China Securities Regulatory Commission, Provisions on Issues Relevant to Regulatory Opinions for Initial Public Offerings of Shares and the Listing Thereof by Securities Companies

中国证券监督管理委员会关于证券公司申请首次公开发行股票并上市监管意见书有关问题的规定

July 09, 2008 | BY

clpstaff &clp articles &

Ice-breaking provisions for IPOs of securities companies.

Clp Reference: 3700/08.05.12 Promulgated: 2008-05-12 Effective: 2008-05-12

Issued: May 12 2008
Effective: as of date of issuance

Main Contents: Before a securities company submits an application for an initial public offering of shares (IPO) and the listing thereof, it shall submit relevant materials to the China Securities Regulatory Commission (the CSRC) and apply for the issuance of a regulatory opinion. Such relevant materials cover matters such as:

(1) Basic Particulars of the Company

(2) Information on the Company's Financial Indicators and Risk Control Indicators

(3) Information on the Compliant Operation of the Company

(4) Information on Internal Controls

(5) Information on Corporate Governance

Repealed Legislation: Circular on the Issuance of the Contents of, and the Issuance Procedures for, Regulatory Opinions for Public Offerings of Shares by Securities Companies, 2001

clp reference:3700/08.05.12prc reference:证监会公告 [2008] 19号promulgated:2008-05-12effective:2008-05-12

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