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各证券监管办公室、办事处、特派员办事处:1999年度全国期货经纪公司年检工作已基本结束。参加1999年度年检的227家公司中有175家通过年检;35家不予通过年检,停业整顿;14家不予通过年检,取消经纪业务资格(其余公司拟特别处理,另行发文)。为区分情况,做好期货经纪公司监管工作,现将有关事项通知如下:一、对于通过年检的期货经纪公司,各地派出机构收取辖区内公司《期货经纪业务许可证》正、副本,统一到中国证监会加盖年检标识。各派出机构要针对年检中发现的问题,进
Securities Regulatory Offices, Offices and Special Representative Offices: The annual inspection of the national futures brokerage company in 1999 has been basically completed. 175 of the 227 companies that participated in the annual inspection in 1999 passed the annual inspection; 35 did not pass the annual inspection and closed their businesses for rectification; and 14 failed to pass the annual inspection and were disqualified from brokerage business (the remaining companies are planning to handle the issue separately. In order to differentiate the situation and do a good job in the supervision of the futures brokerage company, the relevant matters are hereby notified as follows: 1. For the futures brokerage companies that passed the annual inspection, the local sending agencies collect positive and duplicate copies of the Company’s “Futures Brokerage Business License” within the jurisdiction and unify them into China Commission stamped annual inspection logo. All agencies should be directed at the problems found in the annual inspection