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Yange

With the introduction of a comprehensive registration system, the regulation of listed companies in the regulatory sector has been changed from pre-emptive approval to more focused and ex post facto regulation. The role of the door-to-doors of intermediaries such as securities companies, accountants, etc. is further highlighted, as is the position of the first duty-bearer of the listed company.

In fact, since the enactment of the new Securities Act, there has been a series of changes in the protection of the interests of investors and the preservation of their rights, which have been re-emphasized in the overall registration system.

The current protection and defence of the rights of small and medium-sized investors has three main features: first, the increasing amount claimed as the representative litigation system has been in place, with a significant increase in the number of investors involved in the claims. In the past few single cases, hundreds of people have been involved and have now grown to tens of thousands; the amount of litigation has risen from tens of trillion dollars to 100 million yuan renminbi or even a billion yuan renminbi. In the case of the Pan American Pharmaceuticals claim, more than 20,000 persons took part in the proceedings, amounting to over $2.4 billion.

Secondly, the area of investor rights extends from equity to bonds. The five-ocean debt claims case is a typical case of a bonded market. At the same time, foreign-market companies have been incorporated into investor-based rights. Fortunately, the Swiss coffee claim is the first case after the new securities law was enacted by Chinese investors in the prosecution of foreign-owned companies.

Thirdly, the defendant in the investor-in-law case is no longer limited to listed companies but extends to intermediaries. In the case of financial forgery, disclosure of information, in addition to the company listed and its superiors, securities companies, accountants and lawyers are increasingly accused. There has also been a significant increase in the number of cases in which intermediaries have joint liability. In the view of the writers, legal responsibility could be transferred to the relevant subjects through these jurisprudence, which would further enhance the legal awareness and accountability of intermediaries. This has contributed to improving the quality of disclosure of publicly available company information and reducing financial leave incidents.

These changes are accelerated agents, helpers, for healthy and orderly development of capital markets. The system of litigation should be further refined to allow small and medium-sized investors to face grievances and to be heard in a timely manner. At the same time, anti-violation systems in the area of capital markets still have some short-term features that need to be given high priority.

One striking feature is that in recent years there have been a number of illegal securities consultancy cases, which have caused considerable harm to small and medium-sized investors. Even qualified advisory bodies are engaged in misleading and defrauding investors. The sale of the “currents investment course” through social short video channels has also led to the manufacture of small and medium-sized investors. As a result, investors have suffered losses, and it is more difficult to obtain evidence. It is hoped that research will be conducted on these shortlist areas to expedite the establishment of mechanisms to protect the legitimate interests of small and medium-sized investors.

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