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Notice by the Shanghai Stock Exchange of Matters Concerning the Education and Suitability Management of Investors in the Sci-tech Innovation Board [Effective]
上海证券交易所关于科创板投资者教育与适当性管理相关事项的通知 [现行有效]
【法宝引证码】

Notice by the Shanghai Stock Exchange of Matters Concerning the Education and Suitability Management of Investors in the Sci-tech Innovation Board 

上海证券交易所关于科创板投资者教育与适当性管理相关事项的通知

(No. 33 [2019] of the Shanghai Stock Exchange) (上证发〔2019〕33号)

All member firms: 各会员单位:
For the purposes of regulating the education and suitability management of investors in the Sci-tech Innovation Board of the Shanghai Stock Exchange (SSE) and protecting the lawful rights and interests of investors, in accordance with the Special Provisions on the Trading of Stocks Listed on the Sci-tech Innovation Board of the Shanghai Stock Exchange (hereinafter referred to as the “Special Provisions on Trading”), the Measures of the Shanghai Stock Exchange for Investor Suitability Management and other business rules, you are hereby notified of the matters on the education and suitability management of investors in the Sci-tech Innovation Board as follows: 为了规范上海证券交易所(以下简称本所)科创板投资者教育与适当性管理工作,保护投资者合法权益,根据《上海证券交易所科创板股票交易特别规定》(以下简称《交易特别规定》)《上海证券交易所投资者适当性管理办法》等业务规则,现就科创板投资者教育与适当性管理相关事项通知如下:
I. Member firms shall, in strict accordance with the relevant provisions of the “Special Provisions on Trading”, develop the relevant working system for the suitability management of investors in the Sci-tech Innovation Board to conduct the suitability management for investors. Investors involved in the trading of stocks on the Sci-tech Innovation Board (including issuance and subscription) shall meet the requirements of the suitability management as prescribed by the SSE, and member firms shall not allow investors who do not meet the investor suitability requirements to participate in the trading of stocks on the Sci-tech Innovation Board.   一、会员应当严格按照《交易特别规定》的相关规定,制定科创板股票投资者适当性管理的相关工作制度,对投资者进行适当性管理。参与科创板股票交易(含发行申购)的投资者应当符合本所规定的适当性管理要求,会员不得接受不符合投资者适当性条件的投资者参与科创板股票交易。
II. Where a member firm grants an individual investor the authority to trade stocks on the Sci-tech Innovation Board, the individual investor shall meet the following conditions:   二、会员为个人投资者开通科创板股票交易权限的,个人投资者应当符合下列条件:
1. The assets in the securities account and cash account 20 trading days before application for trading authority shall be not less than 500,000 yuan per day (excluding the funds and securities obtained by the investor through margin trading and short selling); (一)申请权限开通前20个交易日证券账户及资金账户内的资产日均不低于人民币 50万元(不包括该投资者通过融资融券融入的资金和证券);
2. Engaging in securities trading for more than 24 months; and (二)参与证券交易24个月以上;
3. Other conditions as prescribed by the SSE. (三)本所规定的其他条件。
An institutional investor engaging in the trading of stocks on the Sci-tech Innovation Board shall comply with laws and regulations and the provisions of the business rules of the SSE. 机构投资者参与科创板股票交易,应当符合法律法规及本所业务规则的规定。
The SSE may adjust the aforementioned conditions according to market conditions. 本所可根据市场情况对上述条件作出调整。
III. Before a member firm grants an individual investor the authority to trade stocks on the Sci-tech Innovation Board, it shall verify whether the individual investor meets investor suitability requirements, and the specific identification criteria are as follows:   三、会员为个人投资者开通科创板股票交易权限前,应当对个人投资者是否符合投资者适当性条件进行核查,具体认定标准如下:
1. Identification of assets in the securities account and the cash account: (一)证券账户及资金账户内资产的认定:
(1) The securities account that can be used to calculate the assets of individual investors shall be the securities account opened by China Securities Depository and Clearing Co., Ltd. (hereinafter referred to as the “CSDC”) and the account opened by individual investors with a member firm. The account opened by the CSDC includes A-share account, B-share account, closed-end fund account, open fund account and derivative contract account as well as other securities accounts opened by the CSDC according to business needs. 1.可用于计算个人投资者资产的证券账户,应为中国证券登记结算有限责任公司(以下简称中国结算)开立的证券账户,以及个人投资者在会员开立的账户。中国结算开立的账户包括A股账户、B股账户、封闭式基金账户、开放式基金账户、衍生品合约账户及中国结算根据业务需要设立的其他证券账户。
The cash account that can be used to calculate the assets of individual investors includes client's transaction settlement fund account, stock option margin account, among others. 可用于计算个人投资者资产的资金账户,包括客户交易结算资金账户、股票期权保证金账户等。
(2) In the securities account opened by the CSDC, the assets that can count as the assets of individual investors include: stocks (including A-share stocks, B-share stocks, preferred stocks, the Hong Kong stocks brought into through Stock Connect and the stocks listed on the National Equities Exchange and Quotations), public fund shares, bonds, asset-backed securities, asset management plan shares, stock option contracts (specifically, for long position, assets are added at the settlement price; for short position, assets are reduced at the settlement price), and other securities assets identified by the SSE. 2.中国结算开立的证券账户内,可计入个人投资者资产的资产包括:股票(包括A股、B股、优先股、通过港股通买入的港股和全国中小企业股份转让系统挂牌股票)、公募基金份额、债券、资产支持证券、资产管理计划份额、股票期权合约(其中权利仓合约按照结算价计增资产,义务仓合约按照结算价计减资产)、本所认定的其他证券资产。
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