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Notice of the Shenzhen Stock Exchange on Issuing the Guidelines for Members to Continue the Investors Eligibility Management in the Growth Enterprise Market (2016 Revision)(Title Only) [Expired]
深圳证券交易所关于发布《会员持续开展创业板市场投资者适当性管理业务指引(2016年修订)》的通知 [失效]
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深圳证券交易所关于发布《会员持续开展创业板市场投资者适当性管理业务指引（2016年修订）》的通知

（深证上〔2016〕1号）

各会员单位：
近日，中国证监会修订发布了《证券发行与承销管理办法》，取消了投资者新股申购预缴款的规定。为落实证监会新股发行改革措施，本所调整了新股发行流程，将网上发行申购次日完成配号调整为申购当日完成配号。
为做好与股票发行相关规则规定的业务衔接，本所修订了《会员持续开展创业板市场投资者适当性管理业务指引》（以下简称《业务指引》），对会员客户参与创业板新股申购的适当性管理业务流程进行调整。现将有关事项通知如下：
　　一、将《业务指引》第四条修订为“对未按照适当性管理要求签署《创业板市场投资风险揭示书》，或者虽已签署但未达开通期限的客户参与创业板新股申购的，会员应当及时采取纠正处理措施”。按照该条规定，会员客户适当性异常报警核查业务流程相应调整，对于不符合适当性管理要求的客户参与新股申购的，会员无需于次一交易日上午10点前向本所申请撤销申购，但应当自会员业务专区收到创业板客户适当性异常报警之日起3个交易日内，及时填报相关情况说明，包括异常原因、是否符合创业板适当性规定及已采取的措施等，“是否撤销申报”栏目已删除，不再要求填报。
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