中间业务判断76-a（Intermediate business judgment 76-a）.docVIP

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中间业务判断76-a（Intermediate business judgment 76-a）.doc

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中间业务判断76-a（Intermediate business judgment 76-a）

中间业务判断76-a（Intermediate business judgment 76-a） Judgment question proposition In the bookkeeping type bond business, a financial institution may not buy and sell treasury bonds through its outlets. () The answer option is Answer option no Answer yes Answer basis It meets the requirements of the accounting standards for business operations, intermediate business type, book entry treasury bonds and two levels of custody business. () Source of answers Check the book business operation specification, page 218th, clause 2.1. proposition The investors in the bookkeeping bond business bear the risk of investment. () The answer option is Answer option no Answer yes Answer basis It meets the requirements of the accounting standards for business operations, intermediate business type, book entry treasury bonds and two levels of custody business. Source of answers Check the book business operation specification, page 218th, clause 2.3. proposition An individual open-end securities investment fund may be represented by another agent when applying for the establishment of client data and opening a fund account. () The answer option is Answer option no Answer no Answer basis Provisions on breach of the standard of business operation of the accounting business type of open type securities investment fund business. An individual investor who applies for the establishment of client data and opens a fund account shall personally handle it and shall not be represented by another person. Source of answers Check the book business operation specification, page 226th, clause 2.4. proposition An individual open end securities investment fund investor may apply for non - trading transfer due to succession or donation. () The answer option is Answer option no Answer yes Answer basis The provisions of the standard of business operation of the accounting business, the open type securities investment fund business of the intermediate business category. Source of answers Check the book business