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000826226 019__ $$a1029072102
000826226 020__ $$a9781137567420$$q(electronic book)
000826226 020__ $$a1137567422$$q(electronic book)
000826226 020__ $$z9781137567413
000826226 0247_ $$a10.1057/978-1-137-56742-0$$2doi
000826226 035__ $$aSP(OCoLC)on1023424621
000826226 035__ $$aSP(OCoLC)1023424621$$z(OCoLC)1029072102
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000826226 050_4 $$aKNQ1064
000826226 08204 $$a332.63/20951$$223
000826226 1001_ $$aHe, Weiping,$$eauthor.
000826226 24514 $$aThe regulation of securities markets in China /$$cWeiping He.
000826226 264_1 $$aNew York, NY :$$bPalgrave Macmillan,$$c[2018]
000826226 300__ $$a1 online resource
000826226 336__ $$atext$$btxt$$2rdacontent
000826226 337__ $$acomputer$$bc$$2rdamedia
000826226 338__ $$aonline resource$$bcr$$2rdacarrier
000826226 347__ $$atext file$$bPDF$$2rda
000826226 504__ $$aIncludes bibliographical references and index.
000826226 5050_ $$aIntro; 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
000826226 5058_ $$a1.5.7 Chapter 8: Concluding Remarks1.6 Methodology and Sources; Chapter 2: Theories of Securities Markets Regulation; 2.1 Aims and Objectives of This Chapter; 2.2 Why Do We Regulate?; 2.2.1 Market Efficiency Hypothesis and the Role of Behavioural Finance; 2.2.2 Arguments Against Regulation; 2.3 Common Objectives of Securities Regulation; 2.3.1 Protection of Investors; 2.3.2 Promotion of Efficiency of Securities Markets; 2.3.3 The Reduction of Systemic Risk; 2.4 What Is Regulated?; 2.4.1 Systemic Regulation; 2.4.2 Market Entry Regulation; 2.4.3 Mandatory Disclosure
000826226 5058_ $$a2.4.4 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
000826226 5058_ $$a3.2.5.3 Fund Management Companies with Foreign Equity Interests3.2.5.4 Qualified Foreign Institutional Investors (QFII); 3.2.5.5 RMB Qualified Foreign Institutional Investors (RQFII); 3.2.6 Industry Associations; 3.3 Conclusion; Chapter 4: Regulation of Information; 4.1 Introduction; 4.2 Information Disclosure; 4.3 Information Disclosure by Issuers and Listed Companies; 4.3.1 Legislation; 4.3.2 The CSRC Regulations; 4.3.3 Exchange Rules; 4.4 Assessment; 4.4.1 Selected Cases; 4.4.1.1 Non-Compliance with Profit Forecast Disclosure Provisions
000826226 5058_ $$a4.4.1.2 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
000826226 506__ $$aAccess limited to authorized users.
000826226 520__ $$aThis book offers an in-depth analysis of China’s contemporary securities markets regulatory system, with a focus on regulation in practice. Examining the roles of both the China Securities Regulatory Commission and local governments, He argues that the government has built and developed markets from scratch to address the needs of the state and the economy at large. This book describes the workings of national and sub-national securities markets, and such a comprehensive approach gives insight into the ability of state regulation to guide a financial system. This book also provides a unique practical perspective, explaining of the dynamics of regulation in relation to the operation of the Chinese political system. Finally, it incorporates original empirical studies, including semi-structured interviews of professionals and a survey of retail investors. This book is an unparalleled resource for anyone interested in the regulation of securities markets, as well as finance in China in general.
000826226 588__ $$aOnline resource; title from PDF title page (viewed February 20, 2018).
000826226 650_0 $$aSecurities industry$$xLaw and legislation$$zChina.
000826226 77608 $$iPrint version: $$z9781137567413
000826226 852__ $$bebk
000826226 85640 $$3SpringerLink$$uhttps://univsouthin.idm.oclc.org/login?url=http://link.springer.com/10.1057/978-1-137-56742-0$$zOnline Access$$91397441.1
000826226 909CO $$ooai:library.usi.edu:826226$$pGLOBAL_SET
000826226 980__ $$aEBOOK
000826226 980__ $$aBIB
000826226 982__ $$aEbook
000826226 983__ $$aOnline
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