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外资参股证券公司的设立规则
　　颁布单位：中国证券监督管理委员会
　　Article 1 These Rules are formulated in accordance with the relevant provisions of the Company Law and the Securities Law in order to meet the needs of the opening up of the securities market to foreign investment， to strengthen and improve the oversight of securities companies with foreign equity participation and to clarify the conditions and procedures for the establishment of securities companies with foreign equity participation.
　　Article 2 For the purposes of these Rules， &securities companies with foreign equity participation& includes domestic securities companies that have changed as a result of equity therein being assigned to or subscribed for by overseas shareholders as well as securities companies that have been jointly invested in and established by overseas and domestic shareholders.
　　Article 3 The China Securities Regulatory Commission （CSRC） is in charge of the examination， approval and oversight of securities companies with foreign equity participation.
　　Article 4 The form of organization of securities companies with foreign equity participation shall be the limited liability company.
　　The names and registered capital of securities companies with foreign equity participation， as well as the establishment and duties of the elements of their organizational structures， shall comply with the Company Law， the Securities Law and the relevant provisions of the CSRC.
　　Article 5 Securities companies with foreign equity participation may engage in the following business：
　　1. distribution of shares （including ordinary shares denominated in Renminbi and foreign investment shares） and bonds （including government bonds and corporate bonds）；
　　2. brokerage of foreign investment shares；
　　3. brokerage of， and dealing for own account in， bonds （including government bonds and corporate bonds）； and
　　4. other business approved by the CSRC.
　　For the purposes of the preceding paragraph， &foreign investment shares& includes foreign investment shares listed in China （B-shares） and foreign investment shares listed abroad.
　　Securities companies shall submit applications concerning their scope of business to the CSRC in accordance with the first paragraph of this article. Securities companies that engage in the business of acting as lead distributors of shares shall obtain lead share distributor qualifications in accordance with the provisions of the CSRC on the administration of the qualifications of securities companies to act as lead distributors of shares.
　　Article 6 A securities company with foreign equity participation shall satisfy the following conditions：
　　1. it has registered capital complying with the provisions of the Securities Law on the registered capital of comprehensive securities companies；
　　2. its shareholders have the qualifications specified herein and their capital contribution ratios and methods of contribution comply with the provisions hereof；
　　3. it has no less than 50 persons who have obtained qualifications to engage in securities business in accordance with the provisions of the CSRC and it has the necessary accounting， legal and computer professionals；
　　4. it has sound mechanisms for internal management and risk control； a sound mechanism for separate administration of its distribution business， brokerage business， business for own account， etc. in terms of organization， personnel， information， business execution， etc.； and appropriate internal control technology systems；
　　5. it has business premises that satisfy requirements and trading facilities that are up to standard； and
　　6. other prudential conditions specified by the CSRC.
　　Article 7 An overseas shareholder of a securities company with foreign equity participation shall satisfy the following conditions：
　　1. the country in which it is located has sound securities laws and regulatory systems， and such country's securities regulator has entered into a memorandum of understanding with the CSRC concerning cooperation in the regulation of the securities sector and maintains an effective regulatory cooperation relationship with the CSRC；
　　2. it is legally qualified to carry on securities business in the country in which it is located， has carried on financial business for not less than 10 years and has not been subjected to serious penalties by its securities regulator or a judicial authority during the past three years；
　　3. all of its risk control indicators for the past three years conform to the requirements of the laws and the requirements of the securities regulator of the country in which it is located；
　　4. it has sound internal control regulations；
　　5. it has a good reputation， and achieved good operating results， in the international securities market； and
　　6. other prudential conditions specified by the CSRC.
　　Article 8 A domestic shareholder of a securities company with foreign equity participation shall satisfy the CSRC's qualification conditions for securities company shareholders.
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贴数:1&分页:Dances with wolves发信人: leifu (Dances with wolves), 信区: Career_Investment
标&&题: Re: 请问外资券商的trader和dealer有何区别？
发信站: 水木社区 (Sun Jun&&3 16:16:35 2007), 站内 && 正统的dealer主要指market maker, 为市场提供流动性 赚bid ask 没有position的
trader包含dealer 还包括proprietaryde trader, 通过take position来挣钱 也就是操盘的
但是现实是dealer也要一些take position && 【 在 drizzlewy (追追) 的大作中提到: 】
&&&& -- && ※ 来源:·水木社区 newsmth.net·[FROM: 86.142.31.*]
文章数:1&分页:中外券商人才竞争力对比_百度文库
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