Introduction to data on exchange regulatory measures for A-share listed companies

 Securities market supervision refers to the use of legal, economic and necessary administrative means by securities management agencies to supervise and manage the raising, issuance, trading and other activities of securities as well as the activities of securities investment intermediaries.

  Article 12 of my country's "Regulations on the Administration of Stock Exchanges" stipulates that stock exchanges shall, in accordance with the provisions of the articles of association, agreements and business rules, take self-regulatory measures or disciplinary sanctions against violations of laws and regulations, and perform self-regulatory management responsibilities .

 CnOpenData compiles information on regulatory measures announced by the Shanghai Stock Exchange and Shenzhen Stock Exchange. This data not only includes information such as securities codes, regulatory measures, regulatory time, involved objects, etc., but also contains a large number of original regulatory measure text files. It is Important textual data in public company research.


Time interval

  • Data on regulatory measures of Shanghai Stock Exchange for A-share listed companies: 2013.6.28-2023.1.31
  • Data on regulatory measures of Shenzhen Stock Exchange for A-share listed companies: 2014.4.11-2023.1.31

Field display

Data field table of regulatory measures of Shanghai Stock Exchange for A-share listed companies Data field table of Shenzhen Stock Exchange regulatory measures for A-share listed companies
Securities code Company code
Securities abbreviation Company abbreviation
Supervision type Regulatory measures
Processing reasons Date of regulatory measures taken
Involved objects Involved objects
Processing date File name
File name

Sample data

Data on regulatory measures of Shanghai Stock Exchange for A-share listed companies

