1. People's Republic of China (PRC) Company Law

(199365438+On February 29th, it was adopted at the fifth meeting of the Standing Committee of the Eighth NPC. According to the 13th meeting of the Ninth NPC Standing Committee on February 25th 1999, and the Decision on Amending the Lawyer Law of People's Republic of China (PRC) and the Decision on the Company Law of People's Republic of China (PRC), the 18th meeting of the 10th NPC Standing Committee in People's Republic of China (PRC) was held on February 25th, 2005 10.

2. People's Republic of China (PRC) Securities Law

(199865438+The 6th meeting of the NPC Standing Committee on February 29th was amended according to the Decision on Amending the Securities Law of People's Republic of China (PRC) of the 11th NPC Standing Committee on August 28th, 2004 and the 18th NPC Standing Committee on August 27th, 2005).

3. People's Republic of China (PRC) Securities Investment Fund Law

(Adopted at the Fifth Session of the Standing Committee of the Tenth NPC on June 28th, 2003, promulgated by Decree No.9 of the President of the People's Republic of China)

4. Criminal Law of People's Republic of China (PRC) (Chapter III, Sections III and IV)

(1 July 19791adopted at the second session of the fifth national people's congress1March 199714th, the fifth session of the eighth national people's congress amended decree No.83 of the president of the people's Republic of China)

5. People's Republic of China (PRC) Criminal Law Amendment (I)

(199965438+Promulgated by Decree No.27 of the President of the People's Republic of China at the 13th meeting of the Ninth NPC Standing Committee on February 25th).

6. People's Republic of China (PRC) Criminal Law Amendment (VI)

(Decree No.5 1 of the President of the People's Republic of China was adopted at the 22nd meeting of the Standing Committee of the Tenth NPC on June 29th, 2006). )

(2) Administrative regulations

1. Special Provisions of the State Council Municipality on the Listing of Shares Issued Abroad by Limited by Share Ltd.

(1Promulgated by DecreeNo. 160 of the State Council of the People's Republic of China on August 4, 994)

2. Provisions of the State Council Municipality on Domestic Listing of Foreign-funded Shares of Limited by Share Ltd..

(Promulgated by DecreeNo. 10 in 2004) the State Council, People's Republic of China (PRC) 189 February 25th 1995)

3 "Interim Measures for the Administration of Securities and Futures Investment Consulting"

(1997 165438+ the State Council1reply on October 30th 1997 65438+ released by the State Council Securities Regulatory Commission on February 25th).

4. Regulations on the Supervision of Securities Companies

(Promulgated by DecreeNo. 10 in 2004) Decree No.522 of the State Council of the People's Republic of China (April 23, 2008)

5. Provisions on Risk Disposal of Securities Companies

(Promulgated by DecreeNo. 523rd of the State Council of the People's Republic of China on April 23, 2008)

(3) Judicial interpretation

1. Several Provisions of the Supreme People's Court on the Trial of Civil Compensation Cases Caused by False Statements in the Securities Market

(Explained by the Supreme People's Court Judicial Committee at its meeting 126 1 on February 26, 2002 [2003] No.2)

2 provisions of the Supreme People's Court on several issues concerning the trial of civil disputes related to enterprise restructuring.

(the Supreme People's Court Judicial Committee adopted Law Interpretation [2003] 1 at its meeting on February 3, 2002)

(4) departmental rules and normative documents

1. Measures for the Administration of the Qualification of Securities Practitioners

(OrderNo.: China Securities Regulatory Commission February 6, 2002 14)

2. Provisions on the prohibition of entry into the securities market

(Order No.33 of the CSRC on June 7, 2006)

3. Interim Measures for the Sponsorship System of Securities Issuance and Listing

(OrderNo.: China Securities Regulatory Commission February 28, 2003 18)

4. Measures for the administration of initial public offering and listing

(Order No.32 of CSRC, May 2006 17)

5. Measures for the Administration of Securities Issuance of Listed Companies

(Order No.30 of the CSRC on May 6, 2006)

Measures of China Securities Regulatory Commission on the Issuance Review Committee.

