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1、证券基础知识ChapterviisecuritiesintermediariesKnowledgepoint1:securitiesfirm.Securitiesintermediariesincludesecuritiesbusinessinstitutionsandsecuritiesservicesorganizations.(noticethefirstchapter,whichisnotrepeatedhere.)China'sfirstprofessionalsecuritiesfir
2、m,shenzhenspecialsecuritiesco.,wasestablishedin1987.In1998,thesecuritieslawofChinawasintroduced.Inthecourseofthenewrevisionofthesecuritieslawin2006,thesecuritiescompaniesareregulatedbybusinessclassification,andtheyarenotdividedintogeneralclassesandbro
3、kerageclasses.Establisharegulatoryindexsystembasedonnetcapital.?Theestablishmentofasecuritiesfirmshallhave:Thearticlesofassociation(self-explanatory)Themainshareholderiscontinuouslyprofitable,thenetassetisnotlessthan200millionyuanforthreeyearsLegalreg
4、isteredcapitalThequalificationsandqualificationsofthepersonnel5,improvethesystemQualifiedsitesandfacilities7,other?Registeredcapitalrequirements(optional,single):Theminimumamountofregisteredcapitalofasecuritiesfirmisdirectlylinkedtothebusinesstype:Man
5、agementofsecuritiesbrokerage,investmentconsultation,financialadviser3business,minimumlimit50millionyuan.Toconductunderwritingandsponsorship,proprietary,assetmanagement,andotherbusinessinfourbusinesses,for100million.Morethantwoofthefourbusinessesoperat
6、ingaboveshallbe500million.Theregisteredcapitalshallbepaid-incapital.NounitorindividualmayconductsecuritiesbusinesswithouttheapprovaloftheCSRC.Thesecuritiesregulatorybodyshall,withinsixmonthsfromthedateofacceptingtheapplicationfortheestablishmentofthes
7、ecuritiesfirm,makeawrittendecisiontoapproveordisapproveit.Thesecuritiesfirmshallapplytothesecuritiesregulatorybodyforthesecuritiesbusinesslicensewithin15daysfromthedateofreceivingthebusinesslicense.?Thechangestoimportantmattersmustbeapprovedbythesecur
8、itiesregulatorybody(multiplechoice):theestablishment,acquisitionorwithdrawalofthebranchbythesecuritiesfirm;Changethebusinessscopeortheregisteredcapital;Thechangeofshareholderswhoownmorethan5percentoftheequityandtheactualcontroloftheperson;Chan
