- 中国商业贸易法律法规中英数据库(一) A B C D E F G H I J K L M N O P Q R S T U V W X Y Z
中国商业贸易法律法规中英数据库(一)
- 出口商： Exporter:
- 出口商： Exporter:
- （三）使用客户资产进行不必要的证券交易； （3）Engage in unnecessary securities trade by using customer’s assets;
- （三）从事证券工作5年以上，并且通过有关专业考试或具有8年以上法律工作经历；或在证券监管机构的专业监管岗位任职8年以上。 （3）Engaged in securities work for over five years and passed concerning professional exam or had at least 8 years' experience; or had took the position of professional supervision for more than 8 years in securities supervision and administration institute.
- （四）公司合规管理有效性的评估及整改情况； （4）Evaluation of effectiveness of company compliance management as well as the rectification status;
- （一）保障证券公司证券经纪业务正常合规运行，必要时依照规定垫付营运资金和客户的交易结算资金； （ⅰ）Ensure securities brokerage business of the securities firm runs properly and pay advanced operation capital and transaction settlement funds with customer when it’s necessary by following the rule;
- （三）保障证券公司证券经纪业务正常合规运行，完善内控制度； （ⅲ）Ensure normal running of securities brokerage business of the securities firm and improve internal control system;
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