(Order No.3 1 of CSRC on May 9, 2006)

7. Measures for the administration of securities issuance and underwriting

(Order No.37 of CSRC, September 2006 17)

8 detailed rules for the implementation of non-public offering of shares by listed companies

(September 2007 17, Jian Zheng Fa Zi [2007] No.302)

9. Provisions on the report on the use of the previous raised funds

(JZK [2007] No.500 February 26, 2007 +65438)

10. Working Procedures of the Audit Committee on Mergers and Acquisitions of Listed Companies of China Securities Regulatory Commission

(July 25, 2006, Jian Zheng Zhengfa [2006] No.83)

1 1. Pilot measures for corporate bond issuance

(Order No.49 of CSRC, August 2007 14)

12. Guidelines on Due Diligence of Sponsors

(Jian Zheng Fa Zi [2006]No. 15, May 29, 2006)

13. Notice on Issues Related to Standardizing Overseas Listing of Enterprises Belonging to Domestic Listed Companies

(July 2, 20041day, Jian Zheng Zhengfa [2004] No.67)

14. Interim Measures for the Administration of RMB Bond Issuance by International Development Institutions

(Announcement [2005] No.5 of China People's Bank, Ministry of Finance, Development and Reform Commission and China People's Bank on February 18, 2005)

15. Measures for the Administration of Stock Exchanges

(Order No.4 of CSRC, February 2002 1 12)

16. Measures for the Administration of Securities Registration and Settlement

(Order No.29 of the CSRC on April 7, 2006)

17. Measures for the Administration of Securities Companies

(Order No.5 of the CSRC on February 28, 2006 +0 65438)

18. rules for the establishment of foreign-funded securities companies (revised in 2008)

(Order No.52 of the CSRC on February 28, 2007 +65438)

19. Measures for the Administration of Risk Control Indicators of Securities Companies

(Order No.34 of the CSRC on July 20, 2006)

20. Standards for Contents and Formats of Annual Reports of Securities Companies (revised in 2008)

(June 5438, 2008+20081October 65438+April 4, 2008 No.65438 +0)

2 1. Trial Provisions on the Establishment of Subsidiaries by Securities Companies

(No.345 [2007] of the Securities Regulatory Commission on February 28th, 2007)

22. Notice on Issuing the Standards for Calculating the Net Capital of Securities Companies

(No.[2006] 16 1 dated July 20, 2006)

23. Guidelines for Internal Control of Securities Companies

(JZK [2003] No.260 June 5, 2003+February 5, 2003)

24 "Guidelines on Governance of Securities Companies (Trial)"

(JZK [2003] No.259 June 5, 2003+February 5, 2003)

Measures for the supervision of the qualifications of directors, supervisors and senior managers of securities companies

(Order No.39 of the CSRC+1October 30th, 2006)

26 "Interim Measures for the Administration of Online Securities Entrustment"

(March 30, 2000, Zheng Jian Information Zi [2000] No.5)

27. Measures for the administration of customer transaction settlement funds

(Order No.3 of CSRC, May 2006 16)

28 "Measures for the Administration of Securities Proprietary Business of Securities Institutions"

(No.1996 10.23, Jian Zheng [1996]6)

29. Guidelines for Securities Proprietary Business of Securities Companies

(200511.01.01.0 Jian zong Zi [2005] 126)

30 "Trial Measures for Customer Asset Management of Securities Companies"

(OrderNo.: China Securities Regulatory Commission February 8, 2003 17)

3 1. Interim Measures for the Administration of Credit Rating Business in the Securities Market

(OrderNo. Order No.50 of CSRC, August 24, 2007)

32. Guidelines on Corporate Governance of Listed Companies

(65438+200217 October, CSRC. State Economic and Trade Commission Jian Zheng Fa [2002] 1No.)

