Recently, the Shanghai Organization related business sectors will hold thematic of the securities company supervision Ordinance and the securities company risk Disposal Ordinance implementing the work. The stock will soon launch the Member customer securities trading act managerial regulations, from the business rules of perfect member management business rules system. And according to the regulations on the financing of the relevant provisions of the securities lending business, to develop appropriate rules and business processes, ensure that the business of launching and standard operation.
(Http://) meeting was of the view that the two regulations is a basic system of securities market of the great initiatives for standardizing the securities company development, preventing securities company risk, streamlining securities company to exit mechanism, thereby protecting the interests of investors, it is of great significance. Two regulations of the securities company comprehensive management of important results, is a securities company supervisory work experience in system summary, embodies the CPC Central Committee and State Council for comprehensive management of securities of the company. Two regulations of the securities the basis for the development of industry standards, to address the current hot and difficult problems in the market provides a basis for self-regulation as well on card management work of great significance.
To implement the two regulations on the card by the deployment of six working arrangements in the near future. First, an in-depth study and appreciate the two regulations, carding, improvement of relevant business rules on the basis of the stock will soon launch the Member customer securities trading act managerial regulations, from the business rules of perfect member management business rules system. At the same time, careful examination of the relevant business rules, timely revision and two regulations inconsistent or incompatible with the content.
Secondly, market innovation, innovation mechanisms, on the card will strengthen member transactions permissions management. The strictly stock company market access management based on the last card will continue to strengthen member of trading rights management work, according to the Member's net capital, size, operation, technical system conditions for Member transaction permissions in variety, style, size and dynamic management.
Third, further promote members to strengthen risk management capacity and improve the quality of practice. What will be on the cards in order to strengthen member account management working as the breakthrough point to promote member understand their customers, provide for the appropriateness of products and services, strengthening customer risk revealed that improve on customer exception transaction behavior of discovery and disposal capacity, improve the quality of practice members, give full play to its construction in the securities market.
Fourth, to further strengthen technical supervision to ensure that members of the management of information security. The card will ensure the safe operation of the overall requirements, strengthening trading and related technology, system management, timely introduction of the members of the transactions and the related system technical specifications and operation of management practices "to promote measures to ensure that members of the securities market of safe operation.
Fifth, the strengthening of investor education and training of qualified investors. The card will set up a special Department of the investor education based on the combination of the two regulations promulgated and securities company specializes in the evaluation of the pilot, and intensify efforts to investor education and the promotion and supervision work in investor education. At the same time, actively promoting the cultivation of qualified investors in order to optimize the market structure, improve the quality and efficiency of the market operation.
Sixth, the card will tie dispose of securities company risk, increase membership cleanup efforts, completed in securities company integrated governance closeout work.
The thematic session on card, stressed the need to establish a mechanism from the point of view, the active support of the members on the basis of the standard operation of Jiangxi, promote the healthy development of the industry. First of all, the licence will be providing the market with innovative products and a richer, more sophisticated trading mechanism, to improve securities company profit model, enhancing its ability to adapt to market changes; secondly, the licence for securities business innovation, product innovation, technical and operations running on the provision of corresponding services; again, according to the regulations on the financing of the relevant provisions of the securities lending operations, the card will develop appropriate rules and business processes, ensure that the business of launching and standard operation.
No comments:
Post a Comment