Commercial

FP

Fangda Partners

PRC Financial Regulation: Annual Report (2024) - Asset Management And Wealth Management

China Wealth Mgt

FP

Fangda Partners

PRC Financial Regulation: Annual Report (2024) FinTech

China Technology

FP

Fangda Partners

A Class Action Over The "Apple Tax" And Its Implications For Chinese Developers

China Anti-trust

LO

Llinks Law Offices

DeepSeek Facing Legal Challenges In Overseas Market

Worldwide Technology

LO

Llinks Law Offices

团体养老保障管理业务及投资运用解析——投资运用篇

当前保险监管体系下，以养老作为关键词的业务包括专属养老保险、商业养老金、个人养老金保险产品、个人税收递延型商业养老保险业务、

China Employment

AB

AnJie Broad Law Firm

证券期货业网络和信息安全及数据保护合规指引（下）——重点解读：信息技术系统服务机构和证券期货业CIIO合规义务

在证券期货业领域中，信息技术系统服务机构作为重要信息系统的供应商，相较于一般信息系统服务机构应承担更严格的合规义务

China Technology

ZL

Zhong Lun Law Firm

证券期货业网络和信息安全及数据保护合规指引（上）——监管目标及立法亮点

在"三法一条例"相继生效实施的背景下，原有《信息技术管理办法》的合规要求难以覆盖日益复杂的网络安全和数据保护问题，于是《办法》应&#

China Technology

ZL

Zhong Lun Law Firm

《上市公司独立董事管理办法》之亮点及思考

2001 年，中国证监会发布《关于在上市公司建立独立董事制度的指导意见》，要求上市公司全面建立独立董事制度。该制度施行二十多年来，...

China Commercial

AB

AnJie Broad Law Firm

SEC Issues Guidance For Disclosures On Ties To The Chinese Government

China International

MB

Mayer Brown

民法典时代商业保理业务未来应收账款的适当性边界

China Commercial

AB

AnJie Broad Law Firm

The Implementation Of China's Trial Measures For The Administration Of Overseas Issuance And Listing Of Securities By Domestic Enterprises (《境内企业境外发行证券和上市管理试行办法》)

China Commercial

SS

Seyfarth Shaw LLP

Key Points Of Fund Management Companies' Subscription For Shares

HK

Han Kun Law Offices

《私募投资基金登记备案办法》及配套指引解读（一） — 总述

HK

Han Kun Law Offices

AMAC Issued New Rules On Fund Filing And Manager Registration

HK

Han Kun Law Offices

Filing-based System For Overseas Listing (IV) – Legal Verification

China Commercial

HK

Han Kun Law Offices

境外上市备案新时代系列（三） — 直接境外上市及全流通篇

China Commercial

HK

Han Kun Law Offices

Filing-based System For Overseas Listings (III) – Direct Listings

China Commercial

HK

Han Kun Law Offices

Regulators Release Overseas Offering And Listing Rules For PRC Companies

MB

Mayer Brown

Filing-based System For Overseas Listing (IV) – Legal Verification

In the process of overseas offering and listing of domestic enterprises so far, it is necessary for the listing intermediaries (the "Intermediaries") to conduct due diligence on all aspects of the issuer.

China Commercial

HK

Han Kun Law Offices

境外上市备案新时代系列（三） — 直接境外上市及全流通篇

境内企业直接境外发行上市，是指在境内登记设立的股份有限公司在境外发行上市（"直接境外上市"），系目前境内企业境外上市的主流方式之&#

China Commercial

HK

Han Kun Law Offices

Filing-based System For Overseas Listings (III) – Direct Listings

The direct overseas offering and listing by domestic entities refers to the overseas offering and listing by joint-stock companies registered and incorporated domestically in China (the "Direct Overseas Listings"), which is currently one of the main ways for domestic entities to be listed overseas.

China Commercial

HK

Han Kun Law Offices

Regulators Release Overseas Offering And Listing Rules For PRC Companies

On 17 February 2023, the China Securities Regulatory Commission (CSRC) published new regulations relating to overseas offerings and listing by PRC companies. The new regulations...

MB

Mayer Brown

A Glance At The New Rules On Overseas Listing Filings

China Commercial

HK

Han Kun Law Offices

PCAOB Resets The Clock On Delisting For China-Based Companies Listed In The U.S.

The 2022 Determinations vacate the 2021 HFCAA Determination Report and, as a result, the three-year non-compliance period for Chinese companies subject to the HFCAA is reset.

Worldwide Commercial

WS

Winston & Strawn LLP

CBIRC Updated Measures For Corporate Governance Assessment

Recently, the China Banking and Insurance Regulatory Commission ("CBIRC") issued the Measures for Regulatory Assessment of Corporate Governance of Banking and Insurance Institutions...

China Commercial

HK

Han Kun Law Offices

Financial Market Infrastructures To Be Further Regulated

On 14 December 2022, the People's Bank of China ("PBOC") issued for public comments the Measures for Administration and Supervision of Financial Market Infrastructures (the "FMI Measures").

HK

Han Kun Law Offices

PCAOB Gains "unprecedented Access" To Inspect Audit Firms In China

ou might recall that, for well over a decade, the PCAOB has been unable to fulfill its SOX mandate to inspect audit firms in "Non-Cooperating Jurisdictions," including China. Years of negotiation...

China Commercial

CL

Cooley LLP

Interpretation Of New Regulations Of Securities Companies

China Commercial

JG

Jingtian & Gongcheng

Three Reasons The PCAOB's Agreement With China May Not Have Changed The Landscape

Worldwide Accounting

W

WilmerHale

China Securities Regulatory Commission issued Proposed Provisions Related to Offshore Listing

China Commercial

SM

Sheppard Mullin Richter & Hampton

Wrestling Chimeras — What Are Director & Officer Liability Insurance Policies Like In China?

China Insurance

AB

AnJie Broad Law Firm

境外上市监管 — 保密和档案管理制度改革关键问题总结

China Commercial

HK

Han Kun Law Offices

Overseas IPOs: Key Issues In The Draft Archives Rules

China Commercial

HK

Han Kun Law Offices

China Foreign Investment Law: Important Changes To Take Effect In January

China Commercial

HC

Horizons Corporate Advisory Co Ltd

How To Navigate Cross-border Foreign Currency Exchange In China

HC

Horizons Corporate Advisory Co Ltd

Commerce Adds 33 Chinese Companies To The Unverified List

Worldwide Commercial

GP

Goodwin Procter LLP

China's 2021 Negative List Increases Risks Of VIE Investment

China Commercial

WS

Winston & Strawn LLP

China Revamps Overseas Listing Rules

China Commercial

WL

Withers LLP

China Puts VIE-Structured Overseas Listings Under Regulatory Spotlight

China Commercial

RG

Ropes & Gray LLP

China Securities Regulatory Commission Issued Proposed Rules On Offshore Listing

China Commercial

SM

Sheppard Mullin Richter & Hampton

Implications Of China's Blocking Statutes In Cross-Border Transactions

China Commercial

WS

Winston & Strawn LLP

SEC Chair Directs Staff To Require Additional Disclosures And Engage In Targeted Reviews Of Issuers Associated With China-based Operating Companies

Worldwide Commercial

WS

Winston & Strawn LLP

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