期货公司执行金融期货投资者适当性制度管理规则（修订�?/title> <STYLE type=text/css> *{margin:0px} BODY { FONT-SIZE: 12px } #slidingBlock { BORDER-BOTTOM: #c2d3e5 1px solid; BORDER-LEFT: #c2d3e5 1px solid; PADDING-BOTTOM: 1px; PADDING-LEFT: 1px; WIDTH: 446px; PADDING-RIGHT: 1px; BORDER-TOP: #c2d3e5 1px solid; BORDER-RIGHT: #c2d3e5 1px solid; PADDING-TOP: 1px; over-flow: hidden; margin:0px;} #slidingBlock div { TEXT-ALIGN: center; LINE-HEIGHT: 25px; WIDTH: 94px; FLOAT: left; HEIGHT: 27px; FONT-SIZE: 12px; over-flow: hidden; } #slidingBlock div.menuNo { BACKGROUND-IMAGE: url(../../../images/Home_CN/images/slidingMenuLine.gif); BACKGROUND-REPEAT: no-repeat; BACKGROUND-POSITION: 1px 2px; COLOR: #00569f; FONT-WEIGHT: bold } #slidingBlock div.menuOn { BACKGROUND-IMAGE: url(../../../images/Home_CN/images/slidingMenu.gif); BACKGROUND-REPEAT: no-repeat; BACKGROUND-POSITION: 2px 2px; COLOR: #ffffff; FONT-WEIGHT: bold } #slidingBlock DIV.slidingList_none { DISPLAY: none } #slidingBlock DIV.slidingList { MARGIN: 0px; HEIGHT: 125px } #slidingBlock DIV.slidingList UL { PADDING-BOTTOM: 0px; MARGIN: 0px; PADDING-LEFT: 0px; PADDING-RIGHT: 0px; PADDING-TOP: 0px } #slidingBlock DIV.slidingList LI { LINE-HEIGHT: 20px; HEIGHT: 20px } #slidingBlock DIV.slidingList LI SPAN { COLOR: #ffffff; FONT-SIZE: 12px; FONT-WEIGHT: normal } </STYLE> <SCRIPT src="/images/imagesHome_CNjsjquery-1.4.2.js"></SCRIPT> <LINK rel=stylesheet type=text/css href="/images/wbdtthydt201312imagesHome_CNcsshome_csscss.css"> <SCRIPT language=JavaScript src="/images/imagesHome_CNjstemplate.js"></SCRIPT> <SCRIPT src="/images/imagesHome_CNjsmenu.js"></SCRIPT> <SCRIPT src="/images/imagesHome_CNjsmt_dropdown_initialize.js"></SCRIPT> <SCRIPT src="/images/imagesHome_CNjsmt_dropdownC.js"></SCRIPT> <SCRIPT type=text/javascript src="/images/imagesHome_CNjsMSClass.js"></SCRIPT> <SCRIPT language=javascript src="/images/imagesHome_CNjsfly.js"></SCRIPT> <LINK href="/images/wbdtthydt201312imagesHome_CNcssmt_stylecss.css" type=text/css rel=stylesheet> <META name=GENERATOR content="MSHTML 8.00.6001.18702"> <script type="text/javascript" src="/yesads.js"></script></head> <body> <TABLE border=0 cellSpacing=0 cellPadding=0 width=1001 align=center> <TBODY> <TR> <TD height=118 vAlign=top background=../../../images/Home_CN/images/top_logo.gif align=right> <TABLE border=0 cellSpacing=0 cellPadding=0> <TBODY> <TR> <TD align=right> <table><tr> <td width="60"><a href="/html/.wbdtthydt201312......fzlmrczp.html" class='white'>人才招聘</a></td> <td width="60"> <a href="/html/.wbdtthydt201312......fzlmGYWM201202t20120227_4278.html" target="_blank" class="white">关于我们</a></td> <td width="60"> <a href="/html/.wbdtthydt201312......fzlmLXWM201202t20120227_4286.html" target="_blank" class="white">联系我们</a></td> <td width="60"><a href="/html/.wbdtthydt201312......fzlmWZDH.html" class='white'>网站导航</a></td> <td width="60"><A class=white href="/html/.wbdtthydt201312......english.html"><SPAN style="FONT-FAMILY: Arial; COLOR: #fdff3b; FONT-SIZE: 14px; FONT-WEIGHT: bold">English</SPAN> </A></td> <td width="10"></td> </tr> </table> </TD> </TR> </TBODY> </TABLE> </TD> </TR> <TR> <TD height=28 vAlign=center background=/html/.wbdtthydt201312.......htmlimages/Home_CN/images/top_dh.gif> <TABLE border=0 cellSpacing=0 cellPadding=0 width="100%"> <TBODY> <TR> <TD vAlign=center width=3 align=middle></TD> <TD class=nav_bg vAlign=center align=middle> <A id=menu0 class=white onmouseover="popmenu(this)" onmouseout="hhide(this)" href="../../../">�?