On May 13, hand in a place to trade the hall was organized division achieve board relevant vocational training, groom content basically is involved division achieve board turn be in harmony connects negotiable securities lend and turn business of certificate of be in harmony and division are achieved board proper sex runs investor.
Proper sex management keeps investor in 3 big questions
Hand in a place to groom the spot expresses, according to Chinese card inspect can unite deploy, hand in a meeting to involve card inspect bureau and Chinese close an account in phase, in April the bottom undertook to 8 stockjobber early or late at the beginning of May division achieve board the client is proper special spot examines sexual government case.
The examination includes mainly: Stockjobber division is achieved board the system that proper sex runs the client and flow construction case; Stockjobber division is achieved board attributive opens asset state to check a circumstance; Stockjobber is fulfilled division achieve board the client is evaluated integratedly, the risk announces circumstance; Division achieve board the stock trades the associated circumstance with attributive and enlightened attributive of certificate of financing be in harmony.
Spot examination discovered 3 big questions:
One, stockjobber is filled up to investor endowment of the circumstance discriminate actively remain to strengthen
(One) the stockjobber filtration to mat endowment account the standard still is in exploration phase, choose a condition relatively simple, remain to perfect;
(2) partial stockjobber has not make the monitoring technological process with client unusually fluctuant assets and business system;
(3) partial stockjobber of short duration is not active quality of the financing source of unusually fluctuant to asset investor, capital and inside certain period account assets is distributed unusual situation undertake checking.
2, fail to be fulfilled strictly division achieve board trade attributive opens a condition, the partial link that evaluates integratedly flows at the form
(One) because some certificate business is wrong computational day all asset data, bring about wrong and enlightened client to trade attributive;
(2) division achieve board the stock trades the risk rates on the low side, partial stockjobber will division achieve board the risk in stock fixed position;
(3) investor can undertake iteration evaluating with respect to the risk grade assess of oneself, achieve more easily thereby division achieve board the risk of the stock rates;
(4) intellectual evaluation flows at the form, content is simple. At present stockjobber about division achieve board trading intellectual test subject is between 5-10 problem, and theme of every client test is same, division of sufficient to investor understanding achieves plate gauge to be helped finite.
3, the risk announces the space that the job has farther promotion
Basis " about fulfilling division achieve board investor is suitable the announcement that sexual management asks " , to the investor with account fluctuant and unusual assets, the member ought to undertake be assessmented integratedly afresh according to the regulation, wait for administrative measure according to evaluating a result to adopt further risk to announce. Via checking discovery, partial stockjobber has not change to account assets unusual investor undertakes further risk announce, the job still has promotion space.
Hand in a requirement certificate business to father " 7 close greatly "
Bencipei example aims to drive stockjobber to strengthen investor proper sex management and investor education job, normative division is achieved board the stock trades, turn be in harmony knows business, explain mainly division achieve board circumstance of examination of spot of proper sex government, investor teachs investor to the job asks and fulfil a circumstance, " division achieve board the stock trades special provision " , " division achieve board turn be in harmony connects negotiable securities lend and turn business of certificate of be in harmony, highlight key problem, fine chemical industry makes a demand, supervise and urge stockjobber does good family to achieve board board each business before intends the work.
Groom emphasize, stockjobber serves as establish division achieve board pilot register the important participator that makes reform, want responsibility of aggrandizement main body, "Father to close 7 " . Develop adequately " gatekeeper " action, will high grade division achieves enterprise and comfortable case investor to introduce division achieve board trade the market. Develop adequately " intermediary person " action, do nice link bourse, investor, division to achieve the bridge of the enterprise. Develop adequately " guardianship person " action, do good investor actively to teach the job, strengthen a risk to announce, guide investor reason investment, careful trade, protective investor closes right increase.
Hand in place to express, will dog continuously evaluation stockjobber division is achieved board each job fulfils a circumstance, discovery does not fulfil what reach the designated position or produce investor to complain dispute, will take relevant superintendency measure or disciplinary treatment. The clue is serious, will report Chinese card inspect to meet.
Certificate business strengthens investor account information to check
Public figure of trade having ticket tells a reporter, received those who hand in place to allot to superintend working case recently, company according to hand in a requirement, achieve to enlightened already division board the stock trades the individual investor of attributive undertakes checking, ensure its accord with proper sex to run a requirement. Accord with at the same time to account assets change especially the following the individual investor of two kinds of circumstances, pay close attention to the row account for the key, undertake check mainly and assessment:
The first, with division achieve board the stock trades attributive opens day to be T day, the fund that reachs 500 thousand yuan to there is brushstroke to be more than between T-1 date or be equal to a RMB in T-20 day enters negotiable securities account and capital account inside;
The 2nd, with division achieve board the stock trades attributive opens day to be T day, the day inside capital account is reached to asset is more than or be equal to a RMB eventually to account of the negotiable securities between T-21 date in T-60 500 thousand yuan trade day is little at 5 days (contain 5 days of) .
"Right enlightened already division is achieved before April 30 board the stock trades the investor of attributive, company already according to handed in a requirement to undertake checking assessment before May 10, strengthened investor proper sex condition is checked, evaluate integratedly, the risk announces wait for proper sex to supervise the work, proper to investor sex manages working flow and relevant file to undertake record, keep, the form with special report solicited relevant job case to bourse newspaper " , public figure of this certificate trade expresses.
"Of others home end of the year award " had sent in one's hand! Award compares financial orgnaization greatly end of the year go all out, 30 monthly wages " envy envious hate "
ST large area drops stop! Severe inspect rules city signal to release, were you received?
[division achieve board head] division achieve board accept enterprise head to show examine and verify of active break down; Certificate business is finished first division achieve board entire network checks; Division achieve thematic fund to already entered stealthily
Roc China riptide of fund look forward to: The hour with the tightest market already passed, the right season or time of structural sex layout
Stamp!
