皇冠比分网

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深圳證券交易所創業板投資者適當性管理 實施辦法(2020年修訂)

發布者:發布時間:2020-06-01 瀏覽次數:5508次

SHENZHENZHENGQUANJIAOYISUOCHUANGYEBANTOUZIZHESHIDANGXINGGUANLI

SHISHIBANFA(2020NIANXIUDING)


DIYITIAO WEICUJINCHUANGYEBANGUIFANFAZHAN,YINDAOTOUZIZHESHULIZHENGQUEDETOUZIGUANNIAN,LIXINGCANYUCHUANGYEBANJIAOYI,GENJU《ZHONGHUARENMINGONGHEGUOZHENGQUANFA》《ZHENGQUANQIHUOTOUZIZHESHIDANGXINGGUANLIBANFA》《SHENZHENZHENGQUANJIAOYISUOHUIYUANGUANLIGUIZE》,ZHIDINGBENBANFA。

皇冠比分网 DIERTIAO CHUANGYEBANSHIXINGTOUZIZHESHIDANGXINGGUANLIZHIDU。

TOUZIZHECANYUCHUANGYEBANGUPIAO、CUNTUOPINGZHENGSHENGOU、JIAOYI(YIXIATONGCHENGCHUANGYEBANJIAOYI)DESHIDANGXINGGUANLISHIYONGBENBANFA。BENBANFAWEIZUOGUIDINGDE,SHIYONGBENSUOQITAYOUGUANGUIDING。

皇冠比分网 DISANTIAO HUIYUANYINGDANGQIESHILVXINGSHIDANGXINGGUANLIZHIZE,JIANLIJIANQUANSHIDANGXINGGUANLIDEYEWUZHIDUHECAOZUOLIUCHENG,JIAQIANGXITONGJIANSHEHEYEWURENYUANPEIXUN,CHONGFENLEJIETOUZIZHEXINXI,YOUZHENDUIXINGDEJINXINGFENGXIANJIESHI,YINDAOTOUZIZHEZAICHONGFENLEJIECHUANGYEBANTEXINGDEJICHUSHANGSHENSHENCANYUCHUANGYEBANJIAOYI。

DISITIAO TOUZIZHEYINGDANGCHONGFENZHIXIHELEJIECHUANGYEBANDEFENGXIANSHIXIANG、FALVFAGUIHEBENSUOYEWUGUIZE,KEGUANPINGGUZISHENDEFENGXIANRENZHIHECHENGSHOUNENGLI,SHENSHENJUEDINGSHIFOUCANYUCHUANGYEBANJIAOYI。

皇冠比分网 DIWUTIAO TOUZIZHECANYUCHUANGYEBANJIAOYIYINGDANGFUHEBENBANFAXIANGGUANGUIDING。

GERENTOUZIZHEHUANYINGDANGFUHEXIALIETIAOJIAN:

(YI)SHENQINGQUANXIANKAITONGQIAN20GEJIAOYIRIZHENGQUANZHANGHUJIZIJINZHANGHUNEIDEZICHANRIJUNBUDIYURENMINBI10WANYUAN(BUBAOKUOGAITOUZIZHETONGGUORONGZIRONGQUANRONGRUDEZIJINHEZHENGQUAN);

(ER)CANYUZHENGQUANJIAOYI24GEYUEYISHANG。

皇冠比分网 BENSUOKEYIGENJUSHICHANGQINGKUANGDUIQIANKUANSUOSHUTIAOJIANZUOCHUDIAOZHENG。

DILIUTIAO HUIYUANYINGDANGCHONGFENLEJIETOUZIZHEDEJIBENXINXI、CAIWUZHUANGKUANG、ZHENGQUANTOUZIJINGYAN、JIAOYIXUQIU、FENGXIANPIANHAODENGXIANGGUANXINXI,DUIQIFENGXIANRENZHIYUCHENGSHOUNENGLIJINXINGPINGGU,BINGDUIGERENTOUZIZHESHIFOUFUHETIAOJIANJINXINGHECHA。PINGGUJIEGUOJISHIDANGXINGPIPEIYIJIANYINGDANGGAOZHITOUZIZHE。

