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)
  
  
• "Fund Management Companies, Securities Companies RMB Qualified Foreign Institutional Investors in Securities Investment Pilot Measures" (Decree of the China Securities Regulatory Commission No. 76 - Dec 2011) (in Chinese only) (NEW)
  
  
• "Rules for the Implementation of Fund Management Companies, Securities Companies RMB Qualified Foreign Institutional Investors in Securities Investment Pilot Measures" (Announcement of the China Securities Regulatory Commission No. 37 - Dec 2011) (in Chinese only) (NEW)
  
  
• "Notice on Issues Relating to Fund Management Companies, Securities Companies RMB Qualified Foreign Institutional Investors in Securities Investment Pilot Measures" (Circular of the State Administration of Foreign Exchange No. 50 - Dec 2011) (in Chinese only) (NEW)
  
  
• "Notice on the Implementation of Fund Management Companies, Securities Companies RMB Qualified Foreign Institutional Investors in Securities Investment Pilot Measures" (Circular of the People's Bank of China No. 321 - Jan 2012) (in Chinese only) (NEW)

Setting up of Joint Venture Securities Investment Advisory Companies in Guangdong Province

• "Provisional Administrative Measures on Securities and Futures Investment Advisory" (Circular of the China Securities Regulatory Commission No. 96 - Dec 1997) (in Chinese only) 
  
  
• "Implementation Rules for the Provisional Administrative Measures on Securities and Futures Investment Advisory" (Circular of the China Securities Regulatory Commission No. 14 - Apr 1998) (in Chinese only) 
  
  
• "Rules for Setting up of Foreign-shared Securities Companies" (Decree of the China Securities Regulatory Commission No. 52 - Dec 2007) 
  
  
• "Provisional Rules for the Establishment of Subsidiary Companies by Securities Companies" (Circular of the China Securities Regulatory Commission No. 345 - Dec 2007) (in Chinese only) 
  
  
• "Application and Approval for Establishment of Joint Venture Securities Investment Advisory Companies by Securities Companies" (Jan 2010) (in Chinese only)   
  

Mainland Fund Management Companies to establish subsidiaries in Hong Kong

• "Provisions on Institution Establishment by Securities Investment Fund Management Companies in Hong Kong" (Announcement of the China Securities Regulatory Commission No. 12 - May 2008) 
  
  
• "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)