Financial Regulation, Weekly Report
This week's documents: 1. The People's Bank of China and the State Administration for Market Regulation jointly issued the "Measures for the Management of Beneficial Owner Information"; 2. The State Administration of Financial Supervision issued the Guiding Opinions on Promoting the Standardized and Healthy Development of Financial Companies of Enterprise Groups and Improving the Quality and Efficiency of Supervision; 3. The State Administration of Financial Supervision issued the "Guiding Opinions on the Banking and Insurance Industries to Do a Good Job in Finance"; 4. The State Administration of Financial Supervision issued the Notice on Matters Concerning the Agency Insurance Business of Commercial Banks; 5. The China Securities Regulatory Commission revised the Guidelines for the Evaluation of Scientific and Technological Innovation Attributes (Trial); 6. The China Securities Regulatory Commission issued the guidance and supervision guidelines for companies listed on the National Equities Exchange and Quotations to apply for issuance and listing on the Beijing Stock Exchange to further optimize the guidance and supervision of the Beijing Stock Exchange; 7. The China Securities Regulatory Commission issued the "Decision on Amending the List of Random Sampling Items of the China Securities Regulatory Commission"; 8. The Shanghai and Shenzhen Stock Exchanges issued 9 business rules including the Rules for the Review of Stock Issuance and Listing; 9. AMAC issued the Guidelines for the Operation of Private Securities Investment Funds; 10. The China Securities Association revised and promulgated the "Regulations for the Administration of Alternative Investment Subsidiaries of Securities Companies" and the "Regulations for the Administration of Private Investment Fund Subsidiaries of Securities Companies"; 11. Notice of the General Office of the State Council on Printing and Distributing the 2024 Legislative Work Plan of the State Council; 12. The Ministry of Finance and the Ministry of Industry and Information Technology issued a notice on doing a good job in the pilot work of digital transformation cities for small and medium-sized enterprises in 2024; 13. The Ministry of Civil Affairs, the National Development and Reform Commission, the Ministry of Public Security, the Ministry of Finance, the People's Bank of China, the State Administration for Market Regulation, and the State Administration of Financial Supervision issued the "Guiding Opinions on Strengthening the Supervision of Advance Fees for Pension Institutions".
Regulatory dynamics: 1. The Political Bureau of the CPC Central Committee held a meeting and Xi Jinping presided over the meeting; 2. The People's Bank of China, the Ministry of Ecology and Environment, the State Administration of Financial Supervision and the China Securities Regulatory Commission jointly held a symposium on the construction of a beautiful China with green financial services; 3. Li Yunze and Degallo, Governor of the Bank of France and Chairman of the French Prudential Supervision and Resolution Agency, attended the Sino-French Financial Roundtable; 4. The Dealers Association held a symposium on core traders of credit risk mitigation tools; 5. Liu Liehong, National Data Bureau: Accelerate the construction of digital infrastructure such as industrial Internet, computing power, and mobile Internet of Things.
Regulatory penalties: 1. Local financial regulatory bureaus and financial regulatory sub-bureaus announced 151 administrative penalty cases; 2. The Shanghai Stock Exchange has taken regulatory actions against a number of illegal and abnormal transactions of listed companies; 3. The Shenzhen Stock Exchange has taken regulatory actions against a number of illegal and abnormal transactions of listed companies.
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