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证券自营

网络Self-operation of securities

证券自营

证券自营

证券自营

Self-operation of securities

《中华人民共和国证券... ... （五）证券自营； Self-operation of securities; （六）证券资产管理； Securities asset managemen…

1

When a securities firm is engaged in self-run business , it should use self-run securities accounts with its true name.

第四十二条证券公司从事证券自营业务，应当使用实名证券自营账户。

2

if the circumstances are serious , its permit for engaging in the securities business for its own account shall be revoked .

情节严重的，暂停或者撤销证券自营业务许可。

3

the audit of the finance and business of the stock exchange its members , securities brokers, and securities dealers .

五本证券交易所、会员或证券经纪商、证券自营商财务业务之查核。

4

Securities dealers shall install such equipment at their business premises .

二证券自营商应装置于其营业处所。

6

members, securities brokers and securities dealers fail to settle in time or are unable to settle;

三会员或证券经纪商、证券自营商有逾时交割或交割不能之情事。

7

8

secondly, basic operations of investment bank involve issues, broking and self-support of securities ;

投资银行基础业务包括证券发行业务、证券经纪业务和证券自营业务；

9

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