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【参考文献】List of Key Regulations
Abbreviation Regulation Description
ChiNext IPO
Rules
Interim Measures on
Administration of the
Initial Public Offering and
Listing of Stocks on the
ChiNext
Promulgated by the CSRC;
effective as of 1 May 2009
Company Law Company Law of the PRC Effective (as amended) as of
1 January 2006
Creeper
Increasing
Guidelines
Guidelines for
Shareholding Increasing
Activities by the Listed
Company’s Shareholder
Including the Person
Acting in Concert with It
Including the Shanghai
Creeper Increasing Guidelines
promulgated by Shanghai
Stock Exchange effective
(as amended) as of 24
September 2008; and the
Shenzhen Creeper Increasing
Guidelines promulgated by
Shenzhen Stock Exchange
effective (as amended) as of
25 September 2008
Disclosure C&F
Guidelines
Guidelines on Contents
and Formats for
Information Disclosures by
Companies Publicly
Issuing Securities
A series of Guidelines
promulgated by the CSRC
xlviii
List of Key Regulations
FIE Merger &
Separation
Rules
Provisions on Merger and
Separation of Foreign
Invested Enterprises
Jointly promulgated by the
then MOFTEC and the SAIC;
effective (as amended) on 22
November 2001
FIE
Shareholding
Change Rules
Certain Provisions on
Change of the
Shareholding of the
Investors in a Foreign
Invested Enterprise
Promulgated by the then
MOFTEC; effective as of 28
May 1997
IPO Rules Measures on
Administration of the
Initial Public Offering and
Listing of Stocks
Promulgated by the CSRC;
effective as of 18 May 2006
Listing Rules - Including the Rules Governing
the Listing of Stocks on
Shanghai Stock Exchange,
which became effective as of
January 1998 and were
amended for the sixth time in
September 2008 (‘Shanghai
Listing Rules’); and, the
Rules Governing the Listing of
Stocks on Shenzhen Stock
Exchange, which became
effective as of January 1998
and were amended for the
sixth time in September 2008
(‘Shenzhen Listing Rules’);
and the Rules Governing the
Listing of Stocks on the
ChiNext of Shenzhen Stock
Exchange, which became
effective as of July 2009
(‘ChiNext Listing Rules’)
M&A Rules Measures on Merger and
Acquisition of Domestic
Enterprises by Foreign
Investors
The so-called ‘Order No. 10’,
jointly promulgated by the
MOFCOM, SASAC, SAT,
SAIC, CSRC and SAFE;
effective as of 8 September
2006 and most recently
revised on 22 June 2009
xlix
List of Key Regulations
Merger Control
Filing
Standards
Provisions of the State
Council on the Filing
Standards for
Concentration of Business
Operators
Promulgated by the State
Council; effective as of 3
August 2008
Private
Placement
Rules
Implementation Rules on
the Non-Public Issue of
Stocks by Listed
Companies
Promulgated by the CSRC;
effective as of 17 September
2007
QFII Rules Measures on
Administration of Domestic
Securities Investment by
Qualified Foreign
Institutional Investors
Jointly promulgated by the
CSRC, PBOC and SAFE;
effective as of 1 September
2006
QFII Forex
Rules
Provisions on Foreign
Exchange Control of
Domestic Securities
Investment by Qualified
Foreign Institutional
Investors,
Promulgated by the SAFE;
effective as of 29 September
2009
SAR Rules Measures on
Administration of the
Substantial Asset
Restructuring by Listed
Companies
Promulgated by the CSRC;
effective as of 18 May 2008
Securities Issue
Rules
Measures on
Administration of the
Issue of Securities
by Listed
Companies
Promulgated by the CSRC;
effective as of 8 May 2006
Securities Issue
and
Underwriting
Rules
Measure on Administration
of the Issue and
Underwriting of Securities.
Promulgated by the CSRC;
effective as of 19 September
2006
Securities Law Securities Law of the PRC Effective (as amended) as of 1
January 2006
Shares
Contribution
Rules
Measures on
Administration of the
Registration of Capital
Contribution with Shares
Promulgated by the SAIC;
effective as of 1 March 2009
l
List of Key Regulations
SOA Law PRC Law of State-Owned
Assets in Enterprises
Effective as of 1 May 2009
SOA Transfer
Rules
Tentative Measures on
Administration of the
Transfer of State-Owned
Assets in Enterprises
Jointly promulgated by the
SASAC and the MOF;
effective as of 1 February
2004
SS Shares
Transfer Rules
Tentative Measures on
Administration of the
Transfer of the Shares Held
by State-Owned
Shareholders in Listed
Companies
Jointly promulgated by the
SASAC and the CSRC;
effective as of 1 July 2007
Strategic
Investment
Rules
Measures on
Administration of the
Strategic Investment in
Listed Companies by
Foreign Investors
Jointly promulgated by the
MOFCOM, CSRC, SAT,
SAIC and SAFE; effective as
of 30 January 2006
Takeover Rules Measures on
Administration of the
Takeover of Listed
Companies
Promulgated by the CSRC;
effective as of 1 September
2006, most recently amended
on 27 August 2008
Tradable
Shares Transfer
Rules
Interim Rules for Listed
Companies to Handle
Procedures of the Transfer
of Tradable Shares by
Agreement
Jointly promulgated by the
SD&C, Shanghai Stock
Exchange and Shenzhen Stock
Exchange; effective as of 14
August 2006
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