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各证券监管办公室、办事处、特派员办事处:为了满足市场需求,完善监管服务,杜绝无证经营,防范和化解风险,中国证监会拟对证券营业网点进行清理规范。现将有关事项通知如下:一、清理规范原则(一)申请规范为证券营业部的,应具备以下条件:1、在1998年年底前设立并开业;2、1999年日均股票、基金交易量在500万元以上;3、没有挪用客户交易结算资金,没有违
Securities Regulatory Offices, Offices and Special Representative Offices: In order to meet the market demand, improve regulatory services, eliminate undocumented operations and prevent and resolve risks, the CSRC plans to clean up securities business outlets. The relevant matters are hereby notified as follows: I. Rules for Clearing the Rules (I) The application for regulating the securities business department shall meet the following conditions: 1. Established and opened before the end of 1998; 2. The average daily stock and fund transaction volume in 1999 In 5000000 yuan above; 3, no misappropriation of customer transaction settlement funds, there is no violation