�?/A> </TD> <TD class=nav_bg vAlign=center align=middle> <a href="/html/.wbdtthydt201312......ggtz.html" id='menu1' class='white' onmouseover='popmenu(this)' onmouseout='hhide(this)'>公告与通知</a> </TD> <TD class=nav_bg vAlign=center align=middle> <a href="/html/.wbdtthydt201312......zywyh.html" id='menu2' class='white' onmouseover='popmenu(this)' onmouseout='hhide(this)'>专业委员�?/a> </TD> <TD class=nav_bg vAlign=center align=middle> <a href="/html/.wbdtthydt201312......flfg.html" id='menu3' class='white' onmouseover='popmenu(this)' onmouseout='hhide(this)'>法律法规</a> </TD> <TD class=nav_bg vAlign=center align=middle> <a href="/html/.wbdtthydt201312......zlgz.html" id='menu4' class='white' onmouseover='popmenu(this)' onmouseout='hhide(this)'>自律规则</a> </TD> <TD class=nav_bg vAlign=center align=middle> <a href="/html/.wbdtthydt201312......dcmfx.html" id='menu5' class='white' onmouseover='popmenu(this)' onmouseout='hhide(this)'>DCM注册发行</a> </TD> <TD class=nav_bg vAlign=center align=middle> <a href="/html/.wbdtthydt201312......zlgl.html" id='menu6' class='white' onmouseover='popmenu(this)' onmouseout='hhide(this)'>自律管理</a> </TD> <TD class=nav_bg vAlign=center align=middle> <a href="/html/.wbdtthydt201312......hygl.html" id='menu7' class='white' onmouseover='popmenu(this)' onmouseout='hhide(this)'>会员管理与服�?/a> </TD> <TD class=nav_bg vAlign=center align=middle> <a href="/html/.wbdtthydt201312......ywpx.html" id='menu8' class='white' onmouseover='popmenu(this)' onmouseout='hhide(this)'>业务培训</a> </TD> <TD class=nav_bg vAlign=center align=middle> <a href="/html/.wbdtthydt201312......scyjfx.html" id='menu9' class='white' onmouseover='popmenu(this)' onmouseout='hhide(this)'>市场研究与分�?/a> </TD> <TD vAlign=center class=nav_bg align=middle> <a href="/html/.wbdtthydt201312......jrscyj.html" id='menu10' class='white' onmouseover='popmenu(this)' onmouseout='hhide(this)'>金融市场研究</a> </TD> <TD vAlign=center align=middle id="hidden_YanjiuFenxi" style="display:none"> <a href="/html/.wbdtthydt201312......hyzj.html" id='menu11' class='link_yellow' onmouseover='popmenu(this)' onmouseout='hhide(this)'>会员之家</a> </TD> <TD vAlign=center width=5 align=middle></TD> <TD width=182 align=middle> <form id="queryForm" name="queryForm" method="post" action="/solr/nafmii/search_list2.jsp" accept-charset="UTF-8" style="margin:0px;" target="_blank"> <table width="168" border="0" align="center" cellpadding="0" cellspacing="0"> <tr><td width="113"> <input name="actionName" type="hidden" value="submit" /> <input name="searchText" value="请输入关键词" type="text" onfocus="if(this.value=='请输入关键词')this.value=''" onblur="if(this.value=='')this.value='请输入关键词'" autocomplete="off" style="width:110px;color:#335481" /></td><td width="55" align="center"><button style="width:40px;height:20px; background:url(/html/.wbdtthydt201312.......htmlimages/Home_CN/images/search.jpg);border:0px;" alt="搜索" onclick="return validateForm();" /> </td> </tr></table> </form> </TD> </TR> </TBODY> </TABLE> </TD> </TR> <TR> <TD height=5 bgcolor="#FFFFFF"></TD> </TR> </TBODY> </TABLE> <SCRIPT language=javascript> if (mtDropDown.isSupported()) { var ms = new mtDropDownSet(mtDropDown.direction.down, 0, 0, mtDropDown.reference.bottomLeft); var menu1 = ms.addMenu(document.getElementById("menu1")); var count = 11; var menuArray = new Array(); var name; for (var i = 0; i <= count; i++) { name = "menu" + i; menuArray[i] = ms.addMenu(document.getElementById(name)); } menuArray[1].addItem("- 