中国金融业法规动态–证券期货业
China Financial Regulation Alert – Securities and Futures 第10期 —— 2011年5月至6月 Issue 10 —— May 2011 to June 2011
中国金融业法规动态系列包含中国银行业法规动态、中国保险业法规动态、中国证券期货业法规动态，涉及中国银行业、保险业、证券期货业、公募基金、私募股权基金、担保及信托业等相关领域最近发布的主要监管法规。本通讯摘自公开的信息，毕马威并未对所引用信息的准确性进行核实。 The China Financial Regulation Alert series for Banking, Insurance and Securities & Futures contain major laws and regulations recently issued in the PRC governing mainly the banking, insurance, securities & futures, mutual fund, private equity, guarantee and trust sectors. This publication is a summary of public information, the accuracy of which has not been verified by KPMG.
证券业 Securities · 证监会公布 《合格境外机构投资者参与股指期货交易指引》（证监会公告[2011]12号）
CSRC issued the Guidelines for Qualified Foreign Institutional Investors’ Participation in Index Futures Trading (CSRC Circular [2011] No.12)
为了规范合格境外机构投资者参与股指期货交易的行为，证监会制定了本指引。该指引对合格境外投资者参与股指期货交易的行为提出了明确要求。
CSRC developed the Guidelines in order to regulate the participation of Qualified Foreign Institutional Investors in index futures trading. The Guidelines set forth specific requirements for Qualified Foreign Institutional Investors in participating in index futures trading. · 中国银行间市场交易商协会发布《银行间市场非金融企业债务融资工具发行规范指引》（中国银行间市场交易商协会公告[2011]8号）
Guidelines for Regulating the Issuance of Non-Financial Corporate Debt Financing Instruments in the Interbank Bond Market Issued by National Association of Financial Market Institutional Investors (Circular from National Association of Financial Market Institutional Investors [2011] No. 8)
该指引在银行间市场非金融企业债务融资工具的发行及后续管理方面提出了规范性要求。
The Guidelines are designed to regulate the issue and subsequent management of the non-financial corporate debt financing instrument in the interbank market. · 证券公司增资扩股和股权变更（证券公司行政许可审核工作指引第10号）
Capital and Share Increase and Change of Equity Ownership of Securities Companies (Guidelines No. 10 for the Review of Administrative Licensing of Securities Companies)
该指引对证券公司的增资扩股和股权变更事宜提出了规范性要求。
The Guidelines have set forth requirements for securities companies in capital and share increase, and change of equity ownership.
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公募基金业 Mutual fund · 证监会修订《证券投资基金销售管理办法》（证监会令(2011)72号）
CSRC revised Administrative Measures for the Sales of Securities Investment Funds (CSRC Order [2011] No.72 )
该办法对证券投资基金的销售活动，包括基金销售机构宣传推介基金、发售基金份额、办理基金份额申购与赎回等均提出新的要求。
The Measures have set forth new requirements for the sales of securities investment funds, including promotional campaign designed by fund sales agencies, sales of fund units, subscription and redemption of fund units.
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信息来源：中国国务院、中国财政部、中国人民银行、国家工商行政管理总局、中国证监会、国家税务总局、中国证券业协会、中国期货业协会、中国金融期货交易所、上海证券交易所、深圳证券交易所等互联网网站。 Source: China State Council, MOF, PBOC, SAIC, CSRC, SAT, China Securities Association, China Futures Association, China Financial Futures Exchange, Shanghai Stock Exchange, Shenzhen Stock Exchange and other regulators’ websites. 交流与反馈： 如阁下希望进一步交流您的见解和建议，请联系： Feedback: Please contact the following individuals to discuss your views/suggestions: 北京 Beijing 陈少东Thomas Chan (+86 10 8508 7014 或 thomas.chan@kpmg.com)
程海良David Cheng (+86 10 8508 7916 或 david.cheng@kpmg.com)
上海 Shanghai 彭成初Eric Pang (+86 21 2212 2480 或 eric.pang@kpmg.com)
王国蓓Abby Wang (+86 21 2212 2428 或 abby.wang@kpmg.com)
广州及深圳 Guangzhou & Shenzhen 李嘉林 Ivan Li
(+86 755 2547 1218 或 ivan.li@kpmg.com)
蔡正轩 Larry Choi
(+86 755 2547 3414 或 larry.choi@kpmg.com)
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