No. | Item Name Cancelled | Ongoing Management and Work Dovetailing |
| 1 | Ratification of A-share settlement banks | The Securities Registration and Settlement Company shall formulate the standards and criteria for ratification of A-share
settlement banks |
| 2 | Record of the contracts signed between securities companies and depository banks, or chief depository banks | Within seven days upon signature of the contracts with depository banks and chief depository banks, the securities companies
shall report the copies of the contracts in question to the CSRC and the local CSRC agency. |
| 3 | Record of the contracts signed between settlement companies and settlement banks | The Securities Registration and Settlement Company shall report its sample format of the contracts signed with the settlement
banks to the CSRC. |
| 4 | Record of the documents of the members¡¯ assembly of Stock Exchanges | The Stock Exchanges shall within ten working days upon the members¡¯ assembly of Stock Exchanges submit all the documents
and relevant circumstances to the CSRC |
| 5 | Record of the business agreements between securities registration and settlement institutions and Stock Exchanges
| The securities registration and settlement institutions shall submit the business agreements signed or modified with the
Stock Exchanges to the CSRC. |
| 6 | Record of the suspension or restoration of the trading of listed securities by Stock Exchanges | The CSRC shall not examine and approve such administrative examination and approval items but strengthen the examination
and inspection on the stop or resumption of the listing of the Stock Exchanges |
| 7 | Approval of the suspension or restoration of the trading of listed securities by Stock Exchanges | Same as above (ditto) |
| 8 | Record of listing agreements | The CSRC shall no longer examine and approve such administrative examination and approval items |
| 9 | Record of the internal administrative systems and work procedures of securities registration and settlement institutions
on business, finance and security etc | The internal management system and risk prevention system formulated by the securities registration and settlement institutions
should be reported to the CSRC. |
| 10 | Approval of the period for keeping of original business proofs fixed by securities registration and settlement institutions
| Enforced according to Article 53 of the Securities Law of the PRC. |
| 11 | Examination and approval for the services provided by Stock Exchanges for the transaction types that are not listed by them
| In case of providing services for the transactions types that are not listed on their stock exchanges, the Stock Exchanges
shall report the relevant circumstances to the CSRC. |
| 12 | Examination and acceptance of the preparation for establishment of securities companies | The CSRC shall no longer examine and approve such administrative examination and approval items |
| 13 | Examination and approval of the establishment of securities institutions abroad by non-securities institutions
| The CSRC shall no longer examine and approve such administrative examination and approval items |
| 14 | Ratification of the change, addition or reduction of representatives, deputy representatives, and staff members of foreign
nationalities or from Hong Kong, Macao and Taiwan by the representative offices in China of foreign securities
institutions | Upon change, addition or reduction of representatives, deputy representatives, and staff members of foreign nationalities
or from Hong Kong, Macao and Taiwan by the representative offices in China of foreign securities institutions,
the name list, identity certification and resumes should be reported to the CSRC and the local CSRC agencies |
| 15 | Record of the employment of Chinese citizens to be ordinary staff members by the representative offices in China of foreign
securities institutions | Ditto |
| 16 | Ratification of the representatives and deputy representatives of the representative offices in China of foreign securities
institutions | Ditto |
| 17 | Examination and approval of the cancellation of securities institutions set up overseas by domestic non-securities institutions
| The CSRC shall no longer examine and approve such administrative examination and approval items |
| 18 | Recommendation for the securities companies entering the Inter-bank borrowing market | The securities companies may apply for with the People¡¯s Bank of China or other competent authorities. If the People¡¯s
Bank of China or other competent authorities require for opinions to be issued by the CSRC, the CSRC shall coordinate
accordingly |
| 19 | Designation of the training institutions of securities practitioners | Handled with according to the relevant provisions of the China Association of Securities |
| 20 | Record of the personnel employed by securities intermediary institutions | Handled with according to the relevant provisions of the China Association of Securities |
| 21 | Record of the change of employers of securities practitioners | Handled with according to the relevant provisions of the China Association of Securities |
| 22 | Record of the part-time jobs in non-commercial institutions of the managerial personnel and fund managers | The fund management companies shall report to the CSRC the part-time jobs in non-commercial institutions of the managerial
personnel and fund managers |
| 23 | Record of the appointment and dismissal of the assistants to the general manager and department managers of fund management
companies and fund trustee departments | The engagement and dismissal of the assistant General Managers and departmental managers of fund management companies and
fund custodian departments should be reported together with the submission of the database information for fund
supervision |
| 24 | Record of the relevant materials of establishment of offices within China by fund management companies | Within 25 working days upon establishing offices in the territory of China, the fund management companies shall report the
relevant content, including the time and place for establishing such offices, the responsible persons and contact
mode; and the acts of the offices should be undertaken by the fund management companies as a part of the regulations
on the fund management companies by the CSRC. |
| 25 | Examination and approval for the establishment of futures and investment consultation institutions | The CSRC shall no longer examine and approve such administrative examination and approval items but review and ratify the
qualifications of the futures investment advisory institutions for futures investment advisory services, and
issue the Qualification Permits for Futures Investment Advisory Services. For the institutions that project to apply
for the qualifications for futures investment advisory services, their practitioners shall have obtained the Qualification
Certificate for futures investment consultation issued by China Association of Futures |
| 26 | Review of the letters of legal advice issued by Chinese lawyers concerning the issuing of stocks and listing overseas by
overseas companies involving domestic rights and interests | The CSRC shall no longer examine and approve such administrative examination and approval items |
| 27 | Record of the agreements on listing of convertible company bonds | The CSRC shall no longer examine and approve such administrative examination and approval items |