公告", "/html/.wbdtthydt201312.....html/html/.wbdtthydt201312...htmlggtz/gg/"); var subMenu0 = menuArray[1].addMenu(menuArray[1].items[0]); menuArray[1].addItem("- 通知", "../../../ggtz/tz/"); var subMenu0 = menuArray[1].addMenu(menuArray[1].items[1]); menuArray[2].addItem("- 专业委员会委员名�?, "../../../zywyh/wymd/"); var subMenu0 = menuArray[2].addMenu(menuArray[2].items[0]); menuArray[2].addItem("- 专业委员会工作动�?, "../../../zywyh/gzdt/"); var subMenu0 = menuArray[2].addMenu(menuArray[2].items[1]); menuArray[2].addItem("- 债券市场专业委员�?, "../../../zywyh/zqsc/"); var subMenu0 = menuArray[2].addMenu(menuArray[2].items[2]); menuArray[2].addItem("- 金融衍生品专业委员会", "../../../zywyh/jrysp/"); var subMenu0 = menuArray[2].addMenu(menuArray[2].items[3]); menuArray[2].addItem("- 金币市场专业委员�?, "../../../zywyh/jbsc/"); var subMenu0 = menuArray[2].addMenu(menuArray[2].items[4]); menuArray[2].addItem("- 信用评级专业委员�?, "../../../zywyh/xypj/"); var subMenu0 = menuArray[2].addMenu(menuArray[2].items[5]); menuArray[2].addItem("- 经纪业务专业委员�?, "../../../zywyh/jjyw/"); var subMenu0 = menuArray[2].addMenu(menuArray[2].items[6]); menuArray[2].addItem("- 法律专业委员�?, "../../../zywyh/flzywyh/"); var subMenu0 = menuArray[2].addMenu(menuArray[2].items[7]); menuArray[2].addItem("- 会计专业委员�?, "../../../zywyh/kjzywyh/"); var subMenu0 = menuArray[2].addMenu(menuArray[2].items[8]); menuArray[2].addItem("- 资产证券化暨结构化融资专业委员会", "../../../zywyh/jghwyh/"); var subMenu0 = menuArray[2].addMenu(menuArray[2].items[9]); menuArray[2].addItem("- 从业人员培训专家委员�?, "../../../zywyh/crryzj/"); var subMenu0 = menuArray[2].addMenu(menuArray[2].items[10]); menuArray[3].addItem("- 相关法律", "../../../flfg/xgfl/"); var subMenu0 = menuArray[3].addMenu(menuArray[3].items[0]); menuArray[3].addItem("- 人行规章", "../../../flfg/rhgz/"); var subMenu0 = menuArray[3].addMenu(menuArray[3].items[1]); menuArray[3].addItem("- 其他规章", "../../../flfg/qtgz/"); var subMenu0 = menuArray[3].addMenu(menuArray[3].items[2]); menuArray[5].addItem("- 注册通知�?, "../../../dcmfx/tzs/"); var subMenu0 = menuArray[5].addMenu(menuArray[5].items[0]); subMenu0.addItem("- 超短期融资券（SCP�?, "../../../dcmfx/tzs/scp/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[0]); subMenu0.addItem("- 中小企业集合票据（SMECN�?, "../../../dcmfx/tzs/smecn/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[1]); subMenu0.addItem("- 短期融资券（CP�?, "../../../dcmfx/tzs/cp/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[2]); subMenu0.addItem("- 中期票据（MTN�?, "../../../dcmfx/tzs/mtn/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[3]); subMenu0.addItem("- 定向工具（PPN�?, "../../../dcmfx/tzs/ppn/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[4]); subMenu0.addItem("- 资产支持票据（ABN�?, "../../../dcmfx/tzs/zczcpj/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[5]); subMenu0.addItem("- 项目收益票据（PRN�?, "../../../dcmfx/tzs/PRN1/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[6]); subMenu0.addItem("- 债务融资工具（DFI�?, "../../../dcmfx/tzs/dfi/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[7]); subMenu0.addItem("- 绿色债务融资工具（GN�?, "../../../dcmfx/tzs/gn/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[8]); subMenu0.addItem("- 注册额度变更", "../../../dcmfx/tzs/zced/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[9]); menuArray[5].addItem("- 市场监测", "../../../dcmfx/scjc/"); var subMenu0 = menuArray[5].addMenu(menuArray[5].items[1]); menuArray[5].addItem("- 注册工作信息", "../../../dcmfx/zcgzxx/"); var subMenu0 = menuArray[5].addMenu(menuArray[5].items[2]); menuArray[6].addItem("- 