China's
28 companies
Jun
16
China Securities institutions authorities have recently accelerated the pace of the introduction of the GEM. June 5 in Shenzhen issued the "Stock Exchange, Shenzhen Stock GEM Listing Rules", the June 8, Securities and Futures Commission, Shenzhen Stock Exchange and the Securities Industry Association released at the same time "the GEM market investors Provisions for appropriate management "," Shenzhen Stock Exchange GEM investors to implement appropriate management approaches "," GEM investment risks necessary to reveal the terms of the book. "
A few days ago, our reporter on the "Interim Provisions" and "implementation method," interviewed a number of securities, they generally felt that the introduction of the relevant rules will be conducive to the smooth introduction of the GEM, but also China's securities regulatory authorities to enhance the efficiency and quality of supervision One of the important performance.
The establishment of "caveat emptor" concept
Establishment of investors in "caveat emptor" the concept of investor education is not only an important goal, to protect the interests of investors is also an important measure. GEM listed company from the risk characteristics to consider, how to help investors control risk, and guide rational investors to participate in the GEM market investors adaptive management is the core issue.
Shenyin view, Shenzhen, "implementation" of investors trading in advance, and after things have done all aspects of specific provisions, provide investors with full disclosure and to reveal the risk, especially to raise the risk awareness of investors, This is the establishment of investors "caveat emptor" means the most important concepts.
PrimeCredit securities that the GEM investors enter the market requirements will help investors understand the real risk of the GEM, to make prudent investment decisions, thereby to protect the legitimate rights and interests of investors, and promote the GEM and the stock market healthy and rapid development. Practice in line with the "implementation method," "two years trading experience" measure of investor, as opposed to those entering the city, the lack of experience and knowledge of investors, often with more of its rich knowledge or experience of the stock market risk. GEM as the main target of access will help guide the investors "tailor our investment", but also better support the securities companies to carry out the work of investor education.
From investors to improve the mechanism for handling disputes and do a good job market to work level, EMC Corporation believes that the "implementation method," clearly calls for securities companies should be strictly in accordance with the regulations for different status conditions of the market for the stock market investors work procedures and the risk of revealing that the provision is conducive not only to remind their clients of the brokerage firms to better identify individual investment behavior by the potential investment risks, understand "caveat emptor" philosophy, but also to brokerage customers to resolve contradictions and disputes and the promotion of securities companies development work.
Obligations of firms and investors more clearly
Haitong Securities believes that the "implementation method," in respect of the obligations of securities firms had a very detailed provisions, and obligations of investors also made provisions and arrangements, this is one thing the document.
Relevant rules of the obligations of securities firms so that the goal ofSupervision implement risk prevention has played a Supervision securities companies and investors as a bond between the role of communication. Securities companies should carry out the GEM management responsibilities appropriate to understand the client's identity, property and income, securities investment experience, risk preferences, investment objectives and other relevant information targeted to reveal the risk, customer training, investor education and so on, and guide customers to fully understand the characteristics of the GEM and participation based on the open market transactions.
Institutionalized mechanisms for investor protection
Shenyin believe that GEM investors the key to proper management system is designed to institutionalize mechanisms for investor protection, and the text of the process.
First of all, the management of the first time for investors due to the institutionalization of management requirements, from the China Securities Regulatory Commission issued the "Interim Provisions", Shenzhen issued the "Implementation Measures" and the Securities Industry Association released the "GEM investment Book reveals the essential terms of the risks, "investors constitute an appropriate management system for the basic system. Secondly, the discussions covered the "implementation details" for investors to be the appropriate management processes and detailed provisions, a clear opening of Securities on GEM for investors trading in the market before and after the procedure. Once again, "the implementation details," called for the adoption of the text of the management, the process has left marks to ensure that investors in the effectiveness of proper management.
Institutionalize the process and the text of the regulatory requirements of various functional departments have a reasonable division of labor. First of all, the "Interim Provisions" organization-specific requirements of securities companies to implement appropriate management investors. This is because the investors to apply for open transactions, investment transactions are completed in the securities companies, securities companies have to understand the identity of customers, securities investment experience, risk-bearing capacity, as well as investment objectives and other relevant information to facilitate the investors to carry out proper management of operability. Secondly, the "Interim Provisions" specifically with the obligations of the parties concerned, including investors, securities companies should be carried out with the appropriate management of the China Securities Depository and Clearing Co., Ltd. and Shenzhen Stock Exchange for the securities companies should also implement the Growth Enterprise Market investors appropriate management to provide the necessary technical support and inquiries. Third, the "Interim Provisions" clarified, including the China Securities Regulatory Commission, Shenzhen Stock Exchange, the Securities Association of China, such as the duties of supervision and inspection at all levels, as well as the China Securities Regulatory Commission on the Shenzhen Stock Exchange, China Securities Depository and Clearing Corporation, the Securities Association of China-related work guidance, supervision and inspection duties.
