From June 28th to 29th, the SZSE, jointly with the Shanghai Stock Exchange (SSE), the Guangdong Bureau of CSRC, the Hainan Bureau of CSRC, the Securities and Futures Association of Guangdong and the China Capital Market Institute, held the third issue of Special Training for Securities Companies: Customer Management in Guangzhou. About 250 principals of business departments of members in Guangdong and Hainan regions participated in the training.
This training was a concrete measure of all units of the CSRC system to implement the spirit of the 19th CPC National Congress and the National Financial Work Conference, to strengthen front-line supervision, prevent market risks, and accelerate the implementation of the “member-regulation-oriented” transaction behavior regulation model. The training aimed at guiding members, especially front-line personnel, to enhance customer management awareness and take the initiative to assume responsibilities of managing customer transaction behavior.
During the training, relevant experts from the CSRC, the SZSE and the SSE centered on such contents as supervision situation, market monitoring, member regulating, compliance inspection, and investor education. They focused on the concept of client management, conveyed regulatory requirements, and interpreted typical cases. In order to further enhance the training effect, represents from domestic and foreign securities companies were invited to share their experiences, and participants were divided into group to carry out in depth discussion, which built up a bridge for members to fully communicate. In the follow-up, the two exchanges and the China Capital Market Institute will continue to organize the classes under the unified deployment of the CSRC, planning to implement rotation training for all members' business departments in about two years.
The on-site trainees all expressed that this special training was highly instructive, practical, and innovative, and had a strong guiding significance for establishing the initiative concept of management customer transaction behavior and improving the customer management level.