债务融资市场自律管理", "../../../zlgl/zwrz/"); var subMenu0 = menuArray[6].addMenu(menuArray[6].items[0]); subMenu0.addItem("- 信息披露", "../../../zlgl/zwrz/xxpl/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[0]); subMenu1.addItem("- 定向工具发行情况公告", "../../../zlgl/zwrz/xxpl/dxgjfx/"); subMenu1.addItem("- 评级报告", "../../../zlgl/zwrz/xxpl/pjbg/"); subMenu1.addItem("- 持有人会�?, "../../../zlgl/zwrz/xxpl/cyrhy/"); subMenu1.addItem("- 其他文章", "../../../zlgl/zwrz/xxpl/qtwz/"); subMenu0.addItem("- 后续管理", "../../../zlgl/zwrz/hxgl/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[1]); subMenu0.addItem("- 自律处分", "../../../zlgl/zwrz/zlcf/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[2]); subMenu0.addItem("- 评级机构资质名单", "../../../zlgl/zwrz/pjjgzzmd/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[1]); menuArray[6].addItem("- 市场交易自律管理", "../../../zlgl/scjy/"); var subMenu0 = menuArray[6].addMenu(menuArray[6].items[1]); subMenu0.addItem("- 协议备案名单", "../../../zlgl/scjy/xymd/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[0]); subMenu0.addItem("- 交易商资质名�?, "../../../zlgl/scjy/jyszz/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[1]); subMenu0.addItem("- 做市商评�?, "../../../zlgl/scjy/zsspj/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[2]); subMenu1.addItem("- 情况通报", "../../../zlgl/scjy/zsspj/qktb/"); subMenu1.addItem("- 评价情况", "../../../zlgl/scjy/zsspj/pjqk/"); subMenu1.addItem("- 价差情况", "../../../zlgl/scjy/zsspj/jcqk/"); subMenu1.addItem("- 质量情况", "../../../zlgl/scjy/zsspj/zlqk/"); subMenu1.addItem("- 合规情况", "../../../zlgl/scjy/zsspj/hgqk/"); menuArray[6].addItem("- 标准协议文本", "../../../zlgl/bzxy/"); var subMenu0 = menuArray[6].addMenu(menuArray[6].items[2]); subMenu0.addItem("- 金融衍生产品交易主协�?, "../../../zlgl/bzxy/jrys/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[0]); subMenu0.addItem("- 贷款转让交易主协�?, "../../../zlgl/bzxy/dkzr/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[1]); subMenu0.addItem("- 凭证特别版主协议", "../../../zlgl/bzxy/tbpz/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[2]); subMenu0.addItem("- 债券回购交易主协�?, "../../../zlgl/bzxy/zqhgjyzxy/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[3]); menuArray[6].addItem("- 信用风险缓释工具自律管理", "../../../zlgl/xyfx/"); var subMenu0 = menuArray[6].addMenu(menuArray[6].items[3]); subMenu0.addItem("- CRM信息披露", "../../../zlgl/xyfx/xxpl/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[0]); subMenu1.addItem("- CRMA信息披露", "../../../zlgl/xyfx/xxpl/xxpl/"); subMenu1.addItem("- CRMW创设登记通知�?, "../../../zlgl/xyfx/xxpl/crmwcsdj/"); subMenu1.addItem("- CRMW信息披露", "../../../zlgl/xyfx/xxpl/crmwxxpl/"); subMenu0.addItem("- CRM新闻", "../../../zlgl/xyfx/xw/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[1]); subMenu0.addItem("- CRM业务规则", "../../../zlgl/xyfx/ywgz/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[2]); subMenu0.addItem("- CRM机构资质", "../../../zlgl/xyfx/jgzz/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[3]); menuArray[7].addItem("- 入会申请", "../../../hygl/rhsq/"); var subMenu0 = menuArray[7].addMenu(menuArray[7].items[0]); menuArray[7].addItem("- 会员分类", "../../../hygl/hyfl/"); var subMenu0 = menuArray[7].addMenu(menuArray[7].items[1]); subMenu0.addItem("- 银行类金融机�?, "../../../hygl/hyfl/yhl/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[0]); subMenu0.addItem("- 非银行类金融机构", "../../../hygl/hyfl/fyhl/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[1]); subMenu0.addItem("- 