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To continue to improve the legal system for the stock market, enhance compliance with law of administration, based on the "Some Regulatory Rules of Securities Department Abortion Notice" (No. 3[1999] of CSRC) and List of Rules Abrogated By China Securities Regulatory Commission (Second Batch) (No.1 [2000] of CSRC), we reviewed the regulations and normative documents of the securities and futures department (hereinafter collectively referred to regulations) since the establishment and up to December 31, 2001, and among them there are 48 regulations that should be abolished, have been explicitly repealed or automatically invalid, in respect of the securities, and there are 6 of such in respect of the futures. Those 54 regulations are listed as below: No. 1 Names of Departmental Rules: Notice on Printing and Distributing the "Provisions on Confirming the Qualifications of the Asset Valuation Institutions Engaged in Securities Business" Document No.: No. 12 [1993] of the Office of State Administration of State Property State Administration of State Property Promulgator: Office of State Administration of State Property State Administration of State Property, CSRC Date of Promulgation: March 20, 1993 No. 2 Names of Departmental Rules: Notice on Strengthening the Administration of Domestic Enterprises Listed Abroad on Abiding by Local Regulations Document No.: No. 51 [1993] of the Securities Commission Promulgator: Securities Commission of the State Council Date of Promulgation: November 9, 1993 No. 3 Names of Departmental Rules: Letter on the Trusteeship by Shenzhen Securities Registration Co., Ltd. of All the Shares of the Listed Companies Quoted in Shenzhen Stock Exchange Document No.: Letter No. 40 [1994] of CSRC Promulgator: CSRC Date of Promulgation: August 16, 1994 No. 4 Names of Departmental Rules: Letter on the Trusteeship by Shanghai Securities Central Registration Settlement Company of All the Shares of the Listed Companies Quoted in Shanghai Stock Exchange Document No.: Letter No. 41 [1994] of CSRC Promulgator: CSRC Date of Promulgation: August 16, 1994 No. 5 Names of Departmental Rules: Urgent Notice on Temporarily Suspending Experiment on Transaction of Treasury Bonds and Futures Document No.: No. 62 [1995] of the Issuance Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: May 17, 1995 No.6 Names of Departmental Rules: Notice on the Relevant Matters concerning the Listed Companies' Application for Share Allotment in the Second Half of 1995 Document No.: No. 129 [1995] of the Issuance Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: July 21, 1995 No.7 Names of Departmental Rules: Notice on the Issue of Strictly Administering the Opening of B-share Accounts Document No.: No. 75 [1996] of the Issuance Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: June 28, 1996 No.8 Names of Departmental Rules: Notice on Cleaning up B-share Accounts Document No.: No. 1 [1996] of the CSRC on Securities Transaction Promulgator: CSRC Date of Promulgation: September 20, 1996 No. 9 Names of Departmental Rules: Notice on Issuing the "Measures for the Implementation of the System of Inspecting Listed Companies" Document No.: No. 33 [1996] of the Listed Companies Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: December 21, 1996 No. 10 Names of Departmental Rules: Notice on Promulgating Criterion No. 7 on the Contents and Format for the Disclosure of Company Information upon Public Issuance of Shares, i.e., the "Contents and Format of Listing Announcements (for Trial Implementation) " Document No.: No. 1 [1997] of CSRC Promulgator: CSRC Date of Promulgation: January 6, 1997 No. 11 Names of Departmental Rules: Notice on Promulgating Criterion No. 1 on the Contents and Format for the Disclosure of Company Information upon Public Issuance of Shares, i.e., the "Contents and Format of Prospectuses" Document No.: No. 2 [1997] of CSRC Promulgator: CSRC Date of Promulgation: January 6, 1997 No. 12 Names of Departmental Rules: Notice on Accepting the Application Documents of Enterprises in Problems Left Over from History Document No.: No. 159 [1997] of the Issuance Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: April 22, 1997 No. 13 Names of Departmental Rules: Notice on the Relevant Issues concerning the Application for the Establishment of Fund Management Companies Document No.: No. 1 [1997] of the Fund Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: December 12, 1997 No. 14 Names of Departmental Rules: Notice on the Relevant Issues concerning the Application for the Establishment of Securities Investment Funds Document No.: No. 2 [1997] of the Fund Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: December 12, 1997 No. 15 Names of Departmental Rules: Annex IV of the Notice on Promulgating the Criteria for the Implementation of the "Interim Measures on the Administration of Securities Investment Funds", i.e., the "Directions to the Necessary Clauses of the Articles of Association of Fund Management Companies" Document No.: Promulgator: CSRC Date of Promulgation: December 12, 1997 No. 16 Names of Departmental Rules: Regulatory Opinions for the Shareholders' Meetings of Listed Companies Document No.: No. 4 [1998] of CSRC Promulgator: CSRC Date of Promulgation: February 23, 1998 No. 17 Names of Departmental