皇冠比分网 DIQITIAO PUTONGTOUZIZHESHOUCICANYUCHUANGYEBANJIAOYIDE,HUIYUANYINGDANGYAOQIUQIQIANSHU《CHUANGYEBANTOUZIFENGXIANJIESHISHU》。

《CHUANGYEBANTOUZIFENGXIANJIESHISHU》KEYIYIZHIMIANHUODIANZIFANGSHIQIANSHU。

DIBATIAO HUIYUANYINGDANGTONGGUOYANGEDENEIBUZHIDUJIXITONGQIANDUANKONGZHIDENGSHOUDUAN,QUEBAOCANYUCHUANGYEBANJIAOYIDETOUZIZHEFUHESHIDANGXINGGUANLIYAOQIU。

DIJIUTIAO TOUZIZHEBUPEIHESHIDANGXINGGUANLITIGONGXIANGGUANXINXI,TIGONGXINXIBUZHENSHI、BUZHUNQUE、BUWANZHENGDE,HUIYUANYINGDANGGAOZHIQIHOUGUO,BINGJUJUEWEIQIKAITONGCHUANGYEBANJIAOYIQUANXIAN。

皇冠比分网 DISHITIAO HUIYUANYINGDANGDONGTAIGENZONGHECHIXULEJIETOUZIZHEJIAOYIQINGKUANG,ZHISHAOMEILIANGNIANJINXINGYICIFENGXIANCHENGSHOUNENGLIDEHOUXUPINGGU。

皇冠比分网 HUIYUANRENWEITOUZIZHEXINXIYIMINGXIANBUZHUNQUEDE,YINGDANGJISHIDUCUQIGENGXIN。

皇冠比分网 DISHIYITIAO HUIYUANYINGDANGTUOSHANBAOGUANTOUZIZHESHIDANGXINGGUANLIDEQUANBUJILU,BINGYIFADUITOUZIZHEXINXICHENGDANBAOMIYIWU。

皇冠比分网 DISHIERTIAO HUIYUANYINGDANGCAIQUDUOZHONGYOUXIAOFANGSHIHETUJING,JISHIXIANGTOUZIZHEFABUBENSUOYOUGUANCHUANGYEBANDEFENGXIANTISHIXINXI,CHIXUTIXINGQIGUANZHUSHICHANGBIANHUA、JIAOYIHETOUZIFENGXIAN。

DISHISANTIAO HUIYUANYINGDANGJIANLIJIANQUANCHUANGYEBANTOUZIZHEJIAOYUGONGZUOJIZHI,JIEHECHUANGYEBANTEDIAN,CONGZHIDU、ZUZHI、RENYUAN、LIUCHENG、JINGFEIDENGFANGMIANBAOZHANGTOUZIZHEJIAOYUGONGZUODEYOUXUKAIZHAN,FENGFUTOUZIZHEJIAOYUDENEIRONGHEXINGSHI,BINGTONGGUODUOZHONGQUDAOXIANGTOUZIZHEGAOZHISHIDANGXINGGUANLIDEJUTIYAOQIU,ZUOHAOJIESHIHEXUANCHUANGONGZUO。

皇冠比分网 DISHISITIAO HUIYUANHUOXIANGGUANRENYUANWEIFANBENBANFADE,BENSUOJIANGYIJU《SHENZHENZHENGQUANJIAOYISUOHUIYUANGUANLIGUIZE》DENGYOUGUANYEWUGUIZE,CAIQUZILVJIANGUANCUOSHIHUOJILVCHUFEN。

DISHIWUTIAO CANYUCHUANGYEBANKEZHUANHUANGONGSIZHAIQUANZHUANGU、KEJIAOHUANGONGSIZHAIQUANHUANGUDETOUZIZHE,CANZHAOSHIYONGCHUANGYEBANTOUZIZHESHIDANGXINGGUANLIYAOQIU。

