| Provisions of the China Securities Regulatory Commission on the Investment Scope for the Proprietary Trading of Securities Companies and Related Matters | | 中国证券监督管理委员会关于证券公司证券自营业务投资范围及有关事项的规定 |
| (Issued by the China Securities Regulatory Commission (“CSRC”) on April 29, 2011, revised in accordance with the Decision on Amending the Provisions on the Investment Scope for the Proprietary Trading of Securities Companies and Related Matters dated November 16, 2012, and amended by the Decision of the China Securities Regulatory Commission on the Revision of Certain Normative Documents Concerning Securities and Futures dated March 20, 2020) | | （2011年4月29日中国证券监督管理委员会公布 根据2012年11月16日中国证券监督管理委员会《关于修改〈关于证券公司证券自营业务投资范围及有关事项的规定〉的决定》修订 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） |
| Article 1 These Provisions are developed in accordance with the Regulation on the Supervision and Administration of Securities Companies for the purposes of clarifying the investment scope for the proprietary trading of securities companies and related matters. | | 第一条 为了明确证券公司证券自营业务的投资范围及有关事项，根据《证券公司监督管理条例》，制定本规定。 |
| Article 2 A securities company engaged in the proprietary securities trading business may buy and sell the securities set out in the List of Securities Investment Products for the Proprietary Trading of Securities Companies. | | 第二条 证券公司从事证券自营业务，可以买卖本规定附件《证券公司证券自营投资品种清单》所列证券。 |
Article 3 A securities company may entrust any other securities company or fund management company that has the qualifications for securities asset management or asset management for specific clients or the qualifications as a qualified domestic institutional investor to conduct securities investment management.
．．．．．． | | 第三条 证券公司可以委托具备证券资产管理业务资格、特定客户资产管理业务资格或者合格境内机构投资者资格的其他证券公司或者基金管理公司进行证券投资管理。
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