People's Republic of China Financial Sector Assessment Program : IOSCO Objectives and Principles for Securities Regulation
This is an initial report of the International Organization of Securities Commissions (IOSCO) assessment performed in 2010 as part of the financial sector assessment program (FSAP) of China. The assessment was prepared on the basis of a self-assess...
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| Format: | Report |
| Language: | English en_US |
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World Bank, Washington, DC
2017
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| Online Access: | http://documents.worldbank.org/curated/en/267021468019434164/China-IOSCO-objectives-and-principles-for-securities-regulation-detailed-assessment-of-observance http://hdl.handle.net/10986/26543 |
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okr-10986-26543 |
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oai_dc |
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Digital Repository |
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Foreign Institution |
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Digital Repositories |
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World Bank Open Knowledge Repository |
| collection |
World Bank |
| language |
English en_US |
| topic |
ACCOUNTANT ACCOUNTING ACCOUNTING STANDARDS ARBITRAGE ASSET MANAGEMENT ASSET VALUE BANK BOND BANK BOND MARKET BANK LENDING BANKING INSTITUTIONS BANKRUPTCY BOND BOND MARKET CAPITAL FLOW CAPITAL MARKET CAPITAL MARKET DEVELOPMENT CAPITAL REQUIREMENTS CENTRAL BANK CIVIL LAW CLEARING CORPORATION CLIENT ASSETS CODE OF CONDUCT COLLECTIVE INVESTMENT COLLECTIVE INVESTMENT SCHEME COMMERCIAL BANKS COMMODITIES FUTURES COMMODITY CONFIDENTIALITY CONFLICTS OF INTEREST CORPORATE BOND CORPORATE BOND MARKET CORPORATE GOVERNANCE CREDIT RATING CREDIT RATING AGENCIES CROSS-BORDER CAPITAL DEFAULT RISK DEPOSITORY DERIVATIVE DERIVATIVE CONTRACT DERIVATIVES MARKET DISCLOSURE REQUIREMENTS DOMESTIC INSTITUTIONAL INVESTORS DOMESTIC REGULATORS EFFICIENT MARKET EMERGING MARKET ENFORCEABILITY ENFORCEMENT POWERS ENTRY REQUIREMENTS EQUITY FUNDS EXCHANGE RATE EXPENDITURE EXPOSURES FINANCIAL CRISIS FINANCIAL DERIVATIVE FINANCIAL FUTURES FINANCIAL INNOVATION FINANCIAL MARKET FINANCIAL RISKS FINANCIAL SECTOR FINANCIAL STABILITY FINANCIAL STATEMENT FINANCIAL SYSTEM FOREIGN EXCHANGE FRAUD FUND MANAGEMENT FUND MANAGER FUTURES FUTURES CONTRACT FUTURES EXCHANGE FUTURES MARKET FUTURES PRODUCTS GOVERNMENT BUDGET HEDGE FUNDS INCOME INCOME LEVEL INDIVIDUAL SECURITIES INFORMATION SHARING INFORMATION TECHNOLOGY INITIAL PUBLIC OFFERINGS INSIDER TRADING INSTITUTIONAL INVESTORS INSURANCE INSURANCE COMPANIES INSURANCE PRODUCTS INTERNAL CONTROLS INTERNATIONAL BANK INTERNATIONAL STANDARDS INVESTMENT ACTIVITIES INVESTMENT ACTIVITY INVESTMENT DECISION INVESTMENT FUNDS INVESTMENT MANAGEMENT INVESTMENT STRATEGIES INVESTMENT