Rules of the Exchange 
24/07/2017 
 

    • CHAPTER 1 :

    INTERPRETATION

    • CHAPTER 2 :

    ADMINISTRATION

    • CHAPTER 3 :

    EXCHANGE PARTICIPANTSHIP

    • CHAPTER 3A :

    STOCK EXCHANGE TRADING RIGHTS

    • CHAPTER 4 :

    FINANCIAL RESOURCES RULES AND ACCOUNTING REQUIREMENTS

    • CHAPTER 5 :

    TRADING

    • CHAPTER 6 :

    PROFESSIONAL CONDUCT

    • CHAPTER 7 :

    DISCIPLINARY

    • CHAPTER 8 :

    PAYMENT OF FEES AND CHARGES

    • CHAPTER 9 :

    EXCHANGE PARTICIPANTS' COMPENSATION (FIDELITY FUND AND GUARANTEE SCHEME)

    • CHAPTER 10 :

    SPECIAL LEVY

    • CHAPTER 11 :

    TRANSACTION AND INVESTOR COMPENSATION LEVIES

    • CHAPTER 12 :

    INVESTORS' COMPENSATION (UNIFIED EXCHANGE COMPENSATION FUND)

    • CHAPTER 13 :

    STAMP DUTY COLLECTION

    • CHAPTER 14 :

    CHINA CONNECT SERVICE

    • CHAPTER 14A :

    CHINA CONNECT SERVICE - SHANGHAI 

    • CHAPTER 14B :

    CHINA CONNECT SERVICE - SHENZHEN 

    • CHAPTER 15 :

    SPECIAL PARTICIPANTS

       
    • FIRST SCHEDULE :

    REPEALED

    • SECOND SCHEDULE :

    SPREAD TABLE

    • THIRD SCHEDULE :

    CURRENCIES TABLE

    • FOURTH SCHEDULE :

    RULES FOR OUT-CRY

    • FIFTH SCHEDULE :

    REPEALED

    • SIXTH SCHEDULE :

    SECURITIES BORROWING AND LENDING REGULATIONS

    • SEVENTH SCHEDULE :

    REPEALED

    • EIGHTH SCHEDULE :

    REPEALED

    • NINTH SCHEDULE :

    REPEALED

    • TENTH SCHEDULE :

    REPEALED

    • ELEVENTH SCHEDULE :

    SHORT SELLING REGULATIONS

    • TWELFTH SCHEDULE :

    REPEALED

    • THIRTEENTH SCHEDULE :

    REPEALED

    • FOURTEENTH SCHEDULE :

    SECURITIES MARKET MAKER REGULATIONS

    • FIFTEENTH SCHEDULE :

    DESIGNATED INDEX ARBITRAGE SHORT SELLING, STOCK FUTURES HEDGING SHORT SELLING, STRUCTURED PRODUCT HEDGING SHORT SELLING AND OPTIONS HEDGING SHORT SELLING REGULATIONS

    • SIXTEENTH SCHEDULE :

    REPEALED

    • SEVENTEENTH SCHEDULE :

    REPEALED

    • EIGHTEENTH SCHEDULE :

    STRUCTURED PRODUCT LIQUIDITY PROVIDER REGULATIONS

     

    (Update No. 1 2016 of the Rules of the Exchange is now available for subscription.  For those who wish to subscribe the hardcopy updates to the Rules of the Exchange, please complete and return the attached copy of the Updating Service Request Form.)