Securities code Security abbreviation Supervision type Reason for processing Objects involved Processing Date File name
600241 ST Shiwan Supervisory work letter Letter on supervision of matters related to the 2022 annual performance forecast of Liaoning Times Wanheng Co., Ltd. Listed companies, directors, supervisors, senior managers, intermediaries and related personnel 2023-01-20
600243 Qinghai Huading Regulatory warning Decision on issuing regulatory warnings to Qinghai Huading Industrial Co., Ltd. and relevant responsible persons Listed company, director, supervisor and senior executive - chairman, financial director 2023-01-20 SSE_df5238d7635e2df9cd31927c39528059.pdf
600781 *ST Fu Jen Public condemnation Decision to publicly condemn Furen Pharmaceutical Group Co., Ltd., the controlling shareholder of Furen Pharmaceutical Group Co., Ltd. Controlling shareholder 2023-01-20 SSE_bd77b0cdca10272bbecbb08f0a5ce2ce.pdf
688701 Zhuojin Shares Notice of criticism Decision on disciplinary sanctions against Zhejiang Zhuojin Environmental Protection Technology Co., Ltd. and relevant responsible persons Listed company, directors, supervisors and senior executives - chairman, financial director, secretary to the board 2023-01-20 SSE_88b9951b5c7fdde045640a676d7a04ae.pdf
600192 Great Wall Electrician Supervisory work letter Regulatory letter regarding litigation involving subsidiaries of Lanzhou Great Wall Electrical Co., Ltd. Listed companies 2023-01-19
601878 Zheshang Securities Supervisory work letter Regulatory letter on matters related to non-public issuance Listed companies, directors, supervisors, senior managers 2023-01-19
600535 Tasly Supervisory work letter Issue a working letter regarding the company's provision for asset impairment provisions Listed companies, intermediaries and their related personnel 2023-01-18
688020 Fangbang Shares Regulatory warning Decision on issuing supervisory warnings to Guangzhou Fangbang Electronics Co., Ltd. and relevant responsible persons Listed company, directors, supervisors and senior executives - chairman, financial director, secretary to the board 2023-01-19 SSE_1d5e3dbe1093b36220a4e125be2ac31a.pdf
603399 Jixiang Shares Supervisory work letter Regulatory work letter on matters related to information disclosure of Jinzhou Jixiang Molybdenum Co., Ltd. Listed companies, controlling shareholders and actual controllers 2023-01-18
600869 Far East Shares Regulatory warning Decision on issuing supervisory warnings to Far East Smart Energy Co., Ltd. and relevant responsible persons Listed company, financial director, secretary to the board of directors 2023-01-18 SSE_2dabe7e605d6a5c6a4f576954b9da06e.pdf
600654 *ST Zhongan Regulatory warning Decision on issuing supervisory warnings to Zhonganke Co., Ltd. and relevant responsible persons Listed company, board secretary, financial director 2023-01-17 SSE_a327d0a7bdaab92dd3dd539935e99771.pdf
603131 Shanghai Hugong Supervisory work letter Supervisory work letter regarding the resolutions of the general meeting of shareholders of Shanghai Hugong Welding Group Co., Ltd. Listed companies, controlling shareholders and actual controllers 2023-01-17
688555 *ST Zeda Supervisory work letter Regulatory letter regarding Zeda Yisheng (Tianjin) Technology Co., Ltd. Listed companies 2023-01-16
688023 Anheng Information Supervisory work letter Regulatory letter regarding matters related to Hangzhou Anheng Information Technology Co., Ltd. Listed companies, controlling shareholders and actual controllers 2023-01-13
688332 Zhongke Lanxun Supervisory work letter Regulatory work letter regarding the company’s establishment of partnerships and related party transactions Listed companies, intermediaries and their related personnel 2023-01-12
603703 Shengyang Technology Supervisory work letter Clear regulatory requirements for matters related to the company's major asset reorganization Listed companies, directors, supervisors, senior managers, intermediaries and related personnel 2023-01-11
601258 Pangda Group Notice of criticism Decision to notify and criticize Pang Qinghua, the former controlling shareholder and former actual controller of Pangda Automobile Trading Group Co., Ltd. Controlling shareholder 2023-01-11 SSE_ee125a1acc1e9a74a4950dc3f108fc1d.pdf
600167 Lianmei Holdings Supervisory work letter Regulatory letter regarding related transactions of Lianmei Quantum Co., Ltd. Listed companies, controlling shareholders and actual controllers 2023-01-09