VEHICLES INVESTOR CONFIDENCE INVESTOR EDUCATION INVESTOR PROTECTION IPOS JUDICIAL SYSTEM JURISDICTION LAW ENFORCEMENT LEGAL FRAMEWORK LEGAL PROTECTION LEGAL SYSTEM LIABILITY LIQUIDATION LIQUIDITY LOCAL GOVERNMENTS MARKET CAP MARKET CAPITALIZATION MARKET DEVELOPMENT MARKET DISCIPLINE MARKET INTERMEDIARY MARKET MANIPULATION MARKET PARTICIPANTS MARKET SHARE MARKET STRUCTURE MARKET VALUE MONETARY FUND MONETARY POLICY MONEY LAUNDERING MUTUAL FUNDS NATIONAL DEVELOPMENT NATIONAL TREASURY NAV NET ASSET NET ASSET VALUE NET CAPITAL NET-CAPITAL OPERATIONAL INDEPENDENCE POLITICAL SYSTEM POTENTIAL INVESTORS POTENTIAL LIABILITY PRIVATE ENFORCEMENT PRIVATE EQUITY PRIVATE SECTOR DEVELOPMENT PUBLIC ENFORCEMENT PUBLIC INFORMATION RAPID GROWTH REGISTERED SECURITIES REGULATOR REGULATORY AUTHORITY REGULATORY FRAMEWORK REGULATORY GAP REGULATORY PRACTICE REGULATORY REGIME REGULATORY REQUIREMENTS REGULATORY SYSTEM RESERVE RESERVE FUNDS RETAIL INVESTORS RISK MANAGEMENT SECONDARY MARKETS SECURITIES SECURITIES ACTIVITIES SECURITIES COMMISSIONS SECURITIES DEPOSITORY SECURITIES EXCHANGES SECURITIES INDUSTRY SECURITIES LAW SECURITIES MARKETS SECURITIES REGISTRATION SECURITIES REGULATION SECURITIES TRANSACTIONS SELF-REGULATION SETTLEMENT SETTLEMENT OBLIGATIONS SETTLEMENT SYSTEMS SHARE TRADING SHAREHOLDER SOLVENCY STOCK EXCHANGE STOCK INDEX STOCK INDEX FUTURES STOCKS SYSTEMIC RISK TRADE INFORMATION TRADES TRADING TRADING ACTIVITIES TRADING SYSTEM TRADING VOLUME TRANSACTION TRANSFER AGENT TRANSFER OF FUNDS TRANSPARENCY TREASURY TREASURY BONDS TURNOVER VALUATION VOLATILITY |
| spellingShingle |
ACCOUNTANT ACCOUNTING ACCOUNTING STANDARDS ARBITRAGE ASSET MANAGEMENT ASSET VALUE BANK BOND BANK BOND MARKET BANK LENDING BANKING INSTITUTIONS BANKRUPTCY BOND BOND MARKET CAPITAL FLOW CAPITAL MARKET CAPITAL MARKET DEVELOPMENT CAPITAL REQUIREMENTS CENTRAL BANK CIVIL LAW CLEARING CORPORATION CLIENT ASSETS CODE OF CONDUCT COLLECTIVE INVESTMENT COLLECTIVE INVESTMENT SCHEME COMMERCIAL BANKS COMMODITIES FUTURES COMMODITY CONFIDENTIALITY CONFLICTS OF INTEREST CORPORATE BOND CORPORATE BOND MARKET CORPORATE GOVERNANCE CREDIT RATING CREDIT RATING AGENCIES CROSS-BORDER CAPITAL DEFAULT RISK DEPOSITORY DERIVATIVE DERIVATIVE CONTRACT DERIVATIVES MARKET DISCLOSURE REQUIREMENTS DOMESTIC INSTITUTIONAL INVESTORS DOMESTIC REGULATORS EFFICIENT MARKET EMERGING MARKET ENFORCEABILITY ENFORCEMENT POWERS ENTRY REQUIREMENTS EQUITY FUNDS EXCHANGE RATE EXPENDITURE EXPOSURES FINANCIAL CRISIS FINANCIAL DERIVATIVE FINANCIAL FUTURES FINANCIAL INNOVATION FINANCIAL MARKET FINANCIAL RISKS FINANCIAL SECTOR FINANCIAL STABILITY FINANCIAL STATEMENT FINANCIAL SYSTEM FOREIGN EXCHANGE FRAUD FUND MANAGEMENT FUND MANAGER FUTURES FUTURES CONTRACT FUTURES EXCHANGE FUTURES MARKET FUTURES PRODUCTS GOVERNMENT BUDGET HEDGE FUNDS INCOME INCOME LEVEL INDIVIDUAL SECURITIES INFORMATION SHARING INFORMATION TECHNOLOGY INITIAL PUBLIC OFFERINGS INSIDER TRADING INSTITUTIONAL INVESTORS INSURANCE