Interim Provisions on the Securities Investment Consulting Services Offered by Hong Kong-based Institutions to Securities and Fund Operators
Interim Provisions on the Securities Investment Consulting Services Offered by Hong Kong-based Institutions to Securities and Fund Operators
Interim Provisions on the Securities Investment Consulting Services Offered by Hong Kong-based Institutions to Securities and Fund Operators
Announcement of the China Securities Regulatory Commission [2018] No.23
June 27, 2018
The Interim Provisions on the Securities Investment Consulting Services Offered by Hong Kong-based Institutions to Securities and Fund Operators are hereby issued and shall come into force as of July 1, 2018.
Interim Provisions on the Securities Investment Consulting Services Offered by Hong Kong-based Institutions to Securities and Fund Operators
Article 1 The Interim Provisions on the Securities Investment Consulting Services Offered by Hong Kong-based Institutions to Securities and Fund Operators (hereinafter referred to as the "Provisions") are formulated in accordance with the Securities Law, the Law on Securities Investment Funds, the Interim Measures for Administration of Securities and Futures Investment Consultancy, the Several Provisions on the Interconnection Mechanism for Mainland and Hong Kong Stock Markets and other laws and regulations and the provisions of the China Securities Regulatory Commission (hereinafter referred to as the "CSRC") in order to standardize the relevant behaviors on the securities investment consulting services offered by Hong Kong-based institutions to securities companies and fund managers publicly raising securities investment funds under Southbound Trading Link (hereinafter collectively referred to as the "securities and fund operators") and protect the legitimate rights and interests of investors.
Article 2 Where securities investment consulting services are offered by Hong Kong-based institutions to securities and fund operators under Southbound Trading Link in the following activities, the Provisions shall apply:
1.
......
Announcement of the China Securities Regulatory Commission [2018] No.23
June 27, 2018
The Interim Provisions on the Securities Investment Consulting Services Offered by Hong Kong-based Institutions to Securities and Fund Operators are hereby issued and shall come into force as of July 1, 2018.
Interim Provisions on the Securities Investment Consulting Services Offered by Hong Kong-based Institutions to Securities and Fund Operators
Article 1 The Interim Provisions on the Securities Investment Consulting Services Offered by Hong Kong-based Institutions to Securities and Fund Operators (hereinafter referred to as the "Provisions") are formulated in accordance with the Securities Law, the Law on Securities Investment Funds, the Interim Measures for Administration of Securities and Futures Investment Consultancy, the Several Provisions on the Interconnection Mechanism for Mainland and Hong Kong Stock Markets and other laws and regulations and the provisions of the China Securities Regulatory Commission (hereinafter referred to as the "CSRC") in order to standardize the relevant behaviors on the securities investment consulting services offered by Hong Kong-based institutions to securities companies and fund managers publicly raising securities investment funds under Southbound Trading Link (hereinafter collectively referred to as the "securities and fund operators") and protect the legitimate rights and interests of investors.
Article 2 Where securities investment consulting services are offered by Hong Kong-based institutions to securities and fund operators under Southbound Trading Link in the following activities, the Provisions shall apply:
1.
......