China Securities Regulatory Commission, Provisions for Banning Access to Securities Markets

中国证券监督管理委员会证券市场禁入规定

July 05, 2021 | BY

Susan Mok

Parties may be banned from participating in securities markets

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Promulgated: June 15, 2021

Effective: July 19, 2021

Main contents: Where any of the following persons violates a law, set of administrative regulations or a relevant provisions of the China Securities Regulatory Commission and the circumstances thereof are serious, the law enforcement entity may, depending on the seriousness of the circumstances, take measures to ban such person from the securities markets:

(1) a director, supervisor or senior executive of a securities issuer;

(2) another party with an information disclosure obligation, a director, supervisor