INSURANCE COMPANIES INSURANCE PRODUCTS INTERNAL CONTROLS INTERNATIONAL BANK INTERNATIONAL STANDARDS INVESTMENT ACTIVITIES INVESTMENT ACTIVITY INVESTMENT DECISION INVESTMENT FUNDS INVESTMENT MANAGEMENT INVESTMENT STRATEGIES INVESTMENT VEHICLES INVESTOR CONFIDENCE INVESTOR EDUCATION INVESTOR PROTECTION IPOS JUDICIAL SYSTEM JURISDICTION LAW ENFORCEMENT LEGAL FRAMEWORK LEGAL PROTECTION LEGAL SYSTEM LIABILITY LIQUIDATION LIQUIDITY LOCAL GOVERNMENTS MARKET CAP MARKET CAPITALIZATION MARKET DEVELOPMENT MARKET DISCIPLINE MARKET INTERMEDIARY MARKET MANIPULATION MARKET PARTICIPANTS MARKET SHARE MARKET STRUCTURE MARKET VALUE MONETARY FUND MONETARY POLICY MONEY LAUNDERING MUTUAL FUNDS NATIONAL DEVELOPMENT NATIONAL TREASURY NAV NET ASSET NET ASSET VALUE NET CAPITAL NET-CAPITAL OPERATIONAL INDEPENDENCE POLITICAL SYSTEM POTENTIAL INVESTORS POTENTIAL LIABILITY PRIVATE ENFORCEMENT PRIVATE EQUITY PRIVATE SECTOR DEVELOPMENT PUBLIC ENFORCEMENT PUBLIC INFORMATION RAPID GROWTH REGISTERED SECURITIES REGULATOR REGULATORY AUTHORITY REGULATORY FRAMEWORK REGULATORY GAP REGULATORY PRACTICE REGULATORY REGIME REGULATORY REQUIREMENTS REGULATORY SYSTEM RESERVE RESERVE FUNDS RETAIL INVESTORS RISK MANAGEMENT SECONDARY MARKETS SECURITIES SECURITIES ACTIVITIES SECURITIES COMMISSIONS SECURITIES DEPOSITORY SECURITIES EXCHANGES SECURITIES INDUSTRY SECURITIES LAW SECURITIES MARKETS SECURITIES REGISTRATION SECURITIES REGULATION SECURITIES TRANSACTIONS SELF-REGULATION SETTLEMENT SETTLEMENT OBLIGATIONS SETTLEMENT SYSTEMS SHARE TRADING SHAREHOLDER SOLVENCY STOCK EXCHANGE STOCK INDEX STOCK INDEX FUTURES STOCKS SYSTEMIC RISK TRADE INFORMATION TRADES TRADING TRADING ACTIVITIES TRADING SYSTEM TRADING VOLUME TRANSACTION TRANSFER AGENT TRANSFER OF FUNDS TRANSPARENCY TREASURY TREASURY BONDS TURNOVER VALUATION VOLATILITY International Monetary Fund World Bank People's Republic of China Financial Sector Assessment Program : IOSCO Objectives and Principles for Securities Regulation |
| geographic_facet |
East Asia and Pacific East Asia China |
| description |
This is an initial report of the
International Organization of Securities Commissions (IOSCO)
assessment performed in 2010 as part of the financial sector
assessment program (FSAP) of China. The assessment was
prepared on the basis of a self-assessment prepared by the
China Securities Regulatory Commission (CSRC), public
information contained on the CSRC website and the websites
of other entities in China, and a review of relevant Chinese
laws and regulations. The timely completion of this
assessment was greatly facilitated by the cooperation
provided by numerous members of the staff of the CSRC. The
CSRC has broad regulatory authority over the stock and
futures exchanges, the China Securities Depository and
Clearing Corporation Limited (SD and C) and other clearing
and settlement institutions, securities companies, futures
companies, and collective investment scheme (CIS) operators.
