1. 多部门对严重危害医疗秩序失信行为实施联合惩戒

近日，国家发改委等28部门联合发布了《关于对严重危害正常医疗秩序的失信行为责任人实施联合惩戒合作备忘录》。

《备忘录》明确了6类涉医违法犯罪活动：在医疗机构内故意伤害医务人员、损毁公私财物的；扰乱医疗秩序的；非法限制医务人员人身自由的；侮辱恐吓医务人员的；非法携带枪支、弹药、管制器具或危险物品进入医疗机构的；教唆他人或以受他人委托为名实施涉医违法犯罪行为的。

对于上述行为，多部门将开展联合惩戒，具体包括限制补贴性资金支持；限制担任国有企业法定代表人、董事、监事、高级管理人员；限制登记为事业单位法定代表人；限制招录（聘）为公务员或事业单位工作人员等16条惩戒措施。

1. 28 Departments Sign a Memo to Jointly Punish Dishonest Acts of Seriously Disrupting Medical Order

Recently, the National Development and Reform Commission and other 27 departments jointly issued the Memorandum of Understanding on Jointly Punishing the Persons Liable for Dishonest Acts of Seriously Disrupting the Normal Order of Medical Services.

The Memo clarifies six kinds of illegal or criminal activities related to medical treatment: intentionally injuring medical staff and damaging public or personal property in a medical institution; disrupting medical order; illegally restricting personal freedom of medical staff; insulting and intimidating medical staff; illegally carrying guns, ammunition, controlled knives and tools, or hazardous articles into a medical institution; and committing illegal acts and crimes against medical staff by instigating others or in the name of commission.

For the aforementioned activities, multiple departments will take 16 joint disciplinary measures including restricting subsidized financial support to the liable persons; restricting them from serving as legal representatives, directors, supervisors or senior executives in state-owned enterprises; restricting them from being registered as the legal representatives of public institutions; and restricting them from being recruited (employed) as civil servants or staff members of public institutions, among others.

2. 境外证券期货交易所驻华代表机构管理办法征意见

日前，证监会就《境外证券期货交易所驻华代表机构管理办法（征求意见稿）》公开征求意见，意见反馈截止时间为2018年10月28日。

此次修订主要遵循以下原则：贯彻落实全国金融工作会议精神，完善规则适用范围，增加对境外期货交易所驻华代表处的监管要求；明晰和简化备案要求和程序，寓监管于服务之中；进一步规范代表处业务行为，加强事中事后监管，促进代表处合规运作；明确法律责任，提高监管执法效能。

2.Public Comments Requested on the Administrative Measures for Representative Offices of Overseas Stock Exchanges and Futures Exchanges in China

Recently, the China Securities Regulatory Commission (CSRC) is requesting public comments on the Administrative Measures for Representative Offices of Overseas Stock Exchanges and Futures Exchanges in China (Exposure Draft), and comments may be submitted until October 28, 2018.

The Revision mainly abides by the following principles: carrying out the spirit of the National Financial Work Conference, improving the applicable scope of the rules, and increasing the supervision requirements for representative offices of overseas stock exchanges and futures exchanges in China; clarifying and simplifying the recordation requirements and procedures to realize the regulation in the process of service; further regulating the business behavior of representative offices, strengthening interim and ex post supervision, and promoting their business operation in compliance with laws and regulations; and defining legal responsibilities and ameliorating the supervision and law enforcement.

3. 《关于保险资产管理公司设立专项产品有关事项的通知》发布

10月25日，中国银保监会发布《关于保险资产管理公司设立专项产品有关事项的通知》。

《通知》对五方面内容进行明确，一是设定产品管理人条件，要求产品管理人应具有发行组合类保险资产管理产品业务资格。二是指出专项产品的投资范围，主要包括上市公司股票、上市公司及其股东公开发行的债券和非公开发行的可交换债券等。三是强调专项产品的退出安排，一方面支持保险机构发挥机构投资者作用，维护上市公司长期稳健经营，同时明确了产品的退出安排和方式，确保平稳退出。四是制定专项产品风险管控措施。从专户管理、封闭期、存续期、投资集中度、事前登记、信息披露、关联交易等方面提出了具体要求。五是表明该产品不纳入保险公司权益类资产计算投资比例。

3. Notice on the Establishment of Specialized Products by Insurance Asset Management Companies Issued

On October 25, 2018, the China Banking and Insurance Regulatory Commission issued the Notice on the Establishment of Specialized Products by Insurance Asset Management Companies.