603030 Quanzhu Holdings Supervisory work letter Clear regulatory requirements for the company's change of accounting firm Listed companies, directors, supervisors, senior managers, intermediaries and related personnel 2023-01-09
603388 Yuancheng Shares Supervisory work letter Clear regulatory requirements for companies changing accounting firms Listed companies, directors, supervisors, senior managers, intermediaries and related personnel 2023-01-09
605199 Calabash Baby Regulatory warning Decision on issuing supervisory warning to Wei Tianbao, then deputy general manager of Hainan Huluwa Pharmaceutical Group Co., Ltd. Director, Supervisor and Senior Manager - Deputy General Manager 2023-01-09 SSE_d43dd8cad26a5b773bd27d08def4dbd7.pdf
600781 *ST Fu Jen Regulatory warning Decision on issuing regulatory warnings to Furen Pharmaceutical Group Co., Ltd. and relevant responsible persons Listed company, secretary to the board of directors, director, supervisor and senior manager - general manager 2023-01-09 SSE_49abd7385cb082f857e5f29b371e4e4c.pdf
688280 Jingjin Electric Supervisory work letter Regulatory work letter regarding Jingjin Electric Technology Co., Ltd.’s changes in investment projects with part of the raised funds and changes in annual audit institutions Listed companies, directors, supervisors, senior managers 2023-01-06
688401 Luwei Optoelectronics Supervisory work letter Regulatory work letter on matters related to the company’s external investment in establishing industrial funds and purchasing assets Listed companies, intermediaries and their related personnel 2023-01-06
603959 Bailey Technology Notice of criticism Decision on disciplinary sanctions against Hunan Baili Engineering Technology Co., Ltd., the counterparty to the asset acquisition transaction and the relevant responsible persons Listed companies, directors, supervisors and senior executives - chairman, secretary to the board 2023-01-03 SSE_6631fa3e2f2486985ef5412f971bcea4.pdf
603959 Bailey Technology Public condemnation Decision on disciplinary sanctions against Hunan Baili Engineering Technology Co., Ltd., the counterparty to the asset acquisition transaction and the relevant responsible persons Counterparty 2023-01-03 SSE_0a8eb8e80912fac21bf82059ce7324af.pdf
600715 Cultural Investment Holdings Regulatory warning Decision on issuing supervisory warnings to Zhongxing Caiguanghua Accounting Firm (Special General Partnership), the 2021 auditor of Cultural Investment Holdings Co., Ltd., and the certified public accountants auditing the annual report Intermediaries and their related personnel 2022-12-30
600589 ST Rongtai Regulatory warning Decision on issuing supervisory warnings to Dahua Accounting Firm (Special General Partnership), the 2021 auditor of Guangdong Rongtai Industrial Co., Ltd., the annual report audit certified public accountant and the quality control reviewer Intermediaries and their related personnel 2022-12-30
600734 ST Shida Regulatory warning Decision on issuing supervisory warnings to Fujian Shida Group Co., Ltd.'s 2021 audit institution Zhongxing Caiguanghua Accounting Firm (Special General Partnership), annual report audit certified public accountants and quality control reviewers Intermediaries and their related personnel 2022-12-30
605077 Huakang Shares Supervisory work letter Regulatory letter regarding the acquisition of company equity by Zhejiang Huakang Pharmaceutical Co., Ltd. Listed companies 2022-12-29
603898 Holike Regulatory warning Decision on issuing regulatory warnings to Guangdong Sinong Accounting Firm (Special General Partnership), the 2021 auditor of Guangzhou Holike Creative Home Co., Ltd., and the certified public accountants auditing the annual report Intermediaries and their related personnel 2022-12-29
600615 Fenghua Shares Regulatory warning Decision on issuing supervisory warnings to Chongqing Fenghua (Group) Co., Ltd.’s 2021 audit institution Dahua Accounting Firm (Special General Partnership) and the annual report audit certified public accountants Intermediaries and their related personnel 2022-12-29
600877 Acoustic and Optoelectronics Department Regulatory warning Decision on issuing supervisory warnings to Daxin Accounting Firm (Special General Partnership), the 2021 auditor of China Electronics Technology Co., Ltd., and the certified public accountants responsible for the annual report audit Intermediaries and their related personnel 2022-12-29