Rules: Notice on Promulgating the "Interim Measures for Domestically Listed Foreign-Funded Shares (B-Shares) Companies to Increase Investments for Issuance of New B-Shares" Document No.: No. 5 [1998] of the Securities Commission of the State Council Promulgator: Securities Commission of the State Council Date of Promulgation: February 24, 1998 No. 18 Names of Departmental Rules: Notice on Some Issues concerning Replacement of Assets and Modification of Main Business by Listed Companies Document No.: No. 26 [1998] of the Listed Companies Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: February 25, 1998 No. 19 Names of Departmental Rules: Notice on the Relevant Issues for Doing Well in the Issuance of Securities Investment Funds Document No.: No. 10 [1998] of the Fund Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: March 13, 1998 No. 20 Names of Departmental Rules: Notice on Promulgating Criterion No. 8 on the Contents and Format for the Disclosure of Company Information upon Public Issuance of Shares, i.e., the "Contents and Format of Verification Records (for Trial Implementation) " Document No.: No. 41 [1998] of the Issuance Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: April 1, 1998 No. 21 Names of Departmental Rules: Notice on Authorizing Local Securities and Futures Supervision Departments to Carry out Preliminary Examinations and Daily Supervisions over Securities Operation Institutions Document No.: No. 9 [1998] of CSRC Promulgator: CSRC Date of Promulgation: April 3, 1998 No. 22 Names of Departmental Rules: Notice on Printing and Distributing "Criterion No. 3 on the Contents and Format for the Disclosure of Company Information upon Public Issuance of Shares, i.e., the 'Contents and Format of Interim Reports'" Document No.: No. 69 [1998] of the Listed Companies Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: June 18, 1998 No. 23 Names of Departmental Rules: Notice on Printing and Distributing the "Format of Lawyer's Commitment Document No.: Letter" No. 2 [1998] of the Legal Affairs Department of CSRC Promulgator: CSRC Date of Promulgation: August 4, 1998 No. 24 Names of Departmental Rules: Notice on the Relevant Issues concerning the Allotment of New Shares to Securities Investment Funds Document No.: No. 28 [1998] of the Fund Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: August 12, 1998 No. 25 Names of Departmental Rules: Notice on Printing and Distributing the Directional Principles on the Articles of Association of Futures Exchanges and Exchanging Rules Document No.: No. 21 [1998] of the Futures Department of CSRC Promulgator: CSRC Date of Promulgation: October 6, 1998 No. 26 Names of Departmental Rules: Supplementary Notice on Strengthening the Supervision and Inspection of the Issuance of Securities Investment Funds Document No.: No. 33 [1998] of the Fund Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: December 24, 1998 No. 27 Names of Departmental Rules: Notice on the Relevant Issues concerning the Share Allotment of Listed Companies Document No.: No. 12 [1999] of the Issuance Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: March 17, 1999 No. 28 Names of Departmental Rules: Notice on Printing and Distributing "Criterion No. 4 on the Contents and Format for the Disclosure of Company Information upon Public Issuance of Shares, i.e., the 'Contents and Format of Memorandums of Share Allotment' (Amended in 1999) " Document No.: No. 13 [1999] of the Issuance Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: March 17, 1999 No. 29 Names of Departmental Rules: Notice on Printing and Distributing the "Standard Format of the Documents Submitted by Companies for Applying for Public Issuance of Shares" Document No.: No. 14 [1999] of the Issuance Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: March 18, 1999 No. 30 Names of Departmental Rules: Notice on Doing Well in Cleaning up and Rectifying Futures Brokerage Companies in Violation of Rules Document No.: No. 5 [1999] of the Futures Department of CSRC Promulgator: CSRC Date of Promulgation: May 11, 1999 No. 31 Names of Departmental Rules: Notice on Promulgating "Criterion No. 6 on the Contents and Format for the Disclosure of Company Information upon Public Issuance of Shares, i.e., the ˇ®Contents and Format of Legal Opinions (Amended) " Document No.: No. 2 [1999] of the Legal Affairs Department of CSRC Promulgator: CSRC Date of Promulgation: June 15, 1999 No. 32 Names of Departmental Rules: Notice on Supplement of Information Disclosure on the 2000 Computer Issue by Companies under Planned Public Issuance of Shares Document No.: No. 143 [1999] of the Issuance Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: October 21, 1999 No. 33 Names of Departmental Rules: Supplementary Notice on Further Doing Well in the Allotment of New Shares to Securities Investment Funds Document No.: No. 34 [1999] of the Fund Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: November 11, 1999 No. 34 Names of Departmental Rules: Notice on Forming Internal Auditing Teams for the Issuance of Securities Document No.: No. 150 [1999] of the Issuance Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: December 2, 1999 No. 35 Names of Departmental Rules: Notice on Setting up the System of Check by the Leading Underwriter on the Documents in Application for Issuance of Securities Document