Supplement 1 to Chapter 5.3 | Doing Business with China

List of key laws and regulations concerning the securities and futures industry

Laws (three items of legislation)

Company Law of the People's Republic of China , adopted by the 5th Session of the Standing Committee of the 8th National People's Congress on 29 December l993, amended in accordance with the Decision Concerning Amending The Company Law of the People's Republic of China by the 13th Session of the Standing Committee of the 9th National People's Congress on 25 December 1999, promulgated by Order No. 29 of the President of the People's Republic of China on 25 December 1999.
Securities Law of the People's Republic of China , adopted at the 6th Meeting of the Standing Committee of the 9th National People's Congress of the People's Republic of China on 29 December 1998, promulgated by Order No. 12 of the President of the People's Republic of China on 29 December 1998.
Trust Law of the People's Republic of China , adopted at the 21st session of the Standing Committee of the 9th National People's Congress, promulgated by Order No. 50 of the President of the People's Republic of China on 28 April 2001

Administrative regulations (18 sets)

Notice of the State Council on Further Strengthening of the Macro Administration of the Securities Market, promulgated on 17 December 1992. Guo Fa [1992] No. 68
Provisional Regulations for Administration of the Issuance and Trading of Shares, promulgated by Order No. 112 of the State Council of the People's Republic of China on 22 April 1993.
Rules on the Administration of Enterprise Bonds , promulgated by Order No. 121 of the State Council of the People's Republic of China on 2 August, 1993.
Interim Measures on the Prevention of Securities Frauds , approved by the State Council on 15 August 1993 and promulgated by the State Council Securities Committee on 2 September 1993.
Special Regulations on Overseas Offering and Listing of Companies Limited by Shares, promulgated by Order No. 160 of the State Council of the People's Republic of China on 4 August 1994.
State Council Regulations on Domestic Listing of Foreign Shares by Companies Limited by Shares, adopted at the 37th standing conference of the State Council and promulgated by Order No. 189 of the State Council of the People's Republic of China on 25 December 1995.
Interim Measures on the Administration of Convertible Corporate Bonds, approved by the State Council and promulgated by the State Council Securities Committee on 25 March 1997.
State Council Notice on Further Strengthening of the Administration of Overseas Shares Issuance and Public Offering, promulgated on 20 June 1997, Gua Fa [1997] No. 21.
Interim Measures on the Administration of Securities Investment Funds, approved by the State Council on 5 November 1997 and promulgated by the State Council Securities Committee on 14 November 1997
Interim Measures on the Administration of Securities and Futures Investment Consultancy, approved by the State Council on 30 November, 1997 and promulgated by the State Council Securities Committee on 25 December 1997
Measures on Penalising Illegal Financial Conducts , promulgated by Order 260 of the State Council of the People's Republic of China on 22 February 1999
Provisional Rules on the Administration of Futures Trading , promulgated by Order 267 of the State Council of the People's Republic of China on 2 June 1999
Rules of the Share Issuance Examination Committee of China Securities Regulatory Commission , approved by the State Council on 19 August, 1999 and promulgated by China Securities Regulatory Commission on 16 September 1999.
Guidance for the Regulation, Supervision, Examination and Approval of the Applications by Domestic Enterprises for Listing on Hong Kong's Growth Enterprise Market , approved by the State Council on 6 September 1999 and promulgated by China Securities Regulatory Commission on 21 September 1999.
Interim Measures on the Administration of Venture Capital Funds of the Securities Exchanges , approved by the State Council on 31 January 2000 and promulgated by China Securities Regulatory Commission and the Ministry of Finance on 4 April, 2000.
Interim Measures on the Administration of Securities Settlement of Venture Capital Funds , approvedby the State Council on 31 January 2000 and promulgated by China Securities Regulatory Commission and the Ministry of Finance on 4 April 2000.
Procedures of Verification and Approval for Share Issuance , approved by the State Council and promulgated by China Securities Regulatory Commission on 16 March 2000.
Interim Measures on the Reduction of State-held Shares to Raise Social Security Funds , promulgated on 6 June, 2001, Guo Fa [2001] No. 22

(Editor's note: The above list was provided by China Securities Regulatory Commission. There has been no official translation of the names of the laws and regulations, therefore they may vary in wording in other publications .)