资产管理（asset management）.docVIP

资产管理（asset management） The sixth chapter, asset management business Knowledge point 601 (P183-186): asset management business. The asset management business is the behavior of the securities company as the asset manager, signing the asset management contract with the customer, and operating the customers assets. - including 3: 1, for a single customer directional asset management business. (1) - Characteristics of securities companies and customers must be one to one; (2) the specific direction of the investment in the contract; (3) to the special securities account in a single customer in operation. 2, for a number of clients for collective asset management business. Reporter: as a limitative aggregate asset management plan (mainly invest in fixed income varieties, equity does not exceed the net assets of 20%), and a non limitative aggregate asset management plan (from the investment limit). All features are: (1) set, namely the customers and the company is one of many. (2) the scope of investment is limited, qualitative and non - definite (3) customer assets must be managed. (4) investing through special accounts. (5) more stringent information disclosure. 3. Handle special asset management business for customers specific purpose. For specific requirements of customers, set specific investment objectives, through special accounts to provide asset management services to customers. All features are: (1) comprehensive, namely the customers and the company can be one to one, but also one to many. It can be either directional or in a collection mode. (2) specific, to set a specific investment target. (3) operate through a special account; All securities companies engaged in asset management business shall comply with: (1) not less than 200 million yuan of net capital (2) with 3 years relevant working experience in asset management personnel in the personnel of not less than 5 people (3) were not punished in the past 1 years; (the other answer is clear). - the asset man