信用增进机构", "../../../hygl/hyfl/xyzj/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[2]); subMenu0.addItem("- 企业", "../../../hygl/hyfl/qy/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[3]); subMenu0.addItem("- 中介机构", "../../../hygl/hyfl/zjjg/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[4]); subMenu0.addItem("- 其他", "../../../hygl/hyfl/qt/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[5]); menuArray[7].addItem("- 会员动�?, "../../../hygl/hydt/"); var subMenu0 = menuArray[7].addMenu(menuArray[7].items[2]); subMenu0.addItem("- 欢迎新会�?, "../../../hygl/hydt/hyxhy/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[0]); subMenu0.addItem("- 会员信息变更", "../../../hygl/hydt/xxbg/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[1]); subMenu0.addItem("- 会员资格变更", "../../../hygl/hydt/zgbg/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[2]); subMenu1.addItem("- 已退会机构名�?, "../../../hygl/hydt/zgbg/yth/"); subMenu0.addItem("- 会员成就", "../../../hygl/hydt/hycj/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[3]); subMenu0.addItem("- 会员之声", "../../../hygl/hydt/hyzs/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[4]); menuArray[7].addItem("- 会员管理", "../../../hygl/hygl/"); var subMenu0 = menuArray[7].addMenu(menuArray[7].items[3]); subMenu0.addItem("- 会员评价", "../../../hygl/hygl/hypj/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[0]); subMenu1.addItem("- 通知与通报", "../../../hygl/hygl/hypj/tztb/"); subMenu0.addItem("- 承销业务相关会员名单", "../../../hygl/hygl/cxhy/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[1]); menuArray[7].addItem("- 会员服务", "../../../hygl/hyfw/"); var subMenu0 = menuArray[7].addMenu(menuArray[7].items[4]); subMenu0.addItem("- 投资人服�?, "../../../hygl/hyfw/tzrfw/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[0]); subMenu0.addItem("- 发行人服�?, "../../../hygl/hyfw/fxrfw/"); var subMenu1 = subMenu0.addMenu(subMenu0.items[1]); menuArray[7].addItem("- 会员信息管理系统", "../../../hygl/glxt/"); var subMenu0 = menuArray[7].addMenu(menuArray[7].items[5]); menuArray[8].addItem("- NAFMII论坛", "../../../ywpx/lunt/"); var subMenu0 = menuArray[8].addMenu(menuArray[8].items[0]); menuArray[8].addItem("- 培训通知", "../../../ywpx/pxtz/"); var subMenu0 = menuArray[8].addMenu(menuArray[8].items[1]); menuArray[8].addItem("- 在线报名", "http://peixun.www.syfhwj.com/txnT21AAA.do"); var subMenu0 = menuArray[8].addMenu(menuArray[8].items[2]); menuArray[8].addItem("- 培训教材", "../../../ywpx/pxjc/"); var subMenu0 = menuArray[8].addMenu(menuArray[8].items[3]); menuArray[8].addItem("- 成绩查询", "../../../ywpx/cjcx/"); var subMenu0 = menuArray[8].addMenu(menuArray[8].items[4]); menuArray[8].addItem("- 交流园地", "../../../ywpx/jlyd/"); var subMenu0 = menuArray[8].addMenu(menuArray[8].items[5]); menuArray[8].addItem("- 学员风采", "../../../ywpx/xyfc/"); var subMenu0 = menuArray[8].addMenu(menuArray[8].items[6]); menuArray[9].addItem("- 定价估�?, "../../../scyjfx/djgz_web/"); var subMenu0 = menuArray[9].addMenu(menuArray[9].items[0]); menuArray[11].addItem("- 信息与通知", "../../../hyzj/xxytz/"); var subMenu0 = menuArray[11].addMenu(menuArray[11].items[0]); menuArray[11].addItem("- 《金融市场研究》期�?, "../../../hyzj/jrscyj/"); var subMenu0 = menuArray[11].addMenu(menuArray[11].items[1]); menuArray[11].addItem("- 在线交流", "../../../hyzj/zxjl/"); var subMenu0 = menuArray[11].addMenu(menuArray[11].items[2]); mtDropDown.renderAll(); } init(); </SCRIPT> <table width="980" align="center" border="0" cellpadding="0" cellspacing="0"> <tr> <td width="98%" height="231" align="center" valign="top"> <table width="100%" border="0" cellspacing="0" cellpadding="0" style="margin-bottom:8px; line-height:30px;"> <tr> <td align="left"><font style="font-size:12px;">您目前所在位置：</font> <a href="../../../" class='word CurrChnlCls'>首页</a>><a href="../../" class='word CurrChnlCls'>外部相关动�?