This paper is divided into two parts. The first part gives
summary, key findings, and recommendations. It is further
divided into following six parts: (i) introduction; (ii)
information and methodology used for assessment; (iii)
institutional and market structure- overview; (iv)
preconditions for effective securities regulation; (v) key
findings; and (vi) recommended action plan and
authorities' response. The second part gives tabular
detailed assessment. |
| format |
Report |
| author |
International Monetary Fund World Bank |
| author_facet |
International Monetary Fund World Bank |
| author_sort |
International Monetary Fund |
| title |
People's Republic of China Financial Sector Assessment Program : IOSCO Objectives and Principles for Securities Regulation |
| title_short |
People's Republic of China Financial Sector Assessment Program : IOSCO Objectives and Principles for Securities Regulation |
| title_full |
People's Republic of China Financial Sector Assessment Program : IOSCO Objectives and Principles for Securities Regulation |
| title_fullStr |
People's Republic of China Financial Sector Assessment Program : IOSCO Objectives and Principles for Securities Regulation |
| title_full_unstemmed |
People's Republic of China Financial Sector Assessment Program : IOSCO Objectives and Principles for Securities Regulation |
| title_sort |
people's republic of china financial sector assessment program : iosco objectives and principles for securities regulation |
| publisher |
World Bank, Washington, DC |
| publishDate |
2017 |
| url |
http://documents.worldbank.org/curated/en/267021468019434164/China-IOSCO-objectives-and-principles-for-securities-regulation-detailed-assessment-of-observance http://hdl.handle.net/10986/26543 |
| _version_ |
1764461463653580800 |
| spelling |
okr-10986-265432021-04-23T14:04:35Z People's Republic of China Financial Sector Assessment Program : IOSCO Objectives and Principles for Securities Regulation International Monetary Fund World Bank ACCOUNTANT ACCOUNTING ACCOUNTING STANDARDS ARBITRAGE ASSET MANAGEMENT ASSET VALUE BANK BOND BANK BOND MARKET BANK LENDING BANKING INSTITUTIONS BANKRUPTCY BOND BOND MARKET CAPITAL FLOW CAPITAL MARKET CAPITAL MARKET DEVELOPMENT CAPITAL REQUIREMENTS CENTRAL BANK CIVIL LAW CLEARING CORPORATION CLIENT ASSETS CODE OF CONDUCT COLLECTIVE INVESTMENT COLLECTIVE INVESTMENT SCHEME COMMERCIAL BANKS COMMODITIES FUTURES COMMODITY CONFIDENTIALITY CONFLICTS OF INTEREST CORPORATE BOND CORPORATE BOND MARKET CORPORATE GOVERNANCE CREDIT RATING CREDIT RATING AGENCIES CROSS-BORDER CAPITAL DEFAULT RISK DEPOSITORY DERIVATIVE DERIVATIVE CONTRACT DERIVATIVES MARKET DISCLOSURE REQUIREMENTS DOMESTIC INSTITUTIONAL INVESTORS DOMESTIC REGULATORS EFFICIENT MARKET EMERGING MARKET ENFORCEABILITY ENFORCEMENT POWERS ENTRY REQUIREMENTS EQUITY FUNDS EXCHANGE RATE EXPENDITURE EXPOSURES FINANCIAL CRISIS FINANCIAL DERIVATIVE FINANCIAL FUTURES FINANCIAL INNOVATION FINANCIAL MARKET FINANCIAL RISKS FINANCIAL SECTOR FINANCIAL STABILITY FINANCIAL STATEMENT FINANCIAL SYSTEM FOREIGN EXCHANGE FRAUD FUND MANAGEMENT FUND MANAGER FUTURES FUTURES CONTRACT FUTURES EXCHANGE FUTURES MARKET FUTURES PRODUCTS GOVERNMENT BUDGET HEDGE FUNDS INCOME INCOME LEVEL INDIVIDUAL SECURITIES INFORMATION SHARING INFORMATION TECHNOLOGY INITIAL PUBLIC OFFERINGS INSIDER TRADING INSTITUTIONAL INVESTORS INSURANCE INSURANCE COMPANIES INSURANCE PRODUCTS INTERNAL CONTROLS INTERNATIONAL BANK INTERNATIONAL STANDARDS INVESTMENT ACTIVITIES INVESTMENT ACTIVITY