688388 Jiayuan Technology Regulatory warning Decision on issuing supervisory warnings to Guangdong Jiayuan Technology Co., Ltd.’s 2021 auditor, Shu Lun Pan Certified Public Accountants (Special General Partnership) and the annual report audit certified public accountants Intermediaries and their related personnel 2022-12-29
600754 Jinjiang Hotel Supervisory work letter Regulatory work letter regarding Shanghai Jin Jiang International Hotel Co., Ltd.’s change of investment direction of raised funds and matters related to related transactions Intermediaries and their related personnel 2022-12-23
688565 Liyuan Technology Notice of criticism Decision on disciplinary sanctions against Zhejiang Haiyan Liyuan Environmental Protection Technology Co., Ltd. and relevant responsible persons Listed company, director, supervisor and senior executive - chairman, financial director 2022-12-22 SSE_1981335e80cf47cb8c28a8999f11a7ed.pdf
600671 ST medicine Notice of criticism Decision on disciplinary sanctions against shareholders of Hangzhou Tianmushan Pharmaceutical Co., Ltd. General shareholders 2022-12-22 SSE_99220335a949fc5d2980cd1e6ba60dd5.pdf
600870 Delisting XoC Notice of criticism Decision on notifying and criticizing Xiamen Overseas Chinese Electronics Co., Ltd. and relevant responsible persons Listed companies, directors, supervisors and senior executives - chairman of the board, directors, supervisors and senior executives - general manager, financial director 2022-12-22 SSE_0657dad2f5afc311bff2a917dead7c74.pdf
600395 Panjiang Shares Regulatory warning Decision on issuing supervisory warning to Shandong Energy Group Co., Ltd. General shareholders 2022-12-19 SSE_df3ba237cafe5940cbadbb6217193bd6.pdf
600872 Zhongju High-tech Supervisory work letter Regulatory work letter regarding the judicial auction of the controlling shareholder of Zhongju High-tech Industrial (Group) Co., Ltd. Listed companies, directors, supervisors, senior managers, general shareholders, controlling shareholders and actual controllers 2022-12-16
600322 Kaifang Development Supervisory work letter Clear regulatory requirements for company-related guarantee matters. Listed companies, directors, supervisors, senior managers, controlling shareholders and actual controllers 2022-12-16
600751 HNA Technology Supervisory work letter Regulatory letter regarding the signing of the "Settlement Agreement" by HNA Technology Co., Ltd. for the guaranteed debts of related parties Listed companies 2022-12-14
600965 Fucheng Shares Regulatory warning Decision on issuing supervisory warnings to relevant responsible persons of Hebei Fucheng Wufeng Food Co., Ltd. Financial Director, Secretary to the Board 2022-12-13 SSE_07bb981708ca57461a0263c4e216854e.pdf
600965 Fucheng Shares Notice of criticism Decision on notifying and criticizing Hebei Fucheng Wufeng Food Co., Ltd. and relevant responsible persons Listed company, director, supervisor and senior executive - chairman 2022-12-13 SSE_2cb50010f87d546497306271ead3d9b9.pdf
600381 Qinghai Spring Regulatory warning Decision on issuing regulatory warnings to Qinghai Spring Medicinal Resources Technology Co., Ltd. and relevant responsible persons Listed company, financial director 2022-12-12 SSE_3f1da9f95e6cc755f6b42900e558632b.pdf
603869 New Wisdom Cognition Notice of criticism Decision on notifying and criticizing Xinzhi Cognitive Digital Technology Co., Ltd. and relevant responsible persons Listed companies, directors, supervisors and senior executives - chairman of the board, directors, supervisors and senior executives - general manager, financial director 2022-12-12 SSE_1f7814b142a696412616499d4e06ee21.pdf
601969 Hainan Mining Regulatory warning Decision on issuing regulatory warning to Shanghai Fosun Industrial Investment Co., Ltd. General shareholders 2022-12-12 SSE_852a0b708c71b104f7e3a9b715fe57fd.pdf
601969 Hainan Mining Regulatory warning Decision on issuing regulatory warnings to Hainan Hainan Iron and Steel Group Co., Ltd. General shareholders 2022-12-12 SSE_931f8534dcf4a6a8808ea20f309a6c15.pdf
688086 *ST Amethyst Regulatory warning Decision on the continuous supervision and supervision of the sponsor representative of Guangdong Amethyst Information Storage Technology Co., Ltd. Representative Sponsor 2022-12-09 SSE_0f3a974dad1fe271aa75561bdeece67b.pdf
603987 Kandlay Notice of criticism Decision on notifying and criticizing Shanghai Kindly Enterprise Development Group Co., Ltd. and relevant responsible persons Listed company, secretary to the board of directors 2022-12-09 SSE_dc27bf9cab6180e5114ab10a9d204536.pdf

