1. Other information such as reward information made by units other than the association that meet the conditions stipulated in Article 9 of the Measures for the Integrity Management of China Securities Association shall be reported to the integrity information system of the association within 10 working days from the date of receiving the reward decision document for the unit and its employees.
2. Members shall report the punishment information of their employees to the credit management system of the Association within 10 working days from the effective date of the punishment decision.
3. If the decision or behavior corresponding to the information collected through the specified channels is revoked or changed through legal procedures, the member shall report to the credit management system of the Association within 10 working days from the date of receiving the revocation or change decision.
4. The validity period of reward information and punishment information is 3 years, but the validity period of information that is subject to administrative punishment and banned from the market due to illegal acts of securities and futures is 5 years.
5. If the inquired credit information meets the specified conditions and the materials are complete, the Association shall issue a credit report within 10 working days from the date of receiving the application, and the inquiry record shall be kept for 5 years from the date of record generation.
6. Violation of laws, administrative regulations or the relevant provisions of the China Securities Regulatory Commission, if the circumstances are serious, can take measures to prohibit the relevant responsible person from entering the securities market for 3 to 5 years; Bad behavior, seriously disrupting the order of the securities market, seriously damaging the interests of investors or playing a major role in major illegal activities, the relevant responsible personnel can be banned from the securities market for 5 to 10 years.
7. Customer identity information shall be kept for at least 15 years from the year when the business relationship ends, and other information related to sales business shall be kept for at least 15 years from the year when the business occurs.
8. For a sponsor institution with false records, misleading statements or major omissions in its application documents, the China Securities Regulatory Commission will no longer accept the application for the qualification of sponsor representative recommended by the sponsor institution within 6 months from the date of revocation.
9. The financial adviser shall submit the following digital supporting documents about the promoters of the financial adviser:
(1) Having the qualification of securities business, having more than 3 years experience in securities underwriting business, issuance sponsorship business and financial consulting business of mergers and acquisitions, and relevant certificates of at least 3 signatories of securities issuance underwriting or sponsorship, mergers and acquisitions.
(2) There is no record of violation of good faith in the last 24 months.
(3) It has not been disciplined by industry self-regulatory organizations in the last 24 months.
(4) A statement that he has not been punished for illegal practice in the last 36 months.
Second, securities brokers.
1. When signing a securities trading agency agreement with customers, the initial risk tolerance of customers is evaluated, and then the follow-up evaluation is conducted at least once every two years according to their securities investment.
2. A securities company shall uniformly organize customers to pay a return visit, and complete the return visit to new customers within 65,438+0 months, and the proportion of return visits to existing customers shall not be less than 65,438+00% of the total customers at the end of last year.
3. The customer's return visit should be marked, and the relevant information should be kept for not less than 3 years.
4. Self-inspection and drills shall be recorded and kept in writing for not less than 3 years.
5. The person in charge of the securities business department shall be forced to leave his post at least once every three years, and the time of forced resignation shall not be less than 10 working days.
Third, securities investment consulting.
1. An institution applying for securities and futures investment consulting qualification shall meet the following numerical conditions:
(1) The institutions engaged in securities and futures investment consulting business respectively have more than 5 persons who have obtained the qualification of securities and futures investment consulting; At the same time, there are more than 10 full-time staff who have obtained the qualification of securities and futures investment consulting; Among them, at least 1 senior managers have obtained the qualification of securities or futures investment consulting.
(2) The registered capital is more than100000 yuan.
2. Securities and futures investment consulting institutions shall keep the investment consulting materials provided to investors or the public for 2 years from the date of provision.
3. Use "stock recommendation software" to engage in securities investment consulting business, and the retention period of relevant business files shall not be less than 5 years from the date of termination of the relevant agreement.
Fourth, financial advisers.
1. Digitization conditions for securities companies to engage in financial consulting business:
(1) It has no record of major violations of laws and regulations in the last three years.
(2) There shall be no less than 5 promoters of the financial adviser.
2 digital documents submitted by securities companies engaged in financial consulting business:
(1) It has no record of major violations of laws and regulations in the past three years.
(2) Description of the corporate governance structure and internal control system, including company risks, internal isolation system, personnel list of core departments and work experience in the last three years.
(3) The financial and accounting reports of the company in the last two years audited by an accounting firm qualified to engage in securities business.
3. Securities companies, securities investment consulting institutions and other financial consulting institutions shall not engage in financial consulting business under any of the following circumstances:
(1) Has a bad record of violating integrity in the last 24 months.
(2) In the last 24 months, he was disciplined by the industry self-regulatory organization for violating the industry norms.
(3) Being punished for illegal business operation in the last 36 months or being investigated for suspected illegal business operation.
4. The working files and working papers of financial consultants shall be true, accurate and complete, and the storage period shall be no less than 10 years.
Verb (abbreviation of verb) securities underwriting and sponsorship
1. The initial public offering of shares shall meet the following requirements:
① The net profit in the last three fiscal years is positive and accumulated more than 30 million yuan, and the net profit is calculated according to the lower before and after deducting non-recurring gains and losses.
