海通证 券qfii业务(EN).ppt

Leading Execution Platform - Settlement Service * Centralized trading settlement platform to insure front-to-back date integrity Daily reset of client’s cash balance and double check to prevent over-purchase Customized trade confirmation report ETC (first local broker using Omgeo Oasys Global System) Bilingual settlement service from 8:00a.m. to 19:00p.m. on trading days Well-established relationship with all major custodian banks * Category Product Frequency Pre-Trade IPO Reminder Daily Trade Suspension Information Daily Sector News Daily Stock Recommends Daily Sell Side Research Summary (Chi) Daily Trading Hours Market Color Flash Daily A-share Market Midday Daily After Trade A-share Market Summary Daily Others A Shares Monthly Report Monthly Comprehensive Sales Trading Service * Overall Compliance * Know Your Client Double checking for Client account-opening documents Orders Only accept trading orders from authorized persons of QFII through verifiable channel Only accept settlement orders from designated persons of custodian banks Confidentiality All client information follows confidentiality requirement Pre-trade Compliance * Physical trading Separation of Trading Venue Separate trading room, trading seat and trading system for QFII clients Authorization Compliance officer is responsible for authorizations of traders and settlement personnel only authorized persons to be allowed to enter the trading room. Differentiation authorization to Trading, Operation and Settlement business * Operation procedural control Double Checking for cash securities balance Double Checking when inputting order instructions into trading systems Real-Time system checking on cash stock balance Abnormal trading activity monitor and report Foreign Ownership Limit (FOL) monitoring In-Trade Compliance * Post-Trade Compliance Trading data filing Tele recording cover all QFII team Documented Operational procedures and risk control measures