DISHILIUTIAO BENBANFAYOUBENSUOFUZEJIESHI。

DISHIQITIAO BENBANFAZI2020NIAN4YUE28RIQISHIXING。


FUJIAN

SHENZHENZHENGQUANJIAOYISUOCHUANGYEBANTOUZIFENGXIANJIESHISHU

BIBEITIAOKUAN

為了使投資者充分了解深圳證券交易所創業板的相關風險,開展經紀業務的會員應當制定《創業板投資風險揭示書》(以下簡稱《風險揭示書》),向參與創業板股票、存托憑證申購、交易(以下統稱創業板交易)的投資者充分揭示風險。《風險揭示書》應當至少包括下列內容:
皇冠比分网 一、創業板上市公司往往高度依賴新技術、新模式、新業態,且多為輕資產結構,具有技術迭代快、產業升級快、模式易復制、業績波動大等特點,公司上市后的持續創新能力、盈利能力和抗風險能力具有較大的不確定性。

ER、CHUANGYEBANSHANGSHIGONGSIKENENGCUNZAISHOUCIGONGKAIFAXINGQIANZUIJIN3GEHUIJINIANDUWEINENGLIANXUYINGLI、GONGKAIFAXINGBINGSHANGSHISHISHANGWEIYINGLI、YOULEIJIWEIMIBUKUISUN,YIJIZAISHANGSHIHOURENGWUFAYINGLI、CHIXUKUISUN、WUFAJINXINGLIRUNFENPEIDENGQINGXING。

SAN、CHUANGYEBANXINGUFAXINGJIAGE、GUIMO、JIEZOUDENGJIANCHISHICHANGHUADAOXIANG,XUNJIA、DINGJIA、PEISHOUDENGHUANJIEYOUJIGOUTOUZIZHEZHUDAO。CHUANGYEBANXINGUFAXINGKENENGCAIYONGZHIJIEDINGJIAHEXUNJIADINGJIAFANGSHI。CAIYONGXUNJIADINGJIAFANGSHIDE,XUNJIADUIXIANGXIANDINGZAIZHENGQUANGONGSIDENGQILEIZHUANYEJIGOUTOUZIZHE,ERGERENTOUZIZHEWUFAZHIJIECANYUFAXINGDINGJIA。

SI、CHUBUXUNJIAJIESHUHOU,CHUANGYEBANFAXINGRENYUJIFAXINGHOUZONGSHIZHIBUMANZUQIZAIZHAOGUSHUOMINGSHUZHONGMINGQUEXUANZEDESHIZHIYUCAIWUZHIBIAOSHANGSHIBIAOZHUNDE,JIANGANGUIDINGZHONGZHIFAXING。

WU、CHUANGYEBANDEWANGSHANGFAXINGBILI、WANGSHANGWANGXIAHUIBOJIZHI、TOUZIFENGXIANTEBIEGONGGAOFABUDENGKENENGYUCHUANGYEBANYUANYOUFAXINGGUIZEJIQITABANKUAICUNZAICHAYI,TOUZIZHEYINGDANGZAISHENGOUHUANJIECHONGFENZHIXIBINGGUANZHUXIANGGUANGUIZE。

皇冠比分网 LIU、SHOUCIGONGKAIFAXINGGUPIAOSHI,FAXINGRENHEZHUCHENGXIAOSHANGKEYICAIYONGCHAOEPEISHOUXUANZEQUAN,JICUNZAICHAOEPEISHOUXUANZEQUANSHISHIJIESHUHOU,FAXINGRENZENGFAGUPIAODEKENENGXING。

QI、CHUANGYEBANTUISHIZHIDUGENGWEIYANGE,TUISHIQINGXINGGENGDUO,SHIZHIDIYUGUIDINGBIAOZHUN、SHANGSHIGONGSIXINXIPILUHUOZHEGUIFANYUNZUOCUNZAIZHONGDAQUEXIANDEKENENGDAOZHITUISHI;ZHIXINGBIAOZHUNGENGYAN,MINGXIANSANGSHICHIXUJINGYINGNENGLI,JINYILAIYUZHUYEWUGUANDEMAOYIHUOZHEBUJUBEISHANGYESHIZHIDEGUANLIANJIAOYIWEICHISHOURUDESHANGSHIGONGSIKENENGHUIBEITUISHI。

