WEB ANNOUNCE::
Position:Policies and regulations

Stockjobber monitors regulation

From;    Author:Stand originally
 The firstTo strengthen the supervisory management to stockjobber, the behavior of normative stockjobber, be on guard the risk of stockjobber, the legitimate rights and interests that protects a client and society are communal interest, health of industry of stimulative negotiable securities develops, basis " company law of People's Republic of China " (the following abbreviation " company method " ) , " law of negotiable securities of People's Republic of China " (the following abbreviation " negotiable securities law " ) , enact this ordinance.
   The 2ndStockjobber ought to abide by law, administrative regulations and negotiable securities of the State Council to monitor the regulation of the administration, careful manage, fulfill the sincere faith Wu to the client.
   The 3rdThe partner of stockjobber and effective control person must not abuse the right, take up stockjobber or the client's asset, damage stockjobber or legitimate rights and interests of the client.
   The 4thThe country encourages stockjobber to be below the premise that controls a venture effectively, begin management fashion innovation, professional work lawfully or product innovation, organization innovation and innovation of incentive tie mechanism.
Negotiable securities of the State Council supervises administration, the State Council to ought to take effective measures about the branch, the innovation activity standard of stimulative stockjobber, orderly undertake.
   The 5thStockjobber sets according to the country, can issue, trade, sale negotiable securities kind financial product.
   The 6thNegotiable securities of the State Council supervises an administration to fulfil the supervisory government obligation to stockjobber lawfully. Negotiable securities of the State Council supervises the agency of the administration to be inside the accredit limits of supervisory administration of negotiable securities of the State Council, fulfil the supervisory government obligation to stockjobber.
   The 7thOther finance supervisory administration ought to build bank of people of supervisory administration of negotiable securities of the State Council, China, the State Council the information that stockjobber controls government shares a mechanism.
Supervisory administration of negotiable securities of the State Council and government office of local person civil administration ought to build the concerned circumstance of stockjobber to report a mechanism. The 2nd chapter is established with change
  The 8thEstablish stockjobber, ought to have " company method " , " negotiable securities law " the requirement that sets with this byelaw, supervise administration approval via negotiable securities of the State Council.
   The 9thThe partner of stockjobber ought to use a money or stockjobber manages indispensible blame monetary worth is contributive. Contributive amount must not exceed the blame money worth of stockjobber partner 30% what stockjobber registers capital.
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