中國證券法——案例與規則（英文版）

This book is drafted in a style of common law textbook, just like those using in the law schools of U.S.A., but with typical Chinese securities cases and laws. It covers the general introduction of Chinese securities laws on securities issuance, transactions, institutions, regulatory and legal liabilities for illegal practices. In each section, after the introductions of specific rules and rationale, a case is followed with summary of facts, ruling of the courts. So the readers may have an oversight to Chinese securities laws and the students can learn the relevant laws through cases method.

I want to send this book to my wife Xu Xiaoxia as a gift to celebrate our loving time of 20 years. And thank the international students studying the Master Program in Chinese Law of Beijing Normal University. Sincerely appreciate helps from the editors of University of International Business and Economics Press. ^[1] 

Chapter One General Introduction of Chinese Securities Law1

Case: Hu Zhenzhu v. Shanghai Stock Exchange3

Chapter Two Issuance of Securities7

Section I Issuance of Stock, Bond or Other Securities7

Case: Chen Mingang v. Shanghai Perfection Nanometre New Material Co., Ltd.

10

Section II Underwriting of Securities14

Case: Guosen Securities Co., Ltd. v. Xiyi Co., Ltd. and Xiyi Group Co., Ltd.17

Chapter Three Transactions in Securities23

Section I Listing of Securities23

Case: HKEx Listing Decision on VIE Structure27

Section II Acquisitions of Listed Companies33

Case: Case Re Hostile Takeover of Ewushang37

Section III Disclosure of Information40

Case: Tu Miaolong v. Sino-Platinum Metals Co., Ltd.43

Chapter Four Securities Institutions47

Section I Stock Exchange47

Case: Chen Yutian v. Haitong Securities Co., Ltd., et al.50

Section II Securities Companies56

Case: Chen v. Shanghai Kangding Road Securities Sales Department,

Hongyuan Securities Co., Ltd. 60

Section III Securities Registration and Clearing Institutions65

Case: China Machinery & Electronic Products of Exports Investment Co., Ltd. v.

Minfa Securities Co., Ltd. & China Securities Depository and

Clearing Corporation Limited68

Section IV Securities Trading Service Institutions72

Case: Xiao Xianbai v. Hisense Kelon Electrical Holdings Co., Ltd. and

Deloitte Touche Tohmatsu CPA Ltd.77

Chapter Five Securities Regulation85

Section I China Securities Regulatory Commission86

Case: Ding Liye v. China Securities Regulatory Commission89

Section II Self-Regulatory Bodies94

Case: Zhang Yiyong v. Shanghai Securities Central Registration and

Clearing Corporation & Shanghai Stock Exchange96

Chapter Six Legal Liabilities for Illegal Practices101

Section I Insider Trading101

Case: Chen Zuling v. Pan Haishen105

Section II Market Manipulation109

Case: Xie Xuefen v. Cheng Wenshui & Liu Yanze111

Section III False Statement115

Case: Fan Meijuan v. Huawen Media Investment Corporation120

References125 ^[1]