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O
OECD-China Policy Dialogue on Corporate Governance E
C
D OECD-China Policy Dialogue
-
Corporate Governance of Listed Companies C
h on Corporate Governance
i
n
in China a
P
o
l
SELF-ASSESSE E C A SEC ES EGLAO i
c
y Corporate Governance of
CO SS O D
i
a
l
o TE
This report looks at the institutional framework of corporate governance in China through the prism of the g Listed Companies in China CORPORA
u MARKETS
OECD Principles of Corporate Governance and is a product of the ongoing OECD-China Policy Dialogue on e RNANCE
VE
o GO
ORM
REF
n
Corporate Governance. y assessing a road range of laws regulations and codes it provides a valuale ENT
SELF-ASSESSE E C A SEC ES
M
OP
VEL
C TE DE
reference for understanding how much has een achieved in Chinese corporate governance and the main PORA
o KETS COR
r EGLAO CO SS O
amitions of future reform efforts. E MAR
p VERNANC
o ORM GO
r REF
ENT
The report shows that corporate governance has improved signifi cantly since the Chinese stock market a M
OP
EVEL
te D
TE
was created in with important achievements in estalishing and developing the legal and regulatory TE CORPORA
RA ETS
G CORPO CE MARK ORM EF
framework. The OECD-China elf-ssessment represents a thorough review of all laws regulations and codes o NAN EF ORM E R
VER E R REF NC
GO C NT A
v RM AN ME RN TE
O N OP E RA
EF R EL S V O
that relate to every principle recommended y the OECD Principles of Corporate Governance. t documents e R VE DEV KET GO ORP
O R S C
G TE RM A T TS
r TS ORA S O E M KE KE
KE ORP TE KET REF NANC AR MAR N
n AR TS C RA MAR CE VER T M NCE ME
the advances in the Chinese Corporate Governance framework. uilding on this report ilateral co-operation M RKE PO CE AN GO EN RNA OP
a MA OR AN N RM M VE EL
E C RN R O OP O V
NC M VE VE EF L G DE
A R GO O R E RM
n RN G NT V O TE O
E O M E E EF A EL
V EF OR S M D R R V
etween China and the OECD will continue to enhance the understanding of China’s corporate governance GO R EF ET OP E NT O DE
R K EL T E P
c E V A M TE
NC ENT AR DE OR OP OR ORA
A M M TE P EL C P
N OP T RA R EV M OR
e VER EVEL EN RPO CO TE D OR TS C ET
system and how it impacts on company and investor ehaviour. O D M CO M RA F KE K
G TE OP S R PO RE R AR
RA L ET O R E MA
S CORPO E DEVE CE MARK CE REF RKETS CO NANC RNANCE MENT M
ET T AN N A ER VE P R
K A N A M V O O O
AR OR ER RN CE O G EL REF
M P V E N G RM V
R GO V NA S O E NT
O O ER T EF D E
M V E R M
C R G O E P
O K T T O
Contents RM REF ETS RM G AR MEN RA EVEL C
O NT K O M OP O D N
EF ME AR REF T VEL RP TE A
R P N E O RA N
O M NT E D O R
VEL T ME M TE C RP E
E N P OP A M O V
D E O L OR R C O
TE M VEL E P O TS G
ORA OP DE EV COR REF RKE TS
RP EL TE D TS E MA KE
Preface y hang ulin Chairman China ecurities
egulatory Commission CO EV ORA TE RKE NC CE AR
TE D CORP PORA CE MA RNA ERNAN NT M
RA TS R N E V E
O KE O NA V GO M
RP MAR M C VER GO ORM OP
CO CE OR GO ETS REF VEL
N F RM K E
NA E O R NT D
VER R REF A ME E
Preface y
ichard oucher Deputy ecretary-General OECD O E M P T
C T O A
G N EN NT VEL R
RM A M E E O
O N OP D P
EF R EL M TE R
R VE DEV OP RA CO
C O EL PO
G TE V R M
TS ORA DE S CO OR
RKE CORP TE RKET REF
Chapter . The corporate governance framework in China o MA ARKETS RPORA ANCE MA NANCE
r NCE M M CO VERN VER
p RNA OR GO GO
VE EF ORM S
GO R EF ET
o E R K
Chapter . hareholders’ rights ANC MENT MAR TE
r N OP T RA
a VER DEVEL MEN ORPO
