China Securities Regulatory Commission, Examination of Securities Companies Measures

中国证券监督管理委员会证券公司检查办法

January 31, 2001 | BY

clpstaff &clp articles &

Issued: December 12 2000    Effective: as of date of issueInterpreting authority: China Securities Regulatory Commission (CSRC)Applicability:…

Clp Reference: 3700/00.12.12 Promulgated: 2000-12-12 Effective: 2000-12-12

Issued: December 12 2000
Effective: as of date of issue
Interpreting authority: China Securities Regulatory Commission (CSRC)
Applicability: These Measures are applicable to securities companies established with CSRC approval and their securities business departments and securities service departments (Article 2).

Main contents: According to the Measures, examinations of securities companies mainly focus on their compliance with laws and regulations, and the normalcy and safety of their operations (Article 4). Such examination may be conducted on site or off site and at any time the CSRC considers fit (Articles 5 and 7). The CSRC may also commission an accounting firm or law firm to organize a committee to carry out the examination (Article 8). The results of such examination may serve as an exhibit in annual inspections (Article 14).

clp reference:3700/00.12.12promulgated:2000-12-12effective:2000-12-12

This premium content is reserved for
China Law & Practice Subscribers.

  • A database of over 3,000 essential documents including key PRC legislation translated into English
  • A choice of newsletters to alert you to changes affecting your business including sector specific updates
  • Premium access to the mobile optimized site for timely analysis that guides you through China's ever-changing business environment
For enterprise-wide or corporate enquiries, please contact our experienced Sales Professionals at +44 (0)203 868 7546 or [email protected]