创业板市场投资者适当性管理业务操作指南（Gem investor appropriateness management business operations guide）.docVIP

创业板市场投资者适当性管理业务操作指南（Gem investor appropriateness management business operations guide） Shenzhen Stock Exchange Gem investor appropriateness management business operations guide 2009-7-2 For the overall good of GEM investors management, guide the securities company to handle the relevant business, according to the GEM investors management Interim Provisions, Shenzhen stock exchange gem market investors management implementation measures (hereinafter referred to as the measures provisions ) and other relevant documents, the enactment of this guide. First, the customer opened the application for processing 1., the securities company can accept the application of the opening board market transaction through the business site or online. 2. securities companies in the customer acceptance of the application at the same time, through on-site inquiry, questionnaire, collecting customer information, including customer identification, property and income, securities investment experience, risk preference and investment objectives. Collection of information forms and specific content by the securities company in accordance with their own customer management needs. 3. of the securities company can according to the collected customer information, combined with their own conditions and set standards for evaluation of customer risk perception and ability, and the evaluation of the results to inform customers, as customers determine their suitability to participate in the GEM market transaction reference. 4., securities companies in the customer risk assessment, that it is not suitable for participation in the GEM market transactions, market risk should be prompted to persuade them carefully consider whether to apply for the opening of the GEM market transactions. 5. a securities company shall require its clients to fill in its personal information in a true and complete manner, and shall notify them to correct it if they clearly provide false information or provide incomplete infor