A few days ago, our reporter on the "Interim Provisions" and "implementation method," interviewed a number of securities, they generally felt that the introduction of the relevant rules will be conducive to the smooth introduction of the GEM, but also China's securities regulatory authorities to enhance the efficiency and quality of supervision One of the important performance.
The establishment of "caveat emptor" concept
Establishment of investors in "caveat emptor" the concept of investor education is not only an important goal, to protect the interests of investors is also an important measure. GEM listed company from the risk characteristics to consider, how to help investors control risk, and guide rational investors to participate in the GEM market investors adaptive management is the core issue.
Shenyin view, Shenzhen, "implementation" of investors trading in advance, and after things have done all aspects of specific provisions, provide investors with full disclosure and to reveal the risk, especially to raise the risk awareness of investors, This is the establishment of investors "caveat emptor" means the most important concepts.
PrimeCredit securities that the GEM investors enter the market requirements will help investors understand the real risk of the GEM, to make prudent investment decisions, thereby to protect the legitimate rights and interests of investors, and promote the GEM and the stock market healthy and rapid development. Practice in line with the "implementation method," "two years trading experience" measure of investor, as opposed to those entering the city, the lack of experience and knowledge of investors, often with more of its rich knowledge or experience of the stock market risk. GEM as the main target of access will help guide the investors "tailor our investment", but also better support the securities companies to carry out the work of investor education.
From investors to improve the mechanism for handling disputes and do a good job market to work level, EMC Corporation believes that the "implementation method," clearly calls for securities companies should be strictly in accordance with the regulations for different status conditions of the market for the stock market investors work procedures and the risk of revealing that the provision is conducive not only to remind their clients of the brokerage firms to better identify individual investment behavior by the potential investment risks, understand "caveat emptor" philosophy, but also to brokerage customers to resolve contradictions and disputes and the promotion of securities companies development work.
Obligations of firms and investors more clearly
Haitong Securities believes that the "implementation method," in respect of the obligations of securities firms had a very detailed provisions, and obligations of investors also made provisions and arrangements, this is one thing the document.
Relevant rules of the obligations of securities firms so that the goal ofSupervision implement risk prevention has played a Supervision securities companies and investors as a bond between the role of communication. Securities companies should carry out the GEM management responsibilities appropriate to understand the client's identity, property and income, securities investment experience, risk preferences, investment objectives and other relevant information targeted to reveal the risk, customer training, investor education and so on, and guide customers to fully understand the characteristics of the GEM and participation based on the open market transactions.
Institutionalized mechanisms for investor protection
Shenyin believe that GEM investors the key to proper management system is designed to institutionalize mechanisms for investor protection, and the text of the process.
First of all, the management of the first time for investors due to the institutionalization of management requirements, from the China Securities Regulatory Commission issued the "Interim Provisions", Shenzhen issued the "Implementation Measures" and the Securities Industry Association released the "GEM investment Book reveals the essential terms of the risks, "investors constitute an appropriate management system for the basic system. Secondly, the discussions covered the "implementation details" for investors to be the appropriate management processes and detailed provisions, a clear opening of Securities on GEM for investors trading in the market before and after the procedure. Once again, "the implementation details," called for the adoption of the text of the management, the process has left marks to ensure that investors in the effectiveness of proper management.
Institutionalize the process and the text of the regulatory requirements of various functional departments have a reasonable division of labor. First of all, the "Interim Provisions" organization-specific requirements of securities companies to implement appropriate management investors. This is because the investors to apply for open transactions, investment transactions are completed in the securities companies, securities companies have to understand the identity of customers, securities investment experience, risk-bearing capacity, as well as investment objectives and other relevant information to facilitate the investors to carry out proper management of operability. Secondly, the "Interim Provisions" specifically with the obligations of the parties concerned, including investors, securities companies should be carried out with the appropriate management of the China Securities Depository and Clearing Co., Ltd. and Shenzhen Stock Exchange for the securities companies should also implement the Growth Enterprise Market investors appropriate management to provide the necessary technical support and inquiries. Third, the "Interim Provisions" clarified, including the China Securities Regulatory Commission, Shenzhen Stock Exchange, the Securities Association of China, such as the duties of supervision and inspection at all levels, as well as the China Securities Regulatory Commission on the Shenzhen Stock Exchange, China Securities Depository and Clearing Corporation, the Securities Association of China-related work guidance, supervision and inspection duties.
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