The Notice clarifies five aspects: setting conditions for product managers requiring that they should have business qualifications for issuing the portfolio insurance asset management products; pointing out the investment scope of specialized products, mainly including shares issued by listed companies, bonds publicly offered and convertible bonds privately offered by listed companies and their shareholders; emphasizing the exit arrangements for specialized products, supporting insurance companies in playing their role as institutional investors to maintain long-term robust operations of listed companies, and specifying the products' exit arrangements and methods for smooth exit; developing risk control measures for specialized products, covering specific requirements for management of special accounts, close period, duration, investment concentration, prior registration, information disclosure, and related-party transaction, among others; and indicating that such products are not included in equity assets held by insurance companies in calculation of their investment proportion.

4. 沪伦通存托凭证业务监管规定正式发布

中国证监会12日正式发布《关于上海证券交易所与伦敦证券交易所互联互通存托凭证业务的监管规定（试行）》，自公布之日起施行。

正式发布的《监管规定》明确了沪伦通CDR发行审核制度、CDR跨境转换制度安排、CDR持续监管要求、境内上市公司境外发行GDR的监管安排，并强化监管执法，明确相关市场参与主体的法律责任。

4. CSRC Issues Provisions to Regulate Depositary Receipt Business under Shanghai-London Stock Connect

On October 12, 2018, the China Securities Regulatory Commission (CSRC) officially issued the Provisions on the Supervision and Administration of Depository Receipt Business under the Transaction Interconnection Mechanism between the Shanghai Stock Exchange and the London Stock Exchange (for Trial Implementation),effective from the date of issuance.

The Regulatory Provisions specify the issuance review of the Chinese Depository Receipt (CDR) under the Shanghai-London Stock Connect, institutional arrangements for the CDR cross-border conversion, continuous supervision requirements for the CDR, and regulatory arrangements for the overseas offering of global depositary receipts (GDRs) by domestic listed companies, intensify the supervision and law enforcement, and clarify the legal responsibilities of relevant market participants.

5. 新版《上市公司治理准则》发布

2018年9月30日，证监会修订并正式发布新版《上市公司治理准则》，自发布之日起施行。

修订后的《准则》共十章、98条，重点包括：一是增加上市公司党建要求，强化上市公司在环境保护、社会责任方面的引领作用；二是进一步加强对控股股东、实际控制人及其关联方的约束，更加注重中小投资者保护，发挥中小投资者保护机构的作用；三是推动机构投资者参与公司治理，强化董事会审计委员会作用，确立环境、社会责任和公司治理（ESG）信息披露的基本框架；四是对上市公司治理中面临的控制权稳定、独立董事履职、上市公司董监高评价与激励约束机制、强化信息披露等提出新要求。

5. New Code of Corporate Governance for Listed Companies Issued

On September 30, 2018, the China Securities Regulatory Commission (CSRC) issued the new version of the Code of Corporate Governance for Listed Companies as revised, effective from the date of issuance.

With a total of 98 articles in ten chapters, the revised code mainly covers: first, adding the requirements for the Party building of listed companies and strengthening the guiding role of listed companies in environmental protection and social responsibilities; second, keeping controlling shareholders, actual controllers and related parties thereof on a tighter rein, paying more attention to the protection of small and medium-sized investors, and maximizing the role of small and medium-sized investor protection institutions; third, promoting institutional investors to engage in corporate governance, strengthening the function of the audit committee of the board of directors, and establishing the foundamental framework for environmental, social and governance (ESG) information disclosure; and fourth, putting forward new requirements for such issues confronting listed companies in corporate governance as the stabilization of the control power, the performance of duties of independent directors, the assessment, incentive and restraint mechanism of the directors, supervisors and senior executives of listed companies, and the enhanced information disclosure.