No.: No. 153 [1999] of the Issuance Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: December 6, 1999 No. 36 Names of Departmental Rules: Notice on Printing and Distributing "Criterion No. 2 on the Contents and Format for the Disclosure of Company Information upon Public Issuance of Shares, i.e., the 'Contents and Format of Annual Reports'" (the 1999 Amended Draft) Document No.: No. 137 [1999] of the Listed Companies Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: December 8, 1999 No. 37 Names of Departmental Rules: Notice on Doing Well in the 1999 Annual Reporting of Listed Companies Document No.: No. 132 [1999] of the Listed Companies Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: December 8, 1999 No. 38 Names of Departmental Rules: Notice on Doing Well in the 1999 Annual Auditing and Reporting of Fund Management Companies Document No.: No. 1 [2000] of the Fund Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: January 3, 2000 No. 39 Names of Departmental Rules: Notice on Doing Well in the 1999 Annual Inspection of Futures Brokerage Companies and Futures Consulting Companies Document No.: No. 1 [2000] of the Futures Department of CSRC Promulgator: CSRC Date of Promulgation: January 16, 2000 No. 40 Names of Departmental Rules: Notice on Doing Well in the Treatment of Up Limit of Share during Three Consecutive Days Document No.: No. 1 [2000] of the Market Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: February 16, 2000 No. 41 Names of Departmental Rules: Supplementary Notice on the Relevant Issues concerning the Share Allotment of Listed Companies Document No.: No. 21 [2000] of the Listed Companies Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: March 16, 2000 No. 42 Names of Departmental Rules: Notice on Promulgating the "Interim Measures on Guidance to the Issuance and Listing of Shares" Document No.: No. 17 [2000] of the Issuance Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: March 16, 2000 No. 43 Names of Departmental Rules: Notice on Promulgating the "Interim Measures for Listed Companies to Raise Shares from the Public" Document No.: No. 42 [2000] of the Listed Companies Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: April 30, 2000 No. 44 Names of Departmental Rules: Notice on Promulgating the "Standard Format of the Documents Submitted by Listed Companies for Applying to Raise Shares from the Public (for Trial Implementation) " Document No.: No. 43 [2000] of the Listed Companies Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: April 30, 2000 No. 45 Names of Departmental Rules: Notice on Promulgating the "Contents and Format of Share Offer Prospectuses for the Listed Companies to Raise Shares from the Public (for Trial Implementation) " Document No.: No. 44 [2000] of the Listed Companies Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: April 30, 2000 No. 46 Names of Departmental Rules: Notice on the Relevant Issues concerning the Planned Index of Share Issuance in 1997 Document No.: No. 77 [2000] of the Issuance Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: June 7, 2000 No. 47 Names of Departmental Rules: Notice on Regulating the Acts of Listed Companies on Major Purchases or Sale of Assets Document No.: No. 75 [2000] of the Listed Companies Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: June 26, 2000 No. 48 Names of Departmental Rules: Notice on the Relevant Work after the Annual Inspection in 1999 Document No.: No. 19 [2000] of the Futures Department of CSRC Promulgator: CSRC Date of Promulgation: July 19, 2000 No. 49 Names of Departmental Rules: Notice on Carrying out Inspection on Futures Brokerage Business Document No.: No. 29 [2000] of the Futures Department of CSRC Promulgator: CSRC Date of Promulgation: October 18, 2000 No. 50 Names of Departmental Rules: Notice on the Relevant Matters concerning the Company Announcements on Planning to Publicly Issue Shares and to Be on Listing Document No.: No. 141 [2000] of the Issuance Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: October 26, 2000 No. 51 Names of Departmental Rules: Notice on the Relevant Issues concerning the Disclosure by Listed Companies of Their Annual Reports in 2000 Document No.: No. 202 [2000] of the Listed Companies Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: November 27, 2000 No. 52 Names of Departmental Rules: Notice on the Issue concerning the Application and Check of the Professional Securities Qualifications for Employees of Securities in 2000 Document No.: No. 278 [2000] of the Institution Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: December 8, 2000 No. 53 Names of Departmental Rules: Notice on Promulgating the "Implementing Measures for Loss-Making Listed Companies to Suspend or Terminate the Listing" Document No.: No. 25 [2001] of the Issuance Supervision Department of CSRC Promulgator: CSRC Date of Promulgation: February 22, 2001 No. 54 Names of Departmental Rules: Notice on Inspecting the Implementation by Industries of the "Technical Management Criteria of Information System for Business Departments of Securities Operational Institutions" and the Situation on the Security of Information System Document No.: No. 7 [2001] of the Information Cooperation Department of CSRC Promulgator: CSRC Date of Promulgation: August 21, 2001 |
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