/a>><a href="../" class='word CurrChnlCls'>同类协会动�?/a>><font color="#FF0000" style="font-size:12px">正文</font> </td> </tr> <tr> <td bgcolor="#335481" height="2"></td> </tr> </table> <table width="93%" height border="1" align="center" cellpadding="15" cellspacing="0" class="blue_border"> <tr> <td><table width=100%><tr><td align="left"> <div class=TRS_Editor><DIV class='TRS_Editor'><style id=_Custom_V6_Style_> /*.TRS_Editor TABLE{font-family:汉仪大宋简;font-size:14px;} .TRS_Editor{font-family:汉仪大宋简;font-size:14px;} .TRS_Editor P{font-family:汉仪大宋简;font-size:14px;margin-top:1em;margin-bottom:1em;line-height:2;text-indent:28px;} .TRS_Editor H1,.TRS_Editor H2,.TRS_Editor H3,.TRS_Editor H4,.TRS_Editor H5,.TRS_Editor H6,.TRS_Editor HR,.TRS_Editor BLOCKQUOTE,.TRS_Editor DL,.TRS_Editor DD,.TRS_Editor DT,.TRS_Editor OL,.TRS_Editor UL,.TRS_Editor LI,.TRS_Editor PRE,.TRS_Editor CODE,.TRS_Editor TEXTAREA,.TRS_Editor SELECT,.TRS_Editor CITE,.TRS_Editor PRE,.TRS_Editor CENTER,.TRS_Editor TABLE,.TRS_Editor DIV{margin-top:1em;margin-bottom:1em;line-height:2;text-indent:28px;} .TRS_Editor FORM,.TRS_Editor FIELDSET,.TRS_Editor LEGEND,.TRS_Editor SELECT,.TRS_Editor TR,.TRS_Editor TD,.TRS_Editor TH{margin-top:1em;margin-bottom:1em;line-height:2;} .TRS_Editor BUTTON,.TRS_Editor OPTION,.TRS_Editor ADDRESS,.TRS_Editor DFN,.TRS_Editor EM,.TRS_Editor VAR,.TRS_Editor KBD,.TRS_Editor INPUT,.TRS_Editor SMALL,.TRS_Editor SAMP,.TRS_Editor SUB,.TRS_Editor SUP,.TRS_Editor SPAN,.TRS_Editor A,.TRS_Editor B,.TRS_Editor I,.TRS_Editor U,.TRS_Editor S,.TRS_Editor STRONG,.TRS_Editor LABEL,.TRS_Editor IMG,.TRS_Editor BR,.TRS_Editor FONT{margin-top:0;margin-bottom:0;}*/ </style> <style type="text/css"> </style> <div class="Section1" style="layout-grid: 15.6pt none"> <p align="center" class="MsoNormal" style="text-align: center; text-indent: 36pt"><span style="font-family: 黑体; font-size: 18pt"><font style="line-height: 200%">期货公司执行金融期货投资者适当性制度管理规则（修订�?/font></span></p> <p align="center" class="MsoNormal" style="text-align: center; text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">2013</span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">�?span lang="EN-US" style="line-height: 200%">09</span>�?span lang="EN-US" style="line-height: 200%">04</span>�?/span></font></p> <p class="MsoNormal"><span lang="EN-US" style="font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%"> </font></span></p> <p class="MsoNormal"><span style="font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%">各会员单�?span lang="EN-US" style="line-height: 200%"> : </span></font></span></p> <p class="MsoNormal" style="text-indent: 30pt"><span style="font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%">为了配合国债期货上市，与证监会新修订的《关于建立金融期货投资者适当性制度的规定》相衔接，协会修改了《期货公司执行股指期货投资者适当性制度管理规则（试行）》。该《管理规则�?已于<span lang="EN-US" style="line-height: 200%"> 8 </span>�?span lang="EN-US" style="line-height: 200%"> 12 </span>日经协会第三届理事会第十�?次会议审议通过�?现予发布，自发布之日起施行�?</font></span></p> <p align="right" class="MsoNormal" style="text-align: right; text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">特此通知�?