(2) The accumulated net cash flow generated by business activities in the last three fiscal years has exceeded RMB 50 million; Or the accumulated operating income in the last three fiscal years exceeds 300 million yuan.
(3) The total share capital before issuance shall not be less than RMB 30 million.
(4) the proportion of intangible assets (after deducting land use rights, breeding rights and mining rights, etc.). ) Not higher than 20% of the net assets at the end of the latest period.
2. The retention period of the sponsorship working papers shall not be less than 10 years.
3. Whoever issues securities or makes false issuance documents without authorization shall be fined more than 1% and less than 5% of the illegally raised funds. Impose a fine of not less than 30,000 yuan but not more than 300,000 yuan on the responsible person.
4. If a securities company underwrites or acts as an agent to buy or sell securities issued without approval or examination and approval, it shall be fined more than/kloc-0 and less than 5 times the illegal income. The person directly responsible shall be fined between 30,000 yuan and 300,000 yuan.
5. The issuer fails to disclose information in accordance with relevant regulations, or the information disclosed has false records. , impose a fine of not less than 300,000 yuan but not more than 600,000 yuan on the issuer. The person directly responsible shall be fined between 30,000 yuan and 300,000 yuan.
6. Self-operated securities
1. The securities proprietary account of a securities company shall be reported to the stock exchange for filing within 3 trading days from the date of opening the account.
2. The original vouchers and relevant business documents, materials, account books and other necessary materials of securities proprietary business shall be properly kept for at least 20 years.
3. The stock exchange shall implement the following digital supervision over the securities proprietary business of its members:
(1) Require members to prepare monthly inventory securities statements and submit them to the stock exchange before the 5th of the following month.
(2) Submit the daily securities business of each member to China Securities Regulatory Commission within 30 days after June 30th and February 30th, 65438+February 3rd1.
4. Securities companies whose positions exceed the standard shall submit the rectification plan in writing to the securities regulatory bureau where the company is registered, reduce the scale of self-operation under the premise of compliance, and report it to the securities regulatory bureau where the company is registered before 10 every month.
5. Scale and proportion control of proprietary business:
① The total amount of proprietary equity securities and securities derivatives shall not exceed 100% of the net capital, and the investment scale of interest rate swap shall be calculated as 5% of the nominal principal of interest rate swap contract.
② The total amount of self-operated fixed income securities shall not exceed 500% of the net capital.
③ The cost of holding equity securities shall not exceed 30% of the net capital.
④ The market value of equity securities shall not exceed 5% of its total market value, except for the lack of solvency and other circumstances stipulated by the China Securities Regulatory Commission.
6. The total amount of equity securities held at cost in the securities proprietary account of a securities company shall not exceed 80% of its net assets.
7. Insider information: The mortgage, sale or scrapping of the company's main business assets exceeds 30% of the assets at one time.
Seven. Securities asset management
1. The assets invested in equity securities such as stocks with excellent performance, high growth and strong liquidity shall not exceed 20% of the net assets of the plan.
2. When a securities company conducts directional asset management business, the net asset value of a single customer shall not be less than RMB 6,543,800+0,000.
3. The collective asset management plan shall be promoted to qualified investors, and the cumulative number of qualified investors shall not exceed 200.
4. Qualified investors refer to units and individuals that meet one of the following conditions:
① The total financial assets of an individual or family shall not be less than RMB 1 10,000 yuan.
② The net assets of companies, enterprises and other institutions shall not be less than 6,543,800 yuan.
5. Securities companies and custody institutions shall provide customers with accurate and complete asset management reports and asset custody reports at least once every three months; Securities companies and custodians shall disclose the net value of collective plan shares at least once a week in accordance with the time and manner stipulated in the asset management contract.
6. Relevant materials of asset management business shall be kept for at least 20 years from the date of termination of the asset management contract.
Eight. Other business
1. A securities company applying for margin financing and securities lending business qualification shall meet the following numerical conditions:
① The directors, supervisors and senior managers of the Company have not been subject to administrative punishment or criminal punishment for illegal business operations in the last two years.
(2) All risk control indicators have continuously met the requirements in the last two years.
③ No serious accidents caused by company management problems occurred in recent 1 year.
2. The amount of margin financing and securities lending of a securities company shall not exceed 4 times of its net capital.
3. Except for special circumstances such as suspension or termination of securities trading, the time limit for refinancing from a securities finance company to a securities company shall not exceed 6 months.
4. Securities can offset the deposit, but the proportion of monetary funds shall not be less than 15% of the deposit payable.
5. A securities finance company shall properly keep all kinds of documents and materials formed in the process of performing the duties stipulated in the Measures for Refinancing of China Securities Regulatory Commission for a period of not less than 20 years.
6. The time limit for securities companies to keep business introduction materials shall not be less than 5 years.
7. Among the members of the investment decision-making committee, the number of direct investment subsidiaries and their subordinate institutions shall not be less than 65,438+0/2, and the number of securities companies shall not exceed 65,438+0/3.
8. If the direct investment subsidiary and its subsidiaries or direct investment funds incur debts due to supplementary liquidity or merger and acquisition of bridge loan, the debt term shall not exceed 65,438+02 months, and the debt balance shall not exceed 30% of the registered capital or paid-in capital.