Data on regulatory measures of Shenzhen Stock Exchange for A-share listed companies

Company code Company abbreviation Regulatory Measures Date of regulatory measures taken Objects involved File name
002733 Xiontao Shares Supervision letter 2023-01-20 Controlling shareholder, actual controller SZSE_161d6e2d60a505ba6dd1fc263c6ed99c_2023-01-20_002733.pdf
300328 Yian Technology Supervision letter 2023-01-19 Shareholders holding more than 5% of shares SZSE_654c7bbb0f2194acc61a02c4df2a4806_2023-01-19_300328.pdf
300010 Doushen Education Supervision letter 2023-01-18 Listed companies SZSE_1beee8c7cb58ce5412c1a2ff298ee674_2023-01-18_300010.pdf
300118 The sun rises in the east Supervision letter 2023-01-17 Listed companies SZSE_b5d01be69a5dbbf5f88003d9ec9b403e_2023-01-17_300118.pdf
002781 *ST Qixin Supervision letter 2023-01-16 Listed companies SZSE_fb7424f1917dad0ed1ca67ab4b6986c7_2023-01-16_002781.pdf
002167 Oriental Zirconium Industry Supervision letter 2023-01-10 Directors, supervisors and senior executives of listed companies SZSE_208f88a6fa89430ff77bb2b10e3c9dba_2023-01-10_002167.pdf
002240 Shengxin Lithium Energy Supervision letter 2023-01-09 Listed companies SZSE_32d5f21777b19e2de8bb94f9f4ad5c50_2023-01-09_002240.pdf
300198 Nachuan Shares Supervision letter 2023-01-09 Listed companies SZSE_da573f3564ccebaed883fcb924a8ec77_2023-01-09_300198.pdf
000656 Jinke Shares Supervision letter 2023-01-06 Controlling shareholder, actual controller SZSE_1dd868422b09416e90848098bb822bfc_2023-01-06_000656.pdf
002535 ST Lin Zhong Supervision letter 2023-01-06 Listed companies SZSE_6bbb0aae88e5c3df630227061fc813b2_2023-01-06_002535.pdf
300503 Haozhi Electromechanical Supervision letter 2023-01-06 Intermediaries, intermediary personnel SZSE_77685654d37faf7c37b6a6d2a82d51c4_2023-01-06_300503.pdf
002426 Victory Precision Supervision letter 2023-01-05 Intermediaries, intermediary personnel SZSE_91202b8e86cd63ef295ece49f08dae41_2023-01-05_002426.pdf
002822 China Construction Construction Supervision letter 2023-01-05 Listed companies SZSE_7eb5059fe3fc3293bc295b4855a9b538_2023-01-05_002822.pdf
300117 Jiayu Shares Supervision letter 2023-01-05 Listed companies SZSE_9900838487769d08b904ee8a56c72c1a_2023-01-05_300117.pdf
000813 Dezhan Health Supervision letter 2023-01-04 Shareholders holding more than 5% of shares SZSE_cf94d915913dd5d0d05fbefb7d33acbf_2023-01-04_000813.pdf
300103 Dagon Holdings Supervision letter 2023-01-04 Shareholders holding more than 5% of shares SZSE_bca0a571d0d503bf02efe214a592b278_2023-01-04_300103.pdf
300380 Anshuo Information Supervision letter 2023-01-04 Listed companies SZSE_efd4256b17fbd1bfbd183b05df9eaf44_2023-01-04_300380.pdf
300578 Huichang Communication Supervision letter 2023-01-04 Listed companies SZSE_7b3ee1d4e4d0ecc5b195347d7a2db338_2023-01-04_300578.pdf
002875 Annair Supervision letter 2023-01-03 Directors, supervisors and senior executives of listed companies SZSE_f744260b54916b8d4b213e1b42458e6f_2023-01-03_002875.pdf
300379 Dongfangtong Supervision letter 2023-01-03 Listed companies SZSE_d3ed0b89626bd1a6b116b8f876f45203_2023-01-03_300379.pdf
000702 Zhenghong Technology Supervision letter 2022-12-30 Listed companies SZSE_9683e1816a2580ad952d05a72672fa01_2022-12-30_000702.pdf
000848 Chengde Lulu Supervision letter 2022-12-30 Listed companies SZSE_e4cba1096ea7b672b4e5ad0fcbe36b35_2022-12-30_000848.pdf
300356 *ST光一 Supervision letter 2022-12-30 Listed companies SZSE_92ad0dfcf2408e4b3f8dc9df8dcb30d2_2022-12-30_300356.pdf
300356 *ST光一 Supervision letter 2022-12-30 Listed companies SZSE_f7ea70634ff4140a3b010867ec8de61c_2022-12-30_300356.pdf
000068 Huakong SEG Supervision letter 2022-12-29 Directors, supervisors and senior executives of listed companies SZSE_d7f641b18323095b1884d2dbad2a5dfd_2022-12-29_000068.pdf