</span></font></p> <p align="right" class="MsoNormal" style="text-align: right; text-indent: 30pt"><span lang="EN-US" style="font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%"> </font></span></p> <p align="right" class="MsoNormal" style="text-align: right; text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">二○ 一�?�?�?�?三日<span lang="EN-US" style="line-height: 200%"> </span></span></font></p> <p class="MsoNormal"><span lang="EN-US" style="font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%"> </font></span></p> <p class="MsoNormal"><span style="font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%">（�?期货公司执行金融期货投资者适当性制度管理规则（修订）》于<span lang="EN-US" style="line-height: 200%"> 2010</span>�?span lang="EN-US" style="line-height: 200%">2</span>�?span lang="EN-US" style="line-height: 200%">9</span>日发布实施，<span lang="EN-US" style="line-height: 200%">2013</span>�?span lang="EN-US" style="line-height: 200%">8</span>�?span lang="EN-US" style="line-height: 200%">12</span>日经协会第三届理事会第十五次会议修订�?/font></span></p> <p class="MsoNormal" style="text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">第一�?span lang="EN-US" style="line-height: 200%"> </span>为维护金融期货市场平稳、规范和健康运行，督促期货公司会员单位（以下简称会员单位）严格执行金融期货投资者适当性制度，切实保护投资者合法权益，根据《关于建立金融期货投资者适当性制度的规定》，以及《中国期货业协会章程》的规定，制定本规则�?</span></font></p> <p class="MsoNormal" style="text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">第二�?span lang="EN-US" style="line-height: 200%"> </span>会员单位应按照中国证监会和中国金融期货交易所的有关规定，遵循将适当的产品销售给适当的投资者的核心原则，建立健全内控合规制度，严格执行投资者适当性制度�?</span></font></p> <p class="MsoNormal" style="text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">第三�?span lang="EN-US" style="line-height: 200%"> </span>会员单位应当建立以了解客户和分类管理为核心的客户管理和服务制度，将金融期货投资者适当性制度贯穿于开户流程管理的各个环节，理性选择客户，不得为不符合投资者适当性标准的投资者申请金融期货交易编码�?</span></font></p> <p class="MsoNormal" style="text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">第四�?span lang="EN-US" style="line-height: 200%"> </span>会员单位在开户时，应当向投资者充分揭示金融期货风险，全面客观介绍金融期货法律法规、业务规则和产品特征，测试投资者的金融期货基础知识，认真审核投资者开户申请材料，审慎评估投资者的诚信状况和风险承受能力。不得协助投资者采取虚假申报等手段规避投资者适当性标准要求�?</span></font></p> <p class="MsoNormal" style="text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">第五�?span lang="EN-US" style="line-height: 200%"> </span>会员单位应当完善期货经纪业务管理，加强对投资者交易行为的合法合规性管理，督促投资者遵守与金融期货交易相关的法律、法规、部门规章及中国金融期货交易所业务规则，持续开展投资者风险教育�?</span></font></p> <p class="MsoNormal" style="text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">第六�?span lang="EN-US" style="line-height: 200%"> </span>会员单位应当建立并有效执行客户开发责任追究制度，明确客户开发人员、审核人员、服务人员、相关部门负责人、公司高级管理人员等相关期货从业人员的责任�?</span></font></p> <p class="MsoNormal" style="text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">第七�?span lang="EN-US" style="line-height: 200%"> </span>会员单位应当要求本单位从业人员自觉遵守期货从业人员行为准则，严格执行投资者适当性制度�?</span></font></p> <p class="MsoNormal" style="text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">第八�?span lang="EN-US" style="line-height: 200%"> </span>会员单位应当完善客户纠纷处理机制，为投资者提供合理的投诉渠道，告知投诉的途径、方法和程序，妥善处理纠纷�?</span></font></p> <p class="MsoNormal" style="text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">会员单位应当督促投资者遵守法律法规的相关规定，通过正当途径维护自身合法权益，不得侵害国家利益及他人的合法权益，不得扰乱社会公共秩序�?</span></font></p> <p class="MsoNormal" style="text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">第九�?span lang="EN-US" style="line-height: 200%"> </span>对违反本规则的会员单位，经告诫仍不改正的，协会将视其情节轻重予以以下纪律惩戒�?</span></font></p> <p class="MsoNormal" style="text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">（一）批评； </span></font></p> <p class="MsoNormal" style="text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">（二）协会内通报批评�?