INVESTMENT DECISION INVESTMENT FUNDS INVESTMENT MANAGEMENT INVESTMENT STRATEGIES INVESTMENT VEHICLES INVESTOR CONFIDENCE INVESTOR EDUCATION INVESTOR PROTECTION IPOS JUDICIAL SYSTEM JURISDICTION LAW ENFORCEMENT LEGAL FRAMEWORK LEGAL PROTECTION LEGAL SYSTEM LIABILITY LIQUIDATION LIQUIDITY LOCAL GOVERNMENTS MARKET CAP MARKET CAPITALIZATION MARKET DEVELOPMENT MARKET DISCIPLINE MARKET INTERMEDIARY MARKET MANIPULATION MARKET PARTICIPANTS MARKET SHARE MARKET STRUCTURE MARKET VALUE MONETARY FUND MONETARY POLICY MONEY LAUNDERING MUTUAL FUNDS NATIONAL DEVELOPMENT NATIONAL TREASURY NAV NET ASSET NET ASSET VALUE NET CAPITAL NET-CAPITAL OPERATIONAL INDEPENDENCE POLITICAL SYSTEM POTENTIAL INVESTORS POTENTIAL LIABILITY PRIVATE ENFORCEMENT PRIVATE EQUITY PRIVATE SECTOR DEVELOPMENT PUBLIC ENFORCEMENT PUBLIC INFORMATION RAPID GROWTH REGISTERED SECURITIES REGULATOR REGULATORY AUTHORITY REGULATORY FRAMEWORK REGULATORY GAP REGULATORY PRACTICE REGULATORY REGIME REGULATORY REQUIREMENTS REGULATORY SYSTEM RESERVE RESERVE FUNDS RETAIL INVESTORS RISK MANAGEMENT SECONDARY MARKETS SECURITIES SECURITIES ACTIVITIES SECURITIES COMMISSIONS SECURITIES DEPOSITORY SECURITIES EXCHANGES SECURITIES INDUSTRY SECURITIES LAW SECURITIES MARKETS SECURITIES REGISTRATION SECURITIES REGULATION SECURITIES TRANSACTIONS SELF-REGULATION SETTLEMENT SETTLEMENT OBLIGATIONS SETTLEMENT SYSTEMS SHARE TRADING SHAREHOLDER SOLVENCY STOCK EXCHANGE STOCK INDEX STOCK INDEX FUTURES STOCKS SYSTEMIC RISK TRADE INFORMATION TRADES TRADING TRADING ACTIVITIES TRADING SYSTEM TRADING VOLUME TRANSACTION TRANSFER AGENT TRANSFER OF FUNDS TRANSPARENCY TREASURY TREASURY BONDS TURNOVER VALUATION VOLATILITY This is an initial report of the International Organization of Securities Commissions (IOSCO) assessment performed in 2010 as part of the financial sector assessment program (FSAP) of China. The assessment was prepared on the basis of a self-assessment prepared by the China Securities Regulatory Commission (CSRC), public information contained on the CSRC website and the websites of other entities in China, and a review of relevant Chinese laws and regulations. The timely completion of this assessment was greatly facilitated by the cooperation provided by numerous members of the staff of the CSRC. The CSRC has broad regulatory authority over the stock and futures exchanges, the China Securities Depository and Clearing Corporation Limited (SD and C) and other clearing and settlement institutions, securities companies, futures companies, and collective investment scheme (CIS) operators. This paper is divided into two parts. The first part gives summary, key findings, and recommendations. It is further divided into following six parts: (i) introduction; (ii) information and methodology used for assessment; (iii) institutional and market structure- overview; (iv) preconditions for effective securities regulation; (v) key findings; and (vi) recommended action plan and authorities' response. The second part gives tabular detailed assessment. 2017-05-09T14:43:09Z 2017-05-09T14:43:09Z 2012-03 Report http://documents.worldbank.org/curated/en/267021468019434164/China-IOSCO-objectives-and-principles-for-securities-regulation-detailed-assessment-of-observance http://hdl.handle.net/10986/26543 English en_US CC BY 3.0 IGO http://creativecommons.org/licenses/by/3.0/igo World Bank World Bank, Washington, DC Economic & Sector Work Economic & Sector Work :: Financial Sector Assessment Program East Asia and Pacific East Asia China |