BA、CHUANGYEBANSHANGSHIGONGSIKENENGSHEZHIBIAOJUEQUANCHAYIANPAI。SHANGSHIGONGSIKENENGGENJUCIXIANGANPAI,CUNZAIKONGZHIQUANXIANGDUIJIZHONG,YIJIYINMEIYITEBIEBIAOJUEQUANGUFENYONGYOUDEBIAOJUEQUANSHULIANGDAYUMEIYIPUTONGGUFENYONGYOUDEBIAOJUEQUANSHULIANGDENGQINGXING,ERSHIPUTONGTOUZIZHEDEBIAOJUEQUANLIJIDUIGONGSIRICHANGJINGYINGDENGSHIWUDEYINGXIANGLISHOUDAOXIANZHI。

JIU、CHUXIAN《SHENZHENZHENGQUANJIAOYISUOCHUANGYEBANGUPIAOSHANGSHIGUIZE》YIJISHANGSHIGONGSIZHANGCHENGGUIDINGDEQINGXINGSHI,TEBIEBIAOJUEQUANGUFENJIANGAN1:1DEBILIZHUANHUANWEIPUTONGGUFEN。GUFENZHUANHUANZIXIANGGUANQINGXINGFASHENGSHIJISHENGXIAO,BINGKENENGYUXIANGGUANGUFENZHUANHUANDENGJISHIDIANCUNZAICHAYI。TOUZIZHEXUJISHIGUANZHUSHANGSHIGONGSIXIANGGUANGONGGAO,YILEJIETEBIEBIAOJUEQUANGUFENBIANDONGSHIYI。

皇冠比分网 SHI、CHUANGYEBANSHANGSHIGONGSIDEGUQUANJILIZHIDUKENENGGENGWEILINGHUO,BAOKUOGUQUANJILIJIHUASUOSHEJIDEGUPIAOBILISHANGXIANHEDUIXIANGYOUSUOKUODA、JIAGETIAOKUANGENGWEILINGHUO、SHISHIFANGSHIGENGWEIBIANLI。SHISHIGAIDENGGUQUANJILIZHIDUANPAIKENENGDAOZHIGONGSISHIJISHANGSHIJIAOYIDEGUPIAOSHULIANGCHAOGUOSHOUCIGONGKAIFAXINGSHIDESHULIANG。

皇冠比分网 SHIYI、SHISHIZHUCEZHIHOU,CHUANGYEBANGUPIAOJINGJIAJIAOYISHEZHIJIAOKUANDEZHANGDIEFUXIANZHI,SHOUCIGONGKAIFAXINGSHANGSHIDEGUPIAO,SHANGSHIHOUDEQIAN5GEJIAOYIRIBUSHEZHANGDIEFUXIANZHI,QIHOUZHANGDIEFUXIANZHIWEI20%,TOUZIZHEYINGDANGGUANZHUKENENGCHANSHENGDEGUJIABODONGDEFENGXIAN。

SHIER、TOUZIZHEXUGUANZHUCHUANGYEBANJIAOYIDEDANBISHENBAOXIANZHISHULIANG、YOUXIAOJINGJIAFANWEIDENGYUSHENZHENZHENGQUANJIAOYISUOQITABANKUAIJIAOYICUNZAIDECHAYI,BIMIANCHANSHENGWUXIAOSHENBAO。

皇冠比分网 SHISAN、TOUZIZHEXUGUANZHUCHUANGYEBANJIAOYIFANGSHIBAOKUOJINGJIAJIAOYI、PANHOUDINGJIAJIAOYIJIDAZONGJIAOYI,BUTONGJIAOYIFANGSHIDEJIAOYISHIJIAN、SHENBAOYAOQIU、CHENGJIAOYUANZEDENGCUNZAICHAYI。

SHISI、ANZHAO《CHUANGYEBANSHOUCIGONGKAIFAXINGGUPIAOZHUCEGUANLIBANFA(SHIXING)》FAXINGSHANGSHIDEGUPIAO,SHANGSHISHOURIJIKEZUOWEIRONGZIRONGQUANBIAODE,TOUZIZHEYINGZHUYIXIANGGUANFENGXIAN。

