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On August 13, the persons-in-charge, coming from 101 securities companies engaging in the brokerage business and the persons heading the information technology departments of these companies attended the Meeting on New Market Investors Appropriateness Management; the persons in charge of the relevant regulatory departments also appeared at the meeting. The major topic of the meeting was to make communications and exchange in respect of the implementation work of investors appropriateness management, make clear the relevant work arrangement and technological requirements and take further step to efficiently push forward the construction of the basis system of the capital market.
The offering application materials of the first-batch companies on the New Market are under the examination for now. Investors must sign the written Risk Disclosure on the spot if they have decided to participate in the subscription or trading of new stocks on the New Market, based on the sufficient understanding of characteristics and risks of the New Market,; and the formality can be finished within 2-5 days. The investors who intend to make subscription or engage in the trading of new stocks on the New Market need handle the aforesaid formality as soon as possible in order to avoid the impact on investment plan.
The investor appropriateness management work has the very important significance in terms of upgrading of client service and management of securities companies, strengthening the client classification management, intensifying the client transaction conduct management and risk control. In order to protect the legitimate rights and interests of investors, prevent risks and promote the steady launching of the New Market, all securities companies must put all efforts to push forward the work and practically get hold of the work pace and orderly guide clients to open the New Market trading account by stage. At the same time, the securities companies shall take necessary control measures to prevent the investors failing to go through the formality from participating in subscription of new stock on the New Market and other trading activities.
