1.Frequently cited Violations Related to Acquisition and Disposal of Asset by Public Companies and Procedure for Board of Directors Meetings (Chinese version only)

2.Common Missing Cases by Public Companies to Issue Securities (Chinese version only)

 

The Common Violation Patterns of Securities Firms (update:2019-08-27 , pdf)

 

1. The frequently found cases in breach of regulation of shares repurchase by listed companies (update:2019-08-28 , pdf)

2. The frequently found cases in breach of regulation of Public Tender Offer (update:2019-08-28 , pdf)

3. The common violation pattern summary of insiders' ex-ante and ex-post filing of share transferring and shareholdings movement, and the use of proxies for attendance at shareholder meetings (Chinese version only. update:2019-08-28 , pdf)

4. The common violation pattern summary of the reporting acquisition of shareholdings in large blocks (Chinese version only. update:2019-08-28 , pdf)

 

1.Significant Failures of Securities Investment Trust Enterprises (Chinese version only. update:2019-08-27 , odt)

2.Significant Failures of Securities Investment Consulting Enterprises (Chinese version only. update:2019-08-27 , odt)

 

1.Summary of common violations of Financial Reports of Listed Companies in 2018  (update:2019-08-28 , odt, pdf)

2. Summary of common violations by CPA on auditing financial reports. (Chinese version only, update:2019-08-28 , pdf)

3. Summary of common violations on loaning of funds and making endorsements/Guarantees of public companies. (Chinese version only, update:2019-08-28 , pdf)

4. Summary of common violations of Internal Control of Listed Companies (update:2019-08-28 , pdf)

 

Futures Enterprise Failures in Internal Control (Chinese version only. update:2019-08-19 , pdf)