论文部分内容阅读
证监会发布的《证券期货投资者适当性管理办法》自7月1日起开始施行,证券业、期货业和基金业也已经根据该办法先后发布了配套实施指引,这是一次监管机构组织的、旨在保护投资者和证券期货行业双方利益的统一行动。这些管理办法和实施指引总结了以往相对分散的投资者适当性制度的经验和不足,对于改善投资者适当性管理和保护投资者合法权益具有积极意义。投资者适当性制度的完善,离不开经济新常态下我国金融结构再调整这一
The Measures for the Administration of Securities Futures Investors’ Appropriateness promulgated by the CSRC have been implemented since July 1, and the securities industry, futures industry and fund industry have already issued supporting implementation guidelines according to the measures. This is a regulatory framework organized by the regulatory agencies , A concerted effort to protect the interests of both investors and the securities and futures industry. These management measures and implementation guidelines sum up the experience and deficiencies of the relatively decentralized system of investor suitability in the past and are of positive significance for improving the proper management of investors and protecting the legitimate rights and interests of investors. The perfection of the investor suitability system can not be separated from the adjustment of China’s financial structure under the new economic normal