[ 刘成伟 ]——(2009-2-26) / 已阅57541次
Transitional Period 250
xvi Table of Contents
13.5 Indirect Takeover 251
Ways of Indirect Takeover 251
Cooperation Obligations of the de Facto Controlling Person 253
13.6 Role of the Independent Financial Advisor (IFA) 254
IFA of the Purchaser 254
IFA of the Target Company 255
13.7 Key Provisions at Issue 256
Chapter 14
Strategic Investment in Listed Companies 257
14.1 Introduction and Latest Developments 257
14.2 General Matters of the Strategic Investment 258
14.2.1 Ways to Investment 258
14.2.2 Entry Standards 258
14.2.3 Investment Restrictions 259
14.3 Strategic Investment through Shares Purchase
Agreement (SPA) 260
14.4 Strategic Investment through Private Placement 264
14.5 FIE Treatments for the Listed Company with
Strategic Investment 265
14.6 Repatriation Restrictions 267
14.7 Key Provisions at Issue 268
Chapter 15
Investment via Qualified Foreign Institutional Investors (QFIIs) 269
15.1 Introduction and Latest Developments 269
15.2 Entry Standards of the QFII 270
15.3 Strategic Investment vs. QFII: Pros and Cons 272
15.4 Licences Necessary for QFII Investment 272
15.4.1 Grant of the QFII Permit by CSRC 272
15.4.2 Grant of the QFII Quota Certificate by SAFE 274
15.5 Controls over the Investment 274
15.5.1 Investment within the QFII Quota 274
15.5.2 Shareholding Caps 275
15.6 Agencies in the Investment 276
15.6.1 Trading Broker: A Domestic Securities Company 276
15.6.2 Custodian: A Domestic Commercial Bank 276
15.7 Accounts Management 277
15.7.1 Capital Accounts 277
15.7.2 Securities Accounts 278
15.8 Key Provisions at Issue 279
Chapter 16
Transfer of State-Owned Shares in a Listed Company 281
16.1 Introduction and Latest Developments 281
Table of Contents xvii
16.2 Centralization of the Approval Authority 282
16.3 Trading on the Stock Exchange 283
16.3.1 The Approval or Record-Filing Requirement 283
16.3.2 The SASAC Approval on the Trading of SS Shares 285
16.4 Transfer through Shares Purchase Agreement (SPA) 285
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