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China Stock Market Handbook

Publish Time : March 2008
Publisher: Javvin Press
Author: China Stock Market Handbook Editorial Board
Language: English
Paperback : 560 pages
Dimensions: 21 x 29.2 x 4.1 cm
(8.25 x 11 x 1.5 inches)
ISBN: 978-1-60267-006-8
Availability: usually ships within one business day

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Description

The Stock Market of China is emerging quickly in the past decades to become one of the largest capital markets in the world, with significant influence on the world capital markets and the overall economy. This "China Stock Market Handbook" is designed to help investors and financial professionals to understand the latest market situations and how China stock market operates. It includes fundamental information of both the mainland China and Hong Kong markets, such as the structure of stock market, key players, laws and regulations, mutual funds, investor landscapes, listed companies, historic and current market data and numerous useful references for readers to study the market further.

Table of Contents

• Chapter 1 China Stock Market Fundamentals
  1.1 A Brief History of China's Stock Market 2
  1.1.1 The Mainland China Stock Market Development 2
  1.1.2 The Hong Kong Stock Market History 3
  1.2 Regulatory Organizations 4
  1.2.1 China Securities Regulatory Commission 4
  1.2.1.1 CSRC Overview 4
  1.2.1.2 Functions and Responsibilities of CSRC 5
  1.2.1.3 Organizational Structure and Contact of the CSRC 6
  1.2.1.4 List of MOUs Signed by the CSRC with Overseas Authorities 7
  1.2.2 The Securities Association of China (SAC) 9
  1.2.2.1 An Overview of SAC 9
  1.2.2.2 The Functions of SAC 10
  1.2.2.3 The Organizational Structure of SAC 11
  1.2.2.4 Responsibilities of SAC Secretariat Office 12
  1.2.2.5 Special Committees of SAC 12
  1.2.3 Securities and Futures Commission of Hong Kong (SFC) 13
  1.2.3.1 An Overview of SFC 13
  1.2.3.2 Regulation Tasks 14
  1.2.3.3 Organizational Structure and Contact of HK SFC 16
  1.3 The Stock Exchanges 17
  1.3.1 Shanghai Stock Exchange (SSE) 17
  1.3.1.1 An Overview of the SSE 17
  1.3.1.2 SSE Organization Structure and the Contact Information 18
  1.3.1.3 Functions of Various SSE Departments 20
  1.3.1.4 The Automated Trading System of SSE 21
  1.3.1.5 SSE International Activities 22
  1.3.2 Shenzhen Stock Exchange (SZSE) 23
  1.3.2.1 An Overview of the SZSE 23
  1.3.2.2 Main Functions of SZSE 24
  1.3.2.3 SZSE Service Focus 26
  1.3.2.4 SZSE Organizational Structure and Contact Information 27
  1.3.3 Hong Kong Exchanges and Clearing (HKEx) 28
  1.3.3.1 An Overview of the HKEx 28
  1.3.3.2 HKEx Regulation and Disclosure 30
  1.3.3.3 Regional and International Activities of HKEx 30
  1.3.3.4 HKEX Organizational Structure and Contact Information 31
  1.3.3.5 HKEx Key Functions 32
  1.4 Key Concept of China Stock Markets 37
  1.4.1 A shares 37
  1.4.2 B shares 38
  1.4.3 H shares 38
  1.4.4 ST Shares 38
  1.4.5 QDII - Qualified Domestic Institutional Investors 38
  1.4.6 QFII - Qualified Foreign Institutional Investor 39
  1.4.7 SME Board - Small and Medium Enterprises Board 40
  1.4.8 GEM - Growth Enterprise Market 40
  1.5 Major Indices of Chinese Stock Markets 41
  1.5.1 Shanghai Stock Exchange Indices 41
  1.5.1.1 Introduction of Shanghai Stock Exchange Indices 41
  1.5.1.2 List of SSE Indices 42
  1.5.1.3 Shanghai Stock Index Universe 42
  1.5.1.4 Calculation Formulas of Major Indices 43
  1.5.1.5 Numerical Examples for SSE Indices Calculation 45
  1.5.2 Shenzhen Stock Exchange Indices 49
  1.5.2.1 Types of SZSE Indices 49
  1.5.2.2 SZSE Indices Calculation 50
  1.5.2.3 Selection of SZSE Index Constituents 51
  1.5.3 China Securities Index 300 51
  1.5.3.1 CSI300 Index Universe 52
  1.5.3.2 CSI300 Selection Criteria 52
  1.5.3.3 CSI300 Index Calculation 52
  1.5.3.4 Examples for CSI300 Index Calculation 53
  1.5.4 Dow Jones China Offshore 50 Index 58
  1.5.4.1 Index Criteria 58
  1.5.4.2 Index Construction Methodology 59
  1.5.4.3 Periodic Review 60
  1.5.4.4 Index Maintenance 61
  1.5.4.5 Data Correction Policy 62
  1.5.5 Hang Seng Index 62
  1.5.5.1 Hang Seng Industry Classification System (HSICS) 62
  1.5.5.2 Hang Seng Sub-Indexes 63
  1.5.5.3 Hang Seng Composite Index 63
  1.5.5.4 Hang Send Indices Examples 64
  1.5.5.5 Calculation Formulas of HS Indices 65
  1.5.5.6 Numerical Examples for index calculation 67
   
  Chapter 2 Stock Market Data and Statistics 74
  2.1 Stock Market Date in Mainland China 74
  2.1.1 Market Summary at the National Level 74
  2.1.2 Shanghai Stock Exchange Market Data 79
  2.1.3 Shenzhen Stock Exchange Statistics 83
  2.2 Hong Kong Stock Market Statistics 92
   