SHIWU、CHUANGYEBANGUPIAOJIAOYIPANZHONGLINSHITINGPAIQINGXINGHEYANZHONGYICHANGBODONGGUPIAOHECHAZHIDUYUSHENZHENZHENGQUANJIAOYISUOQITABANKUAIGUIDINGBUTONG,TOUZIZHEYINGDANGGUANZHUYUCIXIANGGUANDEFENGXIAN。

皇冠比分网 SHILIU、FUHEXIANGGUANGUIDINGDEHONGCHOUQIYEKEYIZAICHUANGYEBANSHANGSHI。HONGCHOUQIYEZAIJINGWAIZHUCE,KENENGCAIYONGXIEYIKONGZHIJIAGOU,ZAIXINXIPILU、FENHONGPAIXIDENGFANGMIANKENENGYUJINGNEIZHUCEDESHANGSHIGONGSICUNZAICHAYI。HONGCHOUQIYEZHUCEDI、JINGWAISHANGSHIDIDENGDIFALVFAGUIDUIDANGDITOUZIZHETIGONGDEBAOHU,KENENGYUJINGNEIFALVWEIJINGNEITOUZIZHETIGONGDEBAOHUCUNZAICHAYI。

SHIQI、HONGCHOUQIYEKEYIFAXINGGUPIAOHUOCUNTUOPINGZHENG。CUNTUOPINGZHENGYOUCUNTUORENQIANFA、YIJINGWAIZHENGQUANWEIJICHUZAIZHONGGUOJINGNEIFAXING,DAIBIAOJINGWAIJICHUZHENGQUANQUANYI。HONGCHOUQIYECUNTUOPINGZHENGCHIYOURENSHIJIXIANGYOUDEQUANYIYUJINGWAIJICHUZHENGQUANCHIYOURENDEQUANYISUIRANJIBENXIANGDANG,DANBINGBUNENGDENGTONGYUZHIJIECHIYOUJINGWAIJICHUZHENGQUAN。TOUZIZHEYINGDANGCHONGFENZHIXICUNTUOXIEYIHEXIANGGUANGUIZEDEJUTINEIRONG,LEJIEBINGJIESHOUZAIJIAOYIHECHIYOUHONGCHOUQIYEGUPIAOHUOCUNTUOPINGZHENGGUOCHENGZHONGKENENGCUNZAIDEFENGXIAN。

SHIBA、CHUANGYEBANXIANGGUANFALV、XINGZHENGFAGUI、BUMENGUIZHANG、GUIFANXINGWENJIAN(YIXIAJIANCHENGFALVFAGUI)HEJIAOYISUOYEWUGUIZE,KENENGGENJUSHICHANGQINGKUANGJINXINGXIUGAI,HUOZHEZHIDINGXINDEFALVFAGUIHEYEWUGUIZE,TOUZIZHEYINGDANGJISHIYUYIGUANZHUHELEJIE。

皇冠比分网 《FENGXIANJIESHISHU》YINGDANGYIXINGMUDEWENZIZAIMING:

BEN《FENGXIANJIESHISHU》DEJIESHISHIXIANGJINWEILIEJUXINGZHI,WEINENGXIANGJINLIEMINGCHUANGYEBANJIAOYIDESUOYOUFENGXIAN,TOUZIZHEZAICANYUJIAOYIQIAN,YINGDANGRENZHENYUEDUYOUGUANFALVFAGUIHEJIAOYISUOYEWUGUIZEDENGXIANGGUANGUIDING,DUIQITAKENENGCUNZAIDEFENGXIANYINSUYEYINGDANGYOUSUOLEJIEHEZHANGWO,BINGQUEXINZIJIYIZUOHAOZUGOUDEFENGXIANPINGGUYUCAIWUANPAI,BIMIANYINCANYUCHUANGYEBANJIAOYIZAOSHOUNANYICHENGSHOUDESUNSHI。

TOUZIZHEZAIBEN《FENGXIANJIESHISHU》SHANGQIANZI,JIBIAOMINGTOUZIZHEYIJINGLIJIEBINGYUANYIZIXINGCHENGDANCANYUCHUANGYEBANJIAOYIDEFENGXIANHESUNSHI。