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CSRC Invites Public Comments on Draft Regulation for Derivatives Trading

Regulatory oversight of derivatives trading is being enhanced, with a focus on prohibiting certain...
Key Metrics

10.86

Heat Index
  • Impact Level
    Medium
  • Scope Level
    National
  • Last Update
    2026-01-16
Key Impacts
Positive Impacts (1)
Legal & Compliance Service Providers in China
Negative Impacts (3)
Chinese Technology Firms Using Share-Based Compensation
Listed A-share Corporates with High Share-Pledge Financing Exposure
Global Investment Banks with China Equity-Derivatives Desks (e.g., JPMorgan, UBS)
Total impacts: 7 | Positive: 1 | Negative: 3
Event Overview

Regulatory oversight of derivatives trading is being enhanced, with a focus on prohibiting certain transactions involving listed companies and their major shareholders. The new rules aim to manage risks and ensure market integrity by restricting the use of derivatives based on a company's own stock.

Collect Records
CSRC Seeks Public Feedback on Draft Regulation for Derivatives Trading
2026-01-16 19:24

The China Securities Regulatory Commission (CSRC) is seeking public feedback on a draft regulation for the supervision and management of derivatives trading. The proposed rules prohibit listed companies, or those trading on other nationally approved exchanges, from entering into derivative transactions based on their own stocks, with exceptions as per laws and CSRC regulations. Additionally, derivatives institutions are not allowed to engage in such transactions with major shareholders (holding over 5% of shares), actual controllers, directors, supervisors, senior executives, or shareholders with restricted or limited tradable shares of these companies.

Total records: 1
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