GO TE OP S C
PORA VEL RKET
Chapter . The euitale treatment of shareholders te ETS COR TE DE ANCE MA
MARK ORA VERN
RP GO
G CO ORM
RM REF
O NT
o EF ME
Chapter . nformation disclosure R OP
EVEL
v D
TE
RA
e CORPO
Chapter . oard and supervisory oard responsiility and supervision r
n
a
Chapter . takeholders and corporate social responsiility n
c
e
o
f S
KET
L NCE MAR
i RNA
s VE
GO OR
te ORM REF
REF CE
MENT NAN
d OP R O
EVEL VE EVEL
D GO D
TE S TE
ORA ET ORA
C KETS CORP T MARK KETS CORP MEN
o MAR EN MAR OP
E M E EL
NC OP NC EV
m VERNA EVEL VERNA TE D R
O D O A O
G E G R EF
RM T RM O R
p O A O P NT
REF OR REF OR ME
C P
P T O
OR EN M VEL
a M R E T
C OP O D E
M VEL EF TE K
R DE R RA AR
n O E PO M
EF TE C R
E R PORA AN TS CO ENT
i NC OR RN KE M
e A S C VE AR OP ERN
N ET O M L V
VER ARK S G ANCE EVE M GO
s GO E M ET RN D OR
S NC K VE TE REF
Please cite this pulication as T A R O A
E RN A G R ENT N
K VE M RM PO M R
i R O T O P E
A G N EF R O V
n M RM E R CO VEL O
T O M NT DE G
N EF P E M S
E R O M R TE T
L P O A E
M T E O R
OECD Corporate Governance of Listed Companies in China: Self-Assessment by the China Securities OP MEN EV VEL EF PO RK
C EL OP D DE E R COR MA ETS
V VEL TE TE C S T K
E DE DE RA PORA AN RKET EN MAR
h T TE O R N A M CE
Regulatory Commission OECD Pulishing. RA PORA RP S CO VER CE M OP NAN
PO OR CO KET GO AN VEL VER N
i OR TS C RM MAR TS VERN DE GO ME
n C KE O CE E GO E RM OP
AR F N K T O L
http://dx.doi.org/10.1787/9789264119208-en E M RE RNA AR ORM RA REF VE
a NC CE VE M REF PO TE DE
A N O T R RA
ERN NA M G EN ENT CO RPO TE DE
V OR M M O A E
O R F P P M C R T
G E E O O A
V R O EL R TS P OR
O L V O E P
This work is pulished on the OECD iLibrary, which gathers all OECD ooks periodicals and statistical S G MENT EVE TE DE REF MARK COR COR
ET OP D RA E E M TS
K VEL TE PO NC ANC R RKE E
R DE A OR A N O A M
A R C N R EF M P
M TE O S R VE R E O
dataases. isit www.oecd-ilibrary.org and do not hesitate to contact us for more information. PORA ORP RKET VE M GO CE NANC VEL
COR C MA GO OR AN VER DE
ETS RM NCE ETS REF RN GO TE E
K O NA NT E RM A C
AR EF R RK E V O R AN
M R VE A M O EF O N
E O M OP G R P ER
G EL S T R V
ANC ORM NT DEV ET MEN CO GO
F E K P M
N E M TE R O M OR
R R P RA A VEL R EF
VE NT O O M E O R O
O ME EL RP T D EF NT OP
G P V CO N TE R E C
O E E A M
VEL D ETS M POR CE OP M
DE TE RK OP OR AN EVEL OR
TE A MA EL S C N D EF
ORA OR CE EV ET ER TE R O
RP P AN D RK V RA E EL
CO COR ERN TE E MA GO ORPO ANC DEV
V A C S C TE
RM GO OR NAN KET ETS ERN ORA
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EF F O V A A O O
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Corporate Governance
of Listed Companies
in China
SELF-ASSESSMENT BY THE CHINA SECURITIES
REGULATORY COMMISSION
This work is published on the responsibility of the Secretary-General of the OECD. The
opinions expressed and arguments employed herein do not necessarily reflect the official
views of the Organisation or of the governments of its member countries.
Please cite this publication as:
OECD (2011), Corporate Governance of Listed Companies in China: Self-Assessment by the China Securities
Regulatory Commission, OECD Publishing.
http://dx.doi.org/10.1787/9789264119208-en
ISBN 978-92-64-11908-6 (print)
ISBN 978-92-64-11920-8 (PDF)
Corrigenda to OECD publications may be found on line at: www.oecd.org/publishing/corrigenda.
© OECD 2011
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