As division achieve board be born goes gradually asymptotic, proper sex gets investor again attention, investor to division achieve board of attributive enlightened become superintend severe check a key.
Go for some time, folk has all the time division achieve board " mat endowment opens an account " view, hand in place to issue superintendency requirement again to this. Reporter of certificate business China learns, hand in place to each stockjobber newest allotted " about fulfilling division achieve board investor is suitable the announcement that sexual management asks " , requirement certificate business guards a pass strictly division achieve board attributive is enlightened.
According to the announcement, hand in place to ask certificate business is rigid good " trade attributive is enlightened close " , check enlightened already division to achieve in the round board trade the investor of attributive is real circumstance, to debutting before the investor with account fluctuant and unusual assets wants a reappraise, wait for client government measure according to evaluating a result to adopt further risk to announce.
Key one: Certificate business is OK according to need, origin of requirement investor fund
Emphasize in the announcement, member ought to basis " investor of negotiable securities futures is suitable sexual government measure " " division of Shanghai stock exchange is achieved board trade special provision " " investor of Shanghai stock exchange is suitable sexual government measure " " about division achieve board the announcement that investor education and proper sex govern relevant matter " wait for a regulation, make perfect division achieve board the relevant job system that proper sex runs investor, do good family to achieve board proper sex evaluates investor integratedly, ensure participate in trading client to accord with division achieve board investor is suitable sexual government demand.
Certificate business undertakes check and be assessmented integratedly in condition of proper to investor sex when, can according to need, the concerned proof material such as origin of requirement investor fund. Investor does not grant to cooperate or provide false information, the member can reject to do science department to achieve for its board the stock trades attributive opens relevant business.
Be worth what carry is, according to the announcement, certificate business must not be in for investor enlightened division is achieved board the stock trades attributive while, for its certificate of be in harmony of automatic enlightened financing trades attributive. Ask certificate business is offerred for investor division achieve board certificate of stock financing be in harmony trades before the service, should announce adequately division achieve board the risk that certificate of stock financing be in harmony trades.
Key 2: Allude date from, enlightened already account also wants to be checked afresh
The announcement that hands in place this is achieved to the division henceforth not only board attributive is enlightened had firm demand, more whether does the account that asks date from has opened attributive before this accord with a requirement.
Specific in light of, the announcement discussed investor enlightened division achieves board the different situation of attributive:
One, before debutting, certificate business ought to check his to whether accord with seriously division achieve board stock investor is suitable sexual condition:
Enlightened to application division is achieved board the stock trades before attributive, the assets inside account exceeds those who show unusual change, quality of the financing source that the member ought to check investor mainly, capital and the account assets inside formulary period are distributed unusual wait for a circumstance. Enlightened division starts the investor that the member must not shut proper sex condition to not agree with board the stock trades attributive.
2, achieve to enlightened already before this announcement is released division board the stock trades the individual investor of attributive, certificate business ought to undertake be checkinged in the round to its, ensure its accord with investor proper sex runs a requirement:
To the investor with account fluctuant and unusual assets, member ought to provision of the section before the basis undertakes be assessmented integratedly afresh, wait for client government measure according to evaluating a result to adopt further risk to announce.
Key 3: Aggrandizement risk is informed and investor is taught
This announcement is particularly clear still, certificate business ought to announce to investor mainly division achieve board investment risk.
On one hand, the risk that business of superintendency requirement certificate ought to assess investor objectively bears ability, must not with bright show, the means such as the suggestion investor of revulsive, misdirect, the influence evaluates a result. Bear to the risk of investor ability grade result and before difference is bigger, the member ought to pay close attention to mainly, guide investor reason to participate in division achieve pull a stock to trade.
On the other hand, requirement certificate business evaluates individual investor to whether understand in the key division achieve board the business regulation that the stock trades and flow, and whether sufficient witting division is achieved board when the stock invests a risk, can wait for efficient way to undertake through checking questionnaire. Signing " division achieve board the stock trades the risk announces book " before waiting for relevant file, ought to give sufficient and reasonable time to be read for investor, so that investor is achieved in sufficient know and understanding division board the stock trades laws and regulations of risk item, law and after this place business is regular, acknowledge of combinative oneself risk and bear ability, whether is careful judgement participated in division achieve board the stock trades.