33. Guidelines for Articles of Association of Listed Companies (revised in 2006)

(March 16, 2006,No. [2006]38)

34 "Measures for the Administration of Information Disclosure of Listed Companies"

(Order No.40 of the CSRC on June 30, 2007)

35 "Measures for the Administration of Acquisition of Listed Companies"

(Order No.35 of CSRC, July 3, 20061day)

Provisions on the Merger and Acquisition of Domestic Enterprises by Foreign Investors

(OrderNo.: Ministry of Commerce, State-owned Assets Supervision and Administration Commission, State Administration of Taxation, State Administration for Industry and Commerce, CSRC and SAFE, August 8, 2006 10)

37 "Measures for the Administration of Foreign Investors' Strategic Investment in Listed Companies"

(Order No.28 of 2005 of Ministry of Commerce, Securities Regulatory Commission, State Taxation Administration of The People's Republic of China, State Administration for Industry and Commerce and State Administration of Foreign Exchange, February 365438, 2005)

38 "Measures for the Administration of Major Asset Restructuring of Listed Companies"

(Order No.53 of CSRC, April 2008 16)

39 "Measures for the Administration of Repurchase of Public Shares by Listed Companies (Trial)"

(June 2005 16, Jian Zheng Zhengfa [2005] No.51)

40 notice on regulating the external guarantee behavior of listed companies

(2005 165438+ 10/4, Jian Zheng Fa [2005] 120 of CSRC and CBRC)

4 1. Measures for the Administration of Equity Incentives of Listed Companies (for Trial Implementation)

(June 5438+February 3, 20051).

42 "Measures for the Administration of Information Disclosure of Securities Investment Funds"

(OrderNo. China Securities Regulatory Commission June 8, 2004 19)

43 "Measures for the Administration of Securities Investment Fund Sales"

(Order No.20 of the CSRC on June 25, 2004)

44 "Measures for the Administration of the Operation of Securities Investment Funds"

(Order No.2 1 of China Securities Regulatory Commission on June 29th, 2004)

45 "Measures for the Administration of Securities Investment Fund Management Companies"

(Order No.22 of CSRC, September 2004 16)

46 "Guidelines on Corporate Governance of Securities Investment Fund Management (Trial)"

(June 2006 15,No. [2006] 122)

47 "Measures for the Administration of Senior Managers of Securities Investment Fund Industry"

(Order No.23 of the CSRC on September 22, 2004)

48 "Measures for the Administration of Domestic Securities Investment by Qualified Foreign Institutional Investors"

(Order No.36 of PBC Securities Regulatory Commission and State Administration of Foreign Exchange, August 24, 2006)

49 "Trial Measures for the Administration of Overseas Securities Investment in qualified domestic institutional investor"

(Order No.46 of CSRC, June 2007 18)

50 "Guiding Opinions on Internal Control of Securities Investment Fund Sales Organizations"

(Zheng Jian Fund Zi [2007] No.277 June 2007 65438+10/October 65438+February 2007)

5 1. Guidance on the sales applicability of securities investment funds

(Zheng Jian Fund Zi [2007] No.278 June 2007 65438 +2007 10)

52 "Pilot Measures for Asset Management Business of Specific Clients of Fund Management Companies"

(OrderNo. CSRC 20071October 29th 5 1)

53 "Guiding Opinions on Internal Control of Securities Investment Fund Management Companies"

(No.65438 [2002] of the Securities Regulatory Fund+February 3, 2002)

54. Guidance on the management of investment managers of fund management companies

(Zheng Jian Fund Zi [2006] No.226 20061October 27th +65438)

(5) Rules of the stock exchange

1. Trading Rules of Shanghai and Shenzhen Stock Exchanges (revised in 2006)

2. Listing Rules of Shanghai and Shenzhen Stock Exchanges (revised in 2006)

3. Listing Rules of Securities Investment Funds of Shanghai and Shenzhen Stock Exchanges (revised in 2004)

4. Guidelines for Initial Public Offering and Listing of Stocks in Shanghai and Shenzhen Stock Exchanges (2006)

5. Listing Rules of Corporate Bonds of Shanghai Stock Exchange (Revised Draft) (2007)

6. Listing Rules of Securities Investment Funds of Shanghai Stock Exchange (revised in 2007)

7. Detailed Rules for the Implementation of Bond Trading in Shanghai Stock Exchange (revised in 2007)

8. Interim Provisions on the Listing of Corporate Bonds of Shenzhen Stock Exchange (2007)

9. Evaluation Measures for Sponsorship of Listed Companies on SME Board (2008)