  Chapter 3 China Investor Landscape 108
  3.1 Investor Data in SSE 108
  3.2 Investor Data in SZSE 110
  3.3 Qualified Foreign Institutional Investors (“QFIIs”) in China 113
  3.3.1 Introduction 113
  3.3.2 QFII/Custodian/Broker 114
  3.3.3 Certain Restrictions Relating to the QFII Scheme 116
  3.3.4 Qualifications of QFII 116
  3.3.5 The List and Quota of QFII in China 117
   
  Chapter 4 IPO and Listing Process in China and Hong Kong
  Markets 120
  4.1 The Initial Public Offering (IPO) 120
  4.1.1 IPO in Mainland China 120
  4.1.2 IPO in Hong Kong 121
  4.2 Getting Listed in Stock Exchanges 123
  4.2.1 Getting Listed in Shanghai Stock Exchange 123
  4.2.2 Getting Listed in Shenzhen Stock Exchange 125
  4.2.3 Getting Listed in Hong Kong Stock Exchange 126
  4.2.3.1 Listing Requirements 126
  4.2.3.2 Application Procedures 129
  4.2.3.3 Review Procedure 130
  4.2.3.4 Listing Flowchart - Main Board 130
  4.2.3.5 Listing Flowchart - GEM 132
  4.3 Overview of the Listed Companies 133
  4.3.1 The Listed Companies on Shanghai Stock Exchange 133
  4.3.2 The Listed Companies on the Shenzhen Stock Exchange 160
  4.3.3 China H Share Companies on HKEx 193
  4.3.3.1 List of China Mainland H Share Companies on the Main Board 193
  4.3.3.2 List of China Mainland H Share Companies on GEM 197
   
  Chapter 5 Stock Trading and Clearing 200
  5.1 Trading in Shanghai Stock Exchange 200
  5.1.1 SSE Trading Summary in 2006 200
  5.1.2 SSE Trading Rules and Process 201
  5.2 Trading in ShenZhen Stock Exchange 203
  5.2.1 SZSE Trading Summary in 2006 203
  5.2.2 SZSE Trading Rules and Process 204
  5.3 B-share Trading 206
  5.3.1 General Rules of B-share Trading 206
  5.3.2 Warrants for Rights Issue Transaction 209
  5.3.3 Difference of B-share Trading in SSE and SZSE 209
  5.4 Trading in Hong Kong Stock Exchange 211
  5.4.1 Trading Summary in HKEx 211
  5.4.2 Trading Rules of the HKEx 211
  5.4.3 Public Trade Types 215
  5.4.4 Trading Rules of the HK Derivatives Market 218
  5.5 Securities Clearing 224
  5.5.1 The Clearing System in Mainland China 224
  5.5.1.1 An Overview of CSDCC 224
  5.5.1.2 Securities Account Management 224
  5.5.1.3 Securities Registration 225
  5.5.1.4 Securities Custody and Depository 226
  5.5.1.5 Securities Clearing & Settlement 227
  5.5.2 Central Clearing and Settlement System of HK 229
  5.5.2.1 The key features of CCASS 229
  5.5.2.2 Clearing and Settlement Operations 232
   
  Chapter 6 Mutual Funds in China 246
  6.1 Fund Management Companies in Mainland China 246
  6.2 Open-end Fund 250
  6.3 Close-end Fund 262
  6.4 Index and EFT Funds 263
  6.5 LOF Fund 264
  6.6 QDII Funds 265
  6.7 China Equity Funds in HK and Other Countries 267
   
  Chapter 7 Securities Brokerage Firms 270
  7.1 Securities Company Establishment and Operation in China 270
  7.1.1 Requirements 270
  7.1.2 Business Scopes 271
  7.1.3 Risk Control 271
  7.2 Brokerage Firms in Mainland China 272
  7.2.1 Top 20 Brokerage Firms in Trading Volume 272
  7.2.2 Summary of Member Security Firms in SSE 272
  7.2.3 Summary of Member Security Firms in SZSE 273
  7.2.4 List of Security Firms in Mainland China 274
  7.3 Brokerage Firms in Hong Kong 279
   
  Chapter 8 Laws and Regulations 302
  8.1 Laws of the P. R. China Concerning the Securities Market 302
  • The Company Law of the People's Republic of China 302
  • Securities Law of the People's Republic of China 336
  • Law of the People's Republic of China on Securities Investment Fund 371
  • Accounting Law of the People's Republic of China 388
  • Trust Law of the People's Republic of China 392
  8.2 Regulations of the P. R. China Concerning the Securities Market 402
  • Measures for the Administration of Stock Exchanges 402
  • Regulations of the Public Offering Review Committee of the China Securities Regulatory Commission 410
  • Circular on Promulgation of Procedures for Public Offering Review of the China Securities Regulatory Commission 414
  • Securities Depository and Clearing Rules 416
  • Interim Measures for the Administration of Securities Investment Funds 430
  • Provisional Measures Administration of Domestic Securities Investments of Qualified
  Foreign Institutional Investors (QFII) 438
  • Special Regulations of the State Council Concerning Issuing and Listing of Shares
  Overseas by Company 444
  8.3 Rules of Stock Exchanges 448
  • Trading Rules of Shanghai Stock Exchange 448
  • Shenzhen Stock Exchange Trading Rules 464
  • Special Provisions on Trading on the SME Board of Shenzhen Stock Exchange 480
  • Special Regulations on Suspending and Terminating the Listing of Stocks on SME Board 482
  • Corporate Bonds Listing Rules of Shanghai Stock Exchange 487
   
  Appendices 496
  Appendix I Glossary 496
  Appendix II Useful Web Links 513
  Appendix III Web Links of the Listed Companies of HKEx 515
  Appendix IV Timeline of the development of China's Stock Market 547