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Table of Contents
Intro; Acknowledgements; Contents; Abbreviations; List of Tables; Chapter 1: Introduction; 1.1 Preliminaries; 1.2 The Aim of This Book; 1.3 The State-Owned Enterprise (SOE) Reforms; 1.4 National Team; 1.5 Structure of the Book; 1.5.1 Chapter 2: Theories of Securities Markets Regulation; 1.5.2 Chapter 3: The Regulatory Framework Under the CSRC; 1.5.3 Chapter 4: Regulation of Information; 1.5.4 Chapter 5: Insider Trading and Investor Protection; 1.5.5 Chapter 6: The One Bank-Three Commissions Regulatory Structure; 1.5.6 Chapter 7: Decentralization of the Regulation of ChinaÂś Financial Markets
1.5.7 Chapter 8: Concluding Remarks1.6 Methodology and Sources; Chapter 2: Theories of Securities Markets Regulation; 2.1 Aims and Objectives of This Chapter; 2.2 Why Do We Regulate?; 2.2.1 Market Efficiency Hypothesis and the Role of Behavioural Finance; 2.2.2 Arguments Against Regulation; 2.3 Common Objectives of Securities Regulation; 2.3.1 Protection of Investors; 2.3.2 Promotion of Efficiency of Securities Markets; 2.3.3 The Reduction of Systemic Risk; 2.4 What Is Regulated?; 2.4.1 Systemic Regulation; 2.4.2 Market Entry Regulation; 2.4.3 Mandatory Disclosure
2.4.4 Regulation of Gatekeepers2.4.5 Corporate Governance Regulation; 2.4.6 Regulating Investors; 2.5 Regulatory Institutional Structures; Chapter 3: The Regulatory Framework Under the CSRC; 3.1 The History of the ChinaÂś Securities Markets and the Formation of the CSRC; 3.2 What Does the CSRC Regulate?; 3.2.1 Stock Exchanges and the Market; 3.2.2 Listed Companies; 3.2.3 Non-Listed Public Companies; 3.2.4 Securities Companies; 3.2.5 Securities Services Entities; 3.2.5.1 Public Fund Management Companies; 3.2.5.2 Private Fund Management Companies
3.2.5.3 Fund Management Companies with Foreign Equity Interests3.2.5.4 Qualified Foreign Institutional Investors (QFII); 3.2.5.5 RMB Qualified Foreign Institutional Investors (RQFII); 3.2.6 Industry Associations; 3.3 Conclusion; Chapter 4: Regulation of Information; 4.1 Introduction; 4.2 Information Disclosure; 4.3 Information Disclosure by Issuers and Listed Companies; 4.3.1 Legislation; 4.3.2 The CSRC Regulations; 4.3.3 Exchange Rules; 4.4 Assessment; 4.4.1 Selected Cases; 4.4.1.1 Non-Compliance with Profit Forecast Disclosure Provisions
4.4.1.2 Information Disclosure That Is Not Timely, Not Accurate, and Incomplete4.4.1.3 False Statements, Major Omissions, Non-Disclosure, or No Timely Disclosure Concerning Related Party Transactions and R...; 4.4.2 Overall Quality of Information Disclosed; 4.5 Securities Analysts; 4.6 Regulation of Securities Analysts; 4.6.1 Legislation; 4.6.2 CSRC Regulations; 4.6.3 China Securities Association Rules; 4.7 Assessment; 4.8 Conclusion; Chapter 5: Insider Trading and Investor Protection; 5.1 Introduction; 5.2 Literature Review; 5.2.1 Insider Trading; 5.2.2 Enforcement
1.5.7 Chapter 8: Concluding Remarks1.6 Methodology and Sources; Chapter 2: Theories of Securities Markets Regulation; 2.1 Aims and Objectives of This Chapter; 2.2 Why Do We Regulate?; 2.2.1 Market Efficiency Hypothesis and the Role of Behavioural Finance; 2.2.2 Arguments Against Regulation; 2.3 Common Objectives of Securities Regulation; 2.3.1 Protection of Investors; 2.3.2 Promotion of Efficiency of Securities Markets; 2.3.3 The Reduction of Systemic Risk; 2.4 What Is Regulated?; 2.4.1 Systemic Regulation; 2.4.2 Market Entry Regulation; 2.4.3 Mandatory Disclosure
2.4.4 Regulation of Gatekeepers2.4.5 Corporate Governance Regulation; 2.4.6 Regulating Investors; 2.5 Regulatory Institutional Structures; Chapter 3: The Regulatory Framework Under the CSRC; 3.1 The History of the ChinaÂś Securities Markets and the Formation of the CSRC; 3.2 What Does the CSRC Regulate?; 3.2.1 Stock Exchanges and the Market; 3.2.2 Listed Companies; 3.2.3 Non-Listed Public Companies; 3.2.4 Securities Companies; 3.2.5 Securities Services Entities; 3.2.5.1 Public Fund Management Companies; 3.2.5.2 Private Fund Management Companies
3.2.5.3 Fund Management Companies with Foreign Equity Interests3.2.5.4 Qualified Foreign Institutional Investors (QFII); 3.2.5.5 RMB Qualified Foreign Institutional Investors (RQFII); 3.2.6 Industry Associations; 3.3 Conclusion; Chapter 4: Regulation of Information; 4.1 Introduction; 4.2 Information Disclosure; 4.3 Information Disclosure by Issuers and Listed Companies; 4.3.1 Legislation; 4.3.2 The CSRC Regulations; 4.3.3 Exchange Rules; 4.4 Assessment; 4.4.1 Selected Cases; 4.4.1.1 Non-Compliance with Profit Forecast Disclosure Provisions
4.4.1.2 Information Disclosure That Is Not Timely, Not Accurate, and Incomplete4.4.1.3 False Statements, Major Omissions, Non-Disclosure, or No Timely Disclosure Concerning Related Party Transactions and R...; 4.4.2 Overall Quality of Information Disclosed; 4.5 Securities Analysts; 4.6 Regulation of Securities Analysts; 4.6.1 Legislation; 4.6.2 CSRC Regulations; 4.6.3 China Securities Association Rules; 4.7 Assessment; 4.8 Conclusion; Chapter 5: Insider Trading and Investor Protection; 5.1 Introduction; 5.2 Literature Review; 5.2.1 Insider Trading; 5.2.2 Enforcement