Securities Times to strengthen the appropriateness of business institutions to promote long-term sta-masa-c

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Securities Times: strengthening institutions appropriate obligations to promote market App: long period of stability Sina Finance live on-line blogger to guide you to make you take the can make you my Securities Times reporter Jiang Dan recently, the Commission issued the "Securities and futures investors appropriate management approach (Draft)". The approach from the customer classification to the service and product classification, as well as the appropriateness of matching, the whole process is to strengthen the operational agencies to implement appropriate obligations. Hengtai futures general manager Xin Ying told the Securities Times reporter said, the securities and futures business institutions in the choice of customers and provide services to the process, appropriate management and implementation is the basic bottom line daily operations. Strengthening institutions shall implement appropriate obligations, only to establish and carry out appropriate arrangements, in order to risk management to standardize the operation mechanism, improve the operating mechanism of differentiated business and competitiveness, more fully protect the interests of investors, and promote the entire financial market long period of stability. From the point of view of the content, the provisions of the "Regulations" to carry out the appropriate performance of the obligations of investors are mainly related to the appropriateness of the assessment obligations, risk disclosure obligations, internal management obligations, etc.. Appropriate assessment obligations. The "measures" requirements, institutions belong to the investor category for further classification and clear, including but not limited to ordinary investors and professional investors; at the same time in the premise of safeguarding the legitimate rights and interests of investors, the two types of investors are refined. Operating agencies combined with the "measures" in the classification requirements of investors, can independently determine the classification results. Xin Ying believes that this is a specific direction for the operation of the operation of the agency, which is conducive to the implementation of a more detailed business. At the same time, it also solves the problem that there is no uniform standard for the classification of investors, there is no bottom line and the responsibilities are not clear. Risk classification of products and services is a prerequisite for the realization of the appropriateness of investors and product matching. Xin Ying believes that investors based on implementing the classification, effective classification of their own products, and earnestly fulfill the appropriate obligations, in order to realize the appropriate products to the appropriate investors". "For our industry, futures trading has the particularity, the business professional, the complexity of the legal relationship, function, characteristics, product complexity and risk return characteristics are also different, but the majority of investors at the professional level, risk preference, risk return ability etc. there are great differences on futures products needs are not the same, the market’s long-term stable development needs professional investor matching and risk bearing capability and product." Xin Ying said. Risk disclosure obligations, the approach to the operation of the agency and the trustee to act in violation of appropriate obligations should bear the responsibility of the law in accordance with the provisions of the cause of the sympathetic resonance. Market, due to the complexity of product design, investors in the implementation of appropriate is not in place, the disclosure of information and risk disclosure is not sufficient, has triggered a large number of post class investor litigation. She said that the above provisions help to promote the concerted efforts of relevant agencies, to jointly implement the risk to reveal the work, the risk revealed throughout the various aspects of the financial intermediary business相关的主题文章:

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