002388 Xinya Process Supervision letter 2022-12-29 Controlling shareholder, actual controller SZSE_e750ad2be2d32b85c2b91d782c03e2cb_2022-12-29_002388.pdf
301273 Ruichen Environmental Protection Supervision letter 2022-12-29 Listed companies SZSE_e47924ea589e2902048c38dec51e16d8_2022-12-29_301273.pdf
000953 Hehua Shares Supervision letter 2022-12-28 Listed companies SZSE_d4fce1b843710a89490718a8834261a3_2022-12-28_000953.pdf
300920 Runyang Technology Supervision letter 2022-12-27 Listed companies SZSE_14078db9cb82caa73374b87414fa62d1_2022-12-27_300920.pdf
000100 TCL Technology Supervision letter 2022-12-23 Listed companies SZSE_e1db427f758c687456f6e99807e4e901_2022-12-23_000100.pdf
300472 Xinyuan Technology Supervision letter 2022-12-21 Other people SZSE_2dcee882239c746b9d8b61df3bc46579_2022-12-21_300472.pdf
300489 Guangzhi Technology Supervision letter 2022-12-20 Listed companies SZSE_4649ccf026fddda3e81d43d23e53d73b_2022-12-20_300489.pdf
300902 Guoanda Supervision letter 2022-12-19 Directors, supervisors and senior executives of listed companies SZSE_8ee3957c9243a12d5cb3b0518bf46abe_2022-12-19_300902.pdf
000564 ST Collection Supervision letter 2022-12-16 Directors, supervisors and senior executives of listed companies SZSE_3185282657284506b30693093db288d0_2022-12-16_000564.pdf
002586 *ST Reclaim the Sea Supervision letter 2022-12-16 Controlling shareholder, actual controller, listed company SZSE_c368c9127969babbbf43cbfe513b49df_2022-12-16_002586.pdf
300164 Tongyuan Petroleum Supervision letter 2022-12-16 Listed companies SZSE_f3695ad149d2be589e14f1dc3d108df0_2022-12-16_300164.pdf
300182 Jebsen Shares Supervision letter 2022-12-16 Listed companies SZSE_d4fc31626b7381204e1ce1323f712fc2_2022-12-16_300182.pdf
002102 ST Guanfu Supervision letter 2022-12-14 Listed companies SZSE_b9b861dc88d2d893fabb429a29dd6ba9_2022-12-14_002102.pdf
002893 Huatong Heating Supervision letter 2022-12-14 Listed companies SZSE_7ec2eb5671311df13abb4c2cae8a2149_2022-12-14_002893.pdf
000020 Shenhuafa A Supervision letter 2022-12-13 Listed companies SZSE_c80f9978eefd4d4cfd2295407775eeab_2022-12-13_000020.pdf
300072 Hisinnengke Supervision letter 2022-12-13 Listed companies SZSE_7da4c8eabefa3d87a1a039420e1e697f_2022-12-13_300072.pdf
000035 Chinese Tianying Supervision letter 2022-12-07 Directors, supervisors and senior executives of listed companies SZSE_9aafc98eb0739b6cb473a982d0de6421_2022-12-07_000035.pdf
000638 Wanfang Development Supervision letter 2022-12-06 Controlling shareholder, actual controller SZSE_8a547fe537ffb531e41f1e95737071cb_2022-12-06_000638.pdf
002270 Huaming Equipment Supervision letter 2022-12-06 Shareholders holding more than 5% of shares SZSE_28e2831cfa136c659dc76148d6e0355f_2022-12-06_002270.pdf
002349 Essential Pharmaceuticals Supervision letter 2022-12-06 Shareholders holding more than 5% of shares SZSE_f131915e1954df779662d668bf639c62_2022-12-06_002349.pdf
002383 Hezhongsi Zhuang Supervision letter 2022-12-06 Listed companies SZSE_25a16c1ca24ea9a03032b2ad1212f311_2022-12-06_002383.pdf
000656 Jinke Shares Supervision letter 2022-12-05 Controlling shareholder, actual controller SZSE_bb0dfdc88667eadda842a2592b728ee0_2022-12-05_000656.pdf
002504 ST Honggao Supervision letter 2022-12-05 Listed companies SZSE_2701845da64db3170b62921d19babdd5_2022-12-05_002504.pdf
301000 Zhao Min Technology Supervision letter 2022-12-02 Listed companies SZSE_33a2ac399d5dfd4ba2e891632ec7b6be_2022-12-02_301000.pdf
002845 Tongxingda Supervision letter 2022-12-01 Directors, supervisors and senior executives of listed companies SZSE_e5eab73e1f523e5198d0849d39bf451f_2022-12-01_002845.pdf

Data update frequency

Annual Update

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