Shanghai and Shenzhen Stock Exchange set up 300 thousand Yuan Securities Asset threshold for rating -sichen

Shanghai and Shenzhen Stock Exchange: set up 300 thousand Yuan Securities Asset threshold for classified fund investors, Sina fund exposure platform: letter Phi lag false propaganda, performance is lower than the same kind of products for a long time, how to buy funds by pit? Click on [I want to complain], Sina help you expose them! Original title: Shenzhen on the classification of funds business management guidelines for public comment the Shenzhen Stock Exchange website 9 announced, in order to regulate the classification of the fund market investors in the management, and earnestly safeguard the legitimate rights and interests of investors, the Shenzhen Stock Exchange (hereinafter referred to as Shenzhen) recently issued the "Shenzhen stock exchange grading fund business management guidelines (Draft)" (hereinafter referred to as the "guidelines") and to the public for comments. The "guide" in accordance with the sellers responsibility, caveat emptor "concept, a clear classification of the fund market of the two investors in the arrangement, investors signed" the relevant requirements of investment risk classification fund "and revealed the book fund managers and securities firms risk warning arrangements in. The main contents of the guidelines include the following aspects: first, improve the appropriateness of investors system, strengthen the management of investors access and risk disclosure. In reference to investors in the management aspects of the experience and practice of stock index futures, margin trading and other high-risk financial products or services, the establishment of investors 300 thousand yuan securities assets threshold, and requirements of individual investors and institutional investors in general open grading fund trading and related authority required by comprehensive evaluation of membership and signed "investment risk classification fund revealed the book". Investors who do not meet the appropriate conditions of the above investors can still choose to continue to own or sell or merge and redeem the currently held rating fund shares. The two is to strengthen risk warning measures, improve the pertinence and effectiveness of investor risk warning. With the classification of the fund in the process of conversion trigger operation management experience, provides the classification of the fund under the conversion of class B shares corresponding to the conversion date in the fund referred to as prefixed with "*" logo; for the classification of the fund or may have occurred under the conversion and the class B share premium higher requirements, fund managers issued a risk warning notice in the conversion date; to increase the suspension of 1 class B shares afternoon hours; membership should be in accordance with the requirements of the exchange to convey to investors the risk message. Three is to improve the investor education system, and promote fund managers and members to fulfill investor education responsibilities. The fund managers and members are required to fully disclose the risk of investment in classified funds, strengthen the service to investors, and properly handle the related disputes. Four is to clear investor responsibility and obligation, improve investor risk awareness. Investors are required to follow the principle of "buyer’s conceit", and cooperate with members to provide investors with appropriate management of relevant certification materials and be responsible for their authenticity, accuracy and legality. In addition, according to the current operating mechanism of grading funds, the guidelines further define the business process of grading fund conversion, which is helpful for investors to accurately understand the conversion mechanism of grading funds. The person in charge said that in order to ensure adequate preparation and market transactions in the relevant aspects of the normal, "guide" from the release to the formal implementation, will reserve a certain period of transition. At the same time, for the convenience of all parties in the market

沪深交易所:对分级基金投资者设立30万元证券类资产门槛 新浪基金曝光台:信披滞后虚假宣传,业绩长期低于同类产品,买基金被坑怎么办?点击【我要投诉】,新浪帮你曝光他们!   原标题:深交所就分级基金业务管理指引公开征求意见   深交所网站9日公布,为规范分级基金市场投资者适当性管理,切实维护投资者合法权益,深圳证券交易所(以下简称深交所)于近日发布了《深圳证券交易所分级基金业务管理指引(征求意见稿)》(以下简称《指引》)并向社会公开征求意见。《指引》按照“卖者有责、买者自负”的理念,明确了分级基金二级市场投资者适当性安排、投资者签署《分级基金投资风险揭示书》的相关要求以及基金管理人和证券公司的风险警示安排等内容。   深交所相关负责人介绍,《指引》重点内容主要有以下几个方面:一是完善投资者适当性制度,加强投资者准入管理与风险揭示。借鉴股指期货、融资融券等高风险金融产品或业务在投资者适当性管理方面的经验与做法,设立投资者30万元证券类资产门槛,并要求个人投资者及一般机构投资者在开通分级基金交易及相关权限前需通过会员综合评估并签署《分级基金投资风险揭示书》。不满足上述投资者适当性条件的投资者,仍可自主选择继续持有或者卖出或者合并赎回当前持有的分级基金份额。   二是强化风险警示措施,提高投资者风险警示的针对性和有效性。结合分级基金在触发下折算过程中的运作管理经验,规定发生下折算的分级基金B类份额应于折算基准日在基金简称前冠以“*”标识;针对可能或已经发生下折算且B类份额溢价较高的分级基金,要求基金管理人发布风险提示公告;在折算基准日对B类份额下午增加停牌1小时;会员应按照交易所要求及时向投资者传达风险提示信息。   三是完善投资者教育制度,推动基金管理人及会员履行投资者教育职责。要求基金管理人和会员充分揭示分级基金投资风险,加强对投资者的服务,妥善处理相关矛盾纠纷。   四是明确投资者责任和义务,提高投资者风险意识。要求投资者遵循买者自负的原则,配合会员提供投资者适当性管理相关证明材料并对其真实性、准确性和合法性负责。此外,根据分级基金现行运作管理机制,《指引》进一步明确了分级基金折算业务流程,便于投资者准确了解分级基金的折算机制。   该负责人表示,为确保相关方面做好充分的准备及市场交易的正常进行,《指引》从发布到正式实施前,会预留一定的过渡期。同时,为方便市场各方更好地理解《指引》,深交所拟定并同步发布了《指引》相关问答,供大家参考。   本次《指引》征求意见的截止时间为2016年10月9日。下一步,深交所将根据市场各方意见,及时对《指引》进行完善。   (证券时报网快讯中心) 进入【新浪财经股吧】讨论相关的主题文章: