Securities proprietary business
The meaning and characteristics of securities proprietary business
The meaning of securities proprietary business
Characteristics of securities proprietary business
Securities company securities proprietary business management
Decision-making and authorization of securities proprietary business
Operation management of securities proprietary business
Risk supervision of securities proprietary business
Prohibited Behaviors in Securities Proprietary Business
Insider trading prohibited
Other prohibited behaviors
Supervision and legal responsibilities of securities proprietary business
Supervisory Measures for Securities Proprietary Business
Asset management business
The meaning, types and business qualifications of asset management business
The meaning and types of asset management business
Asset management business qualifications
Basic requirements for asset management business
Basic principles of asset management business management
General regulations for securities companies handling asset management business
Targeted asset management business
Basic principles of targeted asset management business
Basic specifications for targeted asset management business operations
Targeted Asset Management Contract
Rights and obligations of securities held by clients in targeted asset management business
Internal control of targeted asset management business
Collective asset management business
Basic specifications for collective asset management business operations
Filing and approval procedures for establishing collective asset management plans
Collective Asset Management Plan Instructions
Collective asset management contract
Rights and obligations of securities companies and customers in collective asset management business
Prohibited Behaviors and Risk Control of Asset Management Business
Behaviors prohibited by securities companies when conducting asset management business
Risks and Control of Asset Management Business
Regulatory and legal responsibilities for asset management businesses
Supervisory responsibilities
Margin and securities lending business
The meaning and qualification management of margin trading business
The meaning of margin trading business
Qualifications for margin trading and securities lending business
Management of margin trading and securities lending business
Basic principles of margin trading and securities lending business management
Account system for margin trading and securities lending business
Application, credit investigation and selection of margin financing and securities lending business customers
Margin and securities lending business contracts and risk disclosure
Customer account opening, submission of collateral and credit extension
Margin margin trading operations
Margin and collateral management
Information Disclosure and Reporting
Risks and Control of Margin and Securities Lending Business
Risks of securities companies’ margin trading business
Control of margin trading and securities lending business of securities companies
Supervision and legal responsibilities of margin trading and securities lending business
Supervision of margin trading and securities lending business
Refinancing business
The meaning and basic principles of refinancing business
Sources of funds and securities
Supervision and management
bond repurchase transactions
Bond pledged repurchase transaction
The concept of bond pledged repurchase transactions
Stock exchange bond pledged repurchase transactions
Basic principles of pledged repurchase transactions in the national inter-bank bond market
bond buyout repurchase transaction
The meaning and function of bond buyout repurchase transactions
National interbank market buyout repo transactions
Basic principles of outright repurchase transactions on the Shanghai Stock Exchange
Clearing and settlement of bond repurchase transactions
Clearing and settlement of pledged repos on stock exchanges
Clearing and settlement of bond repurchases in the national inter-bank bond market
Clearing and settlement of stock exchange buyout repos
Securities registration and transaction settlement
Securities transaction clearing and settlement
The concept of clearing and settlement
Rolling settlement and accounting day settlement
Principles of Clearing and Settlement
Settlement account management
Opening of settlement account
Settlement account management
Cancellation of settlement account
Securities transaction settlement process
Transaction data reception
Clearing participants organize securities or funds to prepare for settlement
Securities settlement and capital settlement
Settlement participant transfers money back
Delivery default handling
Settlement Risks and Prevention
Concepts and types of securities settlement risks
Preventive Measures for Securities Settlement Risks
my country’s settlement risk prevention and management measures
Brokerage related practices
Stock online issuance
Concepts and types of online distribution
The concept of online distribution
Types of online distribution
Fund Subscription Procedure for Online Stock Issuance
Dividend distribution, allotment of shares and online voting at shareholders’ meetings
Online voting at shareholders’ meeting
Preliminary operations for funds, warrants and convertible bonds
On-market subscription, subscription and redemption of open-end funds
Subscription, trading, subscription and redemption of listed open-end funds
Subscription, trading subscription and redemption of stock exchange-traded open-end index funds (ETFs)
Trading and exercise of warrants
Convertible bonds to shares
Agency for share transfer
Agency for share transfer
Qualification conditions for agency share transfer
Basic rules for agency share transfers
Pilot program for quotation and transfer of shares of unlisted joint-stock companies
An intermediate introduction to futures trading
Securities company intermediary business
Qualification conditions and business scope of securities companies providing intermediary business
Business rules for securities companies to provide intermediary services
Securities brokerage business
Securities Brokerage Business Overview
The meaning of securities brokerage business
Characteristics of securities brokerage business
Establishment of securities brokerage relationship
Operation management of securities brokerage business
Securities entrustment trading
Investor Education and Suitability Management
Securities investment advisory services
Marketing management of securities brokerage business
Main contents of securities brokerage business marketing
Securities Brokerage Business Marketing Practice
Supervision and management of securities brokerage business marketing
Risks of securities brokerage business and their prevention
Main Risks of Securities Brokerage Business
Prevention of Risks in Securities Brokerage Business
Regulation and legal responsibilities of securities brokerage business
General requirements for supervision of securities brokerage business
Prohibited acts in securities brokerage business
Regulatory Measures for Securities Brokerage Business
Special transaction matters and their supervision
Special trading rules and trading matters
special deal
Special treatment for stock transactions
special transaction matters
Comprehensive electronic platform for fixed income securities
Supervision and management of transaction information and transaction behavior
Transaction behavior supervision
Qualified foreign institutional investor securities trading management
Securities trading procedures
Overview of Securities Trading Procedures
Securities accounts and securities custody
Securities account management
Custody and depository of securities
Entrusted buying and selling
Entrustment acceptance, execution and entrustment revocation
Bidding and transaction
Valid declaration price range during bidding declaration
Transaction settlement
Securities clearing and settlement between securities companies and customers
Fund clearing and settlement between securities companies and customers
Securities Trading Overview
Concepts, basic elements and trading mechanisms of securities trading
Concepts and principles of securities trading
Basic elements of securities trading
Types of securities transactions
How securities are traded
Securities registration and clearing institutions and their functions
securities trading mechanism
Membership, Seats and Trading Units of Stock Exchanges
Trading seats and trading units
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