In addition, still support certificate business to carry a variety of channel and kind, begin continuously division achieve board investor education, to investor division of comprehensive and objective introduction is achieved board the stock trades relevant business regulation and risk item.
Key 4: "Mat endowment opens an account " , blind alley
In fact, from this year in March, each certificate business begins to offer in succession division achieve board trade after attributive serves, the discussion that opens an account about mat endowment never has stopped. Have early " nose business chance " match endowment the company makes an ad in the channel such as gregarious media, can adopt the way that changes 10 million capital to investor account odd-numbered days, reach " 20 trade in a few days 500 thousand asset " open an account standard, less than the help is enough opening an account the investor of the doorsill is finished open an account.
Before this, superintend to investor " mat endowment opens an account " did not have specific provision, be in gray region relatively. Go up according to Shanghai business personnel discloses related some certificate business, from the point of certificate trade angle, at present home is accorded with actually open an account investor number of the condition is relatively limited, stem from the need that business begins, certificate business is general to " mat endowment opens an account " the problem opens an eye to close a key point. But nowadays, superintend after having proclaimed in writing to set, certificate business to division achieve board attributive checks apparent meeting enlightenedly more strict, "Mat endowment opens an account " it is difficult to fear again practicable.
Key 5: Individual investor "50 10 thousand + doorsill of 2 years of " is clear
The basis hands in a specific provision before this, the member is individual investor enlightened division is achieved board the stock trades before attributive, whether ought to accord with investor to individual investor proper sex condition undertakes checking.
Specific hold a respect to what reach the capital fund inside capital account to account of investor negotiable securities, need divides 5 respects to have a consideration:
1. Can use at the capital account of capital fund of computational individual investor, include a client to trade account of account of settle accounts capital, earnest money of stock period power.
2. Inside the negotiable securities account that Chinese settle accounts opens, but plan the capital that enters individual investor capital fund includes: The asset of agreement of power of portion of plan of negotiable securities of support of portion of fund of stock, fair collect, bond, capital, asset administration, stock period, other negotiable security that hands in place to maintain.
3. Inside the account that opens in certificate business, but plan the capital that enters individual investor capital fund includes: Asset of product of conduct financial transactions of portion of portion of fair collect fund, illicit collect fund, bank, precious metal.
4. Inside capital account, but plan the capital that enters individual investor capital fund includes: The client trades inside account of settle accounts capital trade inside account of earnest money of power of settle accounts capital, stock period trade settle accounts capital, and the other fund assets that hands in place to maintain.
5. Computational individual investor is of all kinds financing kind business is relevant when asset, answer to be calculated according to net assets, do not include the negotiable securities that blend in and fund. Investor ought to abide by real name of negotiable securities account to make a demand, must not give the negotiable securities account that lends oneself, do not get the negotiable securities account that uses another person.
Notable is, to orgnaization investor, enlightened doorsill asks relatively fewer, need the provision of file of regulations of be good law, administrative regulations, department, normative sex and business regulation only, credit record is good at the same time, nonexistent undesirable sincere letter is recorded can.
Key 6: 7 divisions are achieved board fund came, more is on the road
Needing what emphasize particularly is, executive investor is suitable sexual system, not be the investor that will not accord with a requirement bars in division achieve board besides the gate, do not accord with investor what proper sex asks is medium small investor can pass the product such as fair collect fund to participate in division achieve board.
On April 22, suffer first division that fix eyes upon to achieve fund to be obtained formally fully batch, letter of labour silver-colored luck, an ancient name for China, southern, Yi Fangda, fine fact, rich nation and collect add rich company of 7 heads fund first acquisition publish batch of article, relevant product hopeful as soon as possible face city.
In addition, the basis hands in place disclose before this, division achieve board investment threshold is not certain invariable, future may as hind the development of city makes proper change, because this does not accord with the investor of the requirement can need not to participate in division achieve board investment forcibly " open an account " .
The article comes from certificate business China
