Measures for the Administration of Suitability of Securities and Futures Investors

Measures for the Administration of Suitability of Securities and Futures InvestorsIt is content produced to standardize the suitability management of securities and futures investors and safeguard the legitimate rights and interests of investors. The free version of the Securities and Futures Investor Suitability Management Measures is provided by Huajun Software Park for free download. The source file is in docx format, which is convenient for users to edit by themselves. For more information on the suitability management measures for securities and futures investors, please pay attention to Huajun Software Park for free downloads.

Contents of the Measures for the Suitability Management of Securities and Futures Investors

(1) Basic information such as name, address, occupation, age, contact information of natural persons, name, registered address, office address, nature, qualifications and business scope of legal persons or other organizations

(2) Source and amount of income, assets, debts and other financial status

(3) Investment-related study, work experience and investment experience

(4) Investment period, varieties, expected returns and other investment objectives

(5) Risk preference and tolerable losses

(6) Integrity record

(7) The natural person who actually controls the investor and the actual beneficiary of the transaction

(8) Information related to investor access requirements stipulated in laws, regulations and self-regulatory rules

(9) Other necessary information

Elements of the Measures for the Suitability Management of Securities and Futures Investors

Business institutions should make judgments about the types of investors that are suitable for selling products or providing services based on the different risk levels of products or services, and make judgments about the products that are suitable for purchasing or services that are suitable for receiving based on different classifications of investors.

After the operating institution informs the investor that it is not suitable to purchase relevant products or receive related services, and the investor actively requests to purchase products or receive related services with a risk level higher than its risk tolerance, the operating institution shall confirm that it does not belong to the lowest category of risk tolerance. After investing, a special written risk warning should be given to investors whose risks are higher than their tolerance. If the investor still insists on purchasing, relevant products or services may be sold to them.

Business institutions that sell high-risk products or provide related services to ordinary investors should perform special duties of care, including formulating special work procedures, obtaining additional relevant information, informing special risk points, and giving ordinary investors more time to consider, Or increase the frequency of return visits, etc.

​​ ​​Business institutions should proactively adjust investor classification, product or service grading, and suitability matching opinions based on changes in information about investors and products or services, and inform investors of the above.

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