Current location - Trademark Inquiry Complete Network - Futures platform - China Securities Regulatory Commission and its dispatched offices shall inspect the implementation of investor suitability system by futures companies. ( )
China Securities Regulatory Commission and its dispatched offices shall inspect the implementation of investor suitability system by futures companies. ( )
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According to Article 15 of the Provisions on Establishing the Investor Suitability System for Financial Futures, the China Securities Regulatory Commission and its dispatched offices conduct daily supervision and inspection on securities companies that have obtained intermediary business qualifications, and if they find that securities companies violate the requirements of the investor suitability system, they shall take regulatory measures or impose administrative penalties according to law. CICC shall inspect the futures company's implementation of the investor suitability system, and if it finds that the securities company engaged in intermediary business has violated laws and regulations during the inspection, it shall notify the relevant agencies.