Mainland and Hong Kong Closer Economic Partnership Arrangement (CEPA)

Securities and Futures Services

Relevant Mainland Rules and Regulations

Rules and regulations promulgated by the Mainland authorities relating to the implementation of commitments under CEPA : 

• "Administrative Measures on Futures Exchange" (Decree of the China Securities Regulatory Commission No. 42 - Apr 2007) (in Chinese only)
  
  
• "Administrative Measures on Futures Company" (Decree of the China Securities Regulatory Commission No. 43 - Apr 2007) (in Chinese only)
  
  
• "Administrative Rules on Futures Transaction" (Decree of the State Council No. 489 - Mar 2007) (in Chinese only )
  
  
• "Notice on Hong Kong and Macao Companies Investing in Futures Brokerage Companies" (Circular of the China Securities Regulatory Commission No. 138 - Aug 2005) (in Chinese only ) (pdf format)
  

Mainland Fund Management Companies to establish subsidiaries in Hong Kong

• "Notice regarding the Regulations on Establishment of Subsidiaries in Hong Kong by Securities Investment Fund Management Companies" (Notice of the China Securities Regulatory Commission No. 12 - May 2008) (in Chinese only) 
  
  
• "Measures for the Administration of Securities Investment Fund Management Companies" (Decree of the China Securities Regulatory Commission No. 22 - Sep 2004)

Enquiries concerning the application procedures and requirements for the establishment of foreign-invested securities and futures enterprises as well as the related industry qualifications can be directed to :

• China Securities Regulatory Commission
  ( Website: http://www.csrc.gov.cn)