| Interim Provisions on Strengthening the Supervision over Securities Investment Consulting Services Using “Stock Picking Software” | | 中国证券监督管理委员会关于加强对利用“荐股软件”从事证券投资咨询业务监管的暂行规定 |
| (Issued by Announcement No. 40 [2012] of the China Securities Regulatory Commission on December 5, 2012; and amended in accordance with the Decision of the China Securities Regulatory Commission to Amend Certain Securities and Futures Regulatory Documents on March 20, 2020) | | （2012年12月5日中国证券监督管理委员会公告[2012]40号发布 根据2020年3月20日中国证券监督管理委员会《关于修改部分证券期货规范性文件的决定》修正） |
| To further regulate the securities investment consulting services provided by securities investment consulting institutions using “stock picking software,” intensify efforts in suppressing illegal securities investment consulting activities conducted in the name of “stock picking software,” and protect the lawful rights and interests of investors, these Provisions are formulated in accordance with the Securities Law, the Interim Measures for the Administration of Securities and Futures Investment Consulting (No. 96 [1997] of the China Securities Regulatory Commission), and the Interim Provisions on the Securities Investment Consulting Business (Announcement No. 27 [2010] of the China Securities Regulatory Commission). | | 为进一步规范证券投资咨询机构利用“荐股软件”从事证券投资咨询业务，加大对以“荐股软件”名义从事非法证券投资咨询活动的打击力度，保护投资者合法权益，依据《证券法》、《证券、期货投资咨询管理暂行办法》（证委发〔1997〕96号）、《证券投资顾问业务暂行规定》（证监会公告〔2010〕27号），制定本规定。 |
| 1. For the purposes of these Provisions, “stock picking software” means software products, software tools or terminal units with one or more of the following securities investment consulting service functions: | | 一、本规定所称“荐股软件”，是指具备下列一项或多项证券投资咨询服务功能的软件产品、软件工具或者终端设备： |
| (1) Providing investment analysis opinions regarding specific securities investment varieties or predicting the price trend of specific securities investment varieties. | | （一）提供涉及具体证券投资品种的投资分析意见，或者预测具体证券投资品种的价格走势； |
| (2) Providing suggestions on the selection of specific securities investment varieties. | | （二）提供具体证券投资品种选择建议； |
| (3) Providing suggestions on the trading opportunities for specific securities investment varieties. | | （三）提供具体证券投资品种的买卖时机建议； |
| (4) Providing any other securities investment analysis, predictions or suggestions. | | （四）提供其他证券投资分析、预测或者建议。 |
| Software products, software tools or terminal units with the functions of gathering securities information or statistics on historical data of securities investment varieties but without the functions listed in the aforesaid items (1) to (4) are not “stock picking software.” | | 具备证券信息汇总或者证券投资品种历史数据统计功能，但不具备上述第（一）项至第（四）项所列功能的软件产品、软件工具或者终端设备，不属于“荐股软件”。 |
| 2. Directly or indirectly obtaining economic benefits by selling or providing “stock picking software” to investors shall be deemed engaging in the securities investment consulting business, subject to the approval of the China Securities Regulatory Commission and an qualification for engaging in the securities investment consulting business. | | 二、向投资者销售或者提供“荐股软件”，并直接或者间接获取经济利益的，属于从事证券投资咨询业务，应当经中国证监会许可，取得证券投资咨询业务资格。 |
| No institution or individual without the qualification for engaging in the securities investment consulting business may engage in such business using “stock picking software.” | | 未取得证券投资咨询业务资格，任何机构和个人不得利用“荐股软件”从事证券投资咨询业务。 |
| ．．．．．． | | ．．．．．． |
|
Dear visitor, as a premium member of this database, you will get complete access to all content.Please go premium and get more.
1. To become a premium member, please call 400-810-8266 Ext. 171.
2. Binding to the account with access to this database.
3. Apply for a trial account.
4. To get instant access to a document, you can Pay Amount 【￥300.00】 for your single purchase. | |
您好：您现在要进入的是北大法宝英文库会员专区。
如您是我们英文用户可直接 登录，进入会员专区查询您所需要的信息；如您还不是我们 的英文用户；您可通过网上支付进行单篇购买，支付成功后即可立即查看本篇内容。
Tel: +86 (10) 82689699, +86 (10) 82668266 ext. 153
Mobile: +86 13311570713
Fax: +86 (10) 82668268
E-mail:info@chinalawinfo.com
|
| | | |
| | | |