</span></font></p> <p class="MsoNormal" style="text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">（三）通过媒体公开谴责�?</span></font></p> <p class="MsoNormal" style="text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">（四）取消会员资格并公告�?</span></font></p> <p class="MsoNormal" style="text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">对于相关违规期货从业人员，协会将根据情节轻重给予相应的纪律惩戒�?</span></font></p> <p class="MsoNormal" style="text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">第十�?span lang="EN-US" style="line-height: 200%"> </span>本规则由中国期货业协会负责解释�?</span></font></p> <p class="MsoNormal" style="text-indent: 30pt"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt"> </span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">第十一�?span lang="EN-US" style="line-height: 200%"> </span>本规则自<span lang="EN-US" style="line-height: 200%">2013</span>�?span lang="EN-US" style="line-height: 200%">9</span>�?span lang="EN-US" style="line-height: 200%">3</span>日起施行�?</span></font></p> <p class="MsoNormal"><span lang="EN-US"><font style="line-height: 200%"> </font></span></p> <p class="MsoNormal"><span lang="EN-US"><font style="line-height: 200%"> </font></span></p> <p class="MsoNormal"><span lang="EN-US"><font style="line-height: 200%"> </font></span></p> <p class="MsoNormal"><span lang="EN-US"><font style="line-height: 200%"> </font></span></p> <p align="right" class="MsoNormal" style="text-align: right"><font style="line-height: 200%"><span lang="EN-US" style="line-height: 200%; font-size: 15pt"> </span><span lang="EN-US" style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">(</span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">来源：中国期货业协会网站<span lang="EN-US" style="line-height: 200%">)</span></span></font></p> <p class="MsoNormal"><span lang="EN-US"><font style="line-height: 200%"> </font></span></p> </div> </DIV></div> </td></tr> <tr><td height="25" valign="top" align="left"> </td></tr> <tr style="display:none;" id="pdfShow" align="center"> <td height="600"> <div id="flashObjId"></div> </td></tr> </table> </td> </tr> </table> </td> </tr> </table> <table width="1001" border="0" align="center" cellpadding="0" cellspacing="0"> <tr> <td height="5"></td> </tr> <tr> <td height="3" bgcolor="#203E98"></td> </tr> <tr> <td height="35" align="center" valign="bottom"><a href="/html/.wbdtthydt201312......fzlmrczp.html" target="_blank" class=gray>人才招聘</a> <SPAN class=font_wh>　|　</SPAN> <a href="/html/.wbdtthydt201312......fzlmGYWM201202t20120227_4278.html" arget="_blank" class="gray">关于我们</a> <SPAN class=font_wh>　|　</SPAN> <a href="/html/.wbdtthydt201312......fzlmLXWM201202t20120227_4286.html" arget="_blank" class="gray">联系我们</a> <SPAN class=font_wh>　|　</SPAN> <a href="/html/.wbdtthydt201312......fzlmWZDH.html" target="_blank" class=gray>网站导航</a> <SPAN class=font_wh>　|　</SPAN> <a href="/html/.wbdtthydt201312......fzlmyhbz201202t20120227_4289.html" arget="_blank" class="gray">用户帮助</a> </td> </tr> <tr> <td height="20" align="center"><span style="font-size:12px">京ICP�?8009794�?/span></td> </tr> <tr> <td height="20" align="center"><span style="font-size:12px">中国银行间市场交易商协会所有未经允许请勿转�?2007 </span></td> </tr> </table> <div style="display:none"> </div> <div style="display:none"> <noscript><p><img src="https://neilshang.cn/piwik/piwik.php?idsite=1&rec=1" style="border:0" alt /></p></noscript> </div> <script type="text/javascript" src="/tongji.js"></script></body> </html>