Trading system is fully specified where the Shanghai Stock Exchange investors in securities transactions should be clearly specified in advance as a securities business department commission, transaction clearing agency, and I belong to the specified securities account subordinate to the number of seats only after the transaction system.
Shanghai Stock Exchange trading system for a comprehensive Interim Measures for the specified
Chapter I General Provisions
The first is improving the Shanghai Stock Exchange (hereinafter referred to as) the market trading system, in accordance with relevant laws and regulations and the business rules of the market, development of this approach.
Participate in the second market where the securities business, investors should follow this approach.
The term registered the third company, the Shanghai Securities Central Depository and Clearing Corporation and its agents.
The term securities business department, based upon the right to belong to the members approved the establishment of the securities business department of the Ministry (the Department);
The term securities accounts, in accordance with national regulations for the trading of securities may be institutions and individuals registered in the name of the company in its open for registered securities (including listed equities, listed funds, listed securities and other relevant book-entry warrants) account transfer transactions; (analysis of the real purpose of the mainstream funds, found that the best opportunities for profit!)
The term seat number, for the securities business department shall obtain and are trading in the securities market: trading, clearing, depository securities transactions bearer number of seats (including the inside of the seat, the seat of the remote communication stations, and The interconnection of the securities trading center around the seats, the hall of the seat to allow the establishment of off-site and off-site offer port, etc.):
The term fully specified transaction means any transaction in the market for dealing in securities by the investors, should be clearly specified in advance as a securities business department commissioned the trading, clearing agency, and to specify the securities account to which I belong number of seats in the institution belongs, can the trading system to trade. After the implementation of this approach. If you do not specify the transactions for investors, the trading system of the computer will automatically refuse to declare their securities trading account instructions.
Chapter II and the full effect for the specified transaction
Article investors for specified transactions, you must _select_ a securities trading business department of an agency designated by the institution of the computerized trading system to the securities account of the specific transaction reporting instructions (return code: 799999); by the Securities Business Department approval is granted, is also available through the sales department of computer self-reporting system (telephone commission) to complete their own orders designated securities account reporting.
Article _select_ed transactions reported upon confirmation of the trading system of the computer that is effective. The same day after the close of the transaction data through the system has confirmed that the specified entry into force of the relevant transaction data sent to the securities business departments.
Chapter comprehensive changes and revocation of specified transactions
Article investors subject to designated trading, may be assigned as needed respective securities trading business department to change.
Article VII for the specified changes in the securities business department affiliated transactions, investors are required to specify the transaction belongs to the original securities trading business department of the application for revocation specified by the security company to complete the computerized trading system to the revocation of the order specified transactions Daily News (Daily News Code: 799998).
Article VIII revoked the specified transaction mid-year report upon the of the computer system recognized the specified transaction revoked with immediate effect, the Institute on the same day after market close by transaction data transmission system has been revoked specified transaction data sent to the relevant securities business departments.
Article IX of the investors to change the specified transaction, the transaction specified in the revocation procedures completed, must be the way to the provisions of Chapter II of choosing a security company to re-apply for the specified transaction.
Chapter IV report the loss of securities and securities transfer account
Article investors for specified transactions, the securities account accidentally lost, should first specify the trading of its securities business of missing false, report the loss to investors is not completed, transfer and other procedures, the monitoring by the securities business departments of securities reported missing account to prevent others from despair with the securities account trading in the securities business department registered securities.
Article XI investors to register the company reported the loss, retroactive transfer of such securities accounts and securities clearance, subject to designated trading belongs to the original proof of its non-securities business department to _set_tle the Transaction and other acts of default, can only be handled according to regulations.
Chapter responsibilities of the securities business department
Article XII of implementation of these measures, the securities business department shall be under the overall guidance of the investors in the correct way to handle the specific transaction and change (cancellation, re-designated) procedures specified transactions.
Article XIII securities business department is required to keep comprehensive data in the specified securities account transactions, and take effective measures to prevent the operation designated by the Ministry of investors trading securities account from unauthorized personnel.
Article XIV of the securities business department shall specify the trading investors to establish the necessary transactional database (basic contents should include the securities account number, holder name, transaction date, transaction number, transaction number of seats, number of transactions, this balance of securities transactions, transaction time, transaction price, buy / sell, etc.) and provide investors with transactions for the specified transaction inquiries.
Article XV shall specify the securities trading business department automatically receive registered securities investors for cash dividends (including interest, bond interest, principal and interest of bonds, etc.) business. Where the computer system through the distribution of the cash dividends, the securities business department received the funds to pay after the stroke, he shall immediately credited to the appropriate capital funds from investors up_set_ households.
Article XVI securities business department shall specify the trading registered securities provide investors with the balance of securities account reconciliation services, reconciliation services, measures for implementation by the securities business departments own.
Article XVII securities trading business department should be designated placement agency contributions for business investors, who run the business, to be entered into the agreement with investors in order to clear the rights and responsibilities of both agents, the specific content agreed upon by the agency between the parties.
Article XVIII to safeguard the legitimate rights and interests of investors, the securities business department there are any investors in the specified transaction and the transaction data to be confidential, and shall comply with the following:
Investors are not allowed to use registered securities traded securities accounts;
Not allowed to be investors in the securities account to be designated or revocation of a designation;
And the occupier shall not delay the allocation of cash dividends and other financial investors;
Any reason for investors to delay or refuse to revoke the specified transaction applications (unless the failure to fulfill its _set_tlement obligations and other trading violations.)
Chapter VI of _select_ed transactions and changes Unicom number of seats
Article XIX has two or more seats in the securities trading business department must apply in advance their respective number of seats Unicom transaction formalities in order to not function properly due to a seat on the transaction, investors can specify the transaction in the securities business department The other seats for normal transactions.
Diershitiao Ministry of securities business transactions of any change seats Spirit, one of the following provisions shall apply:
1. Promptly notify the investors procedures for revocation specified in the transaction;
2. To change the seat of the application will be designated trading securities trading account to be specified complete withdrawal, but must notify the investor concerned;
3. To change the seat of the application will be fully transferred to designated trading securities account to be specified in another seat.
A securities business department of China Unicom variable number of seats spirit required to make the appropriate changes to the application.
Twenty-two securities business department must apply to be on the formalities related to changes in the confirmation only after the seats to stop using the relevant transaction.
Chapter VII of the responsibility and punishment
Twenty-three investor fails to specify these rules for trade procedures, the resulting consequences of the transaction can not be borne by the investors themselves.
Twenty-four investors using, without authorization bearer securities trading account securities, shall be punished, and bear corresponding civil or criminal liability.
Twenty-five securities business department violation of the provisions of Article XV, Article XVIII, in addition to bear the corresponding legal responsibility, which will depend on the severity of his condition be warned, suspended trading penalties.
Chapter VIII Supplementary Provisions
Twenty-six of the measures by the responsible interpretation.
Twenty-seventh of this approach, if any outstanding issues, the Institute will promptly be amended to add.
Twenty-eighth of this approach in the March 2, 1998 from the trial, "the Shanghai Stock Exchange trading system specified in the pilot scheme" shall be repealed simultaneously. |
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