证券管理

This article complies with the theory and the actual union principle, embarked from the agiotage to the negotiable securities operating unit's importance, elaborated carried on the recognition to the agiotage risk the necessity, pointed out in the agiotage development process several big quite remarkable risk points, the analysis present domestic risk management present situation and the existence question, proposed carries on the management to the agiotage risk the countermeasure measure.

本文遵从理论和实际结合的原则，从证券经纪业务对证券经营机构的重要性出发，阐述了对证券经纪业务风险进行识别的必要性，指出证券经纪业务开展过程中几大比较显著的风险点，分析目前国内风险管理的现状和存在的问题，提出了对证券经纪业务风险进行管理的对策措施。

Use its to do business the channel such as the ministry, use a variety of means, aggrandizement is right in the negotiable securities of small investor seeks advice from a service, and most certificate business is returned go up in the foundation that knows a client, offer proper negotiable securities to invest advisory service and negotiable securities conduct financial transactions to produce tasted seek advice froming to wait to the client, come to those who increase advisory service and business of management of negotiable securities asset cover a range with this.

利用其营业部等渠道，采用多种方式，强化对中小投资者的证券咨询服务，并且多数券商还在了解客户的基础上，向客户提供适当的证券投资咨询服务和证券理财产品的咨询等，以此来提高咨询服务和证券资产管理业务的覆盖面。

In buying or selling transaction products outside a stock exchange, a securities company shall open a corresponding account pursuant to relevant provisions.

第十九条证券公司从事定向资产管理业务，买卖证券交易所的交易品种，应当使用客户的定向资产管理专用证券账户；买卖证券交易所以外的交易品种，应当按照有关规定开立相应账户。

The purpose of my research is to present a framework of stock broking business, it is based on the actual situation of China's stock market, and refers to the basic marketing theories, use a large maunder of marketing data. I hope this study has value at promoting the operation and managing level of securities organization, especial for those who want upgrade its marketing ability.

本人选取证券经纪业务的营销作为研究对象，目的就是根据中国证券经营机构的实际情况，采用实证的研究方法，引用大量数据，并结合市场营销中的基本理论体系和框架，提出了证券经营机构开展营销活动的整体构想，希望能对证券经营机构在经纪业务中经营和管理水平，尤其是对证券经营机构营销能力的提高有一定的指导作用。

Security analyst is the professional market researcher.

伴随着各国的证券市场的不断完善，证券分析师这一行业也随之产生和发展起来，证券分析师是专业的市场研究人员，相对于其他的投资者而言，要求具有良好的专业素质，能够很好的了解和分析市场，并且要具备良好的职业道德规范，而证券分析师一般会要求通过考试，并且具有统一的组织进行监督和管理。

The same year on August 24, the China Securities Regulatory Commission, the State Council, SASAC , The Ministry of Finance, the People's Bank of China, Ministry of Commerce jointly promulgated the "listed companies on the share reform of guidance" that the relevant government departments to promote the comprehensive share reform of the determination "at all costs, to be determined to succeed"; 2005 September 4, the Securities and Futures Commission promulgated "listed companies split share structure reform management practices," the legally binding document issued for the future reform of the overall market clearly expected the process is of great significance; on September 6, Shanghai , The Shenzhen Stock Exchange Clearing Corporation and China issued a formal "of listed companies split share structure reform operational guidelines" and "listed companies split share structure reform format specification guidelines."

于8月24日在同一年，中国证券监督管理委员会，国务院，国资委，财政部，人民的中国，商务部，财政部联合颁布了关于共享"上市公司改革的指导意见"，有关政府部门促进不惜一切代价"的决心，全面股改，以确定成功"，2005年9月4日，证券及期货事务监察委员会颁布的"上市公司股权分置改革管理办法，"具有法律约束力的文件，对整体市场发出明确今后的改革进程，预计具有重要意义，发表了9月6日，上海，深圳证券交易所和中国结算公司正式上市公司股权分置改革业务"的指导方针"和"上市公司股权分置改革格式规范指引。"

The mechanism has many advantages, such as speciality, efficiency, agility, secrecy. The second chapter discusses about the arbitrability of securities disputes. Depend on classing securities disputes and researching arbitrable affairs, we put forward some suggestion about the arbitrability legislation of securities disputes. What can arbitrate is the securities disputes among stoke exchanges, public companies, stockjobbers, fund manager, and so on. It is beyond arbitrate ability. That the invading disputes happens because of false statement, controlling market, inside trade by public company, stockjobbers, and so on.

第二章论述了证券争议可仲裁事项问题，在对证券争议归类划分与可仲裁事项理论研究的基础上，提出了证券争议可仲裁事项的立法建议，即发生在证券交易所、上市公司、证券公司之间有关证券的争议，基金发起人、基金管理公司、基金托管机构之间有关基金的争议，以及上述主体与会计事务所、律师事务所、资信评估机构等中介机构之间发生的有关证券的争议，均可提交仲裁，但因上市公司、证券公司等主体的虚假陈述、操纵市场、内幕交易引起的证券侵权纠纷，不适用仲裁。

Guangdong Foretech Investment Consultants Co. Ltd （the qualified number: ZX0025）, was founded in August, 1995, is the one of the first security investment consultatory institutions that authenticated by Chinese Securities Regulatory Commission. Also, Foretech is the first company that was authorized to provide security investment consultatory services by adopting the quality control system-- ISO9001, and it is the only company approved by international professional identification in China so far. Foretech had been awarded "the national demonstrative company for quality, service and faith " in 2005,"the recognized database brand" in 2006,"AAA-class service quality corporation in the investment consultatory services industry" in 2006 and 2007,"the demonstrative company for customer service" in 2006 and 2007,"the prominent company for social responsibility" in 2006 and 2007, as well as "The top 100 good faith corportion in Guangzhou" in 2008, notably, this honor has been rewarded Foretech for 5 years consecutivly.

广东科德投资顾问有限公司成立于1995年8月，是首批经过中国证监会认证的证券投资咨询机构（资格证号：ZX0025）和国内首家通过ISO9001质量管理体系认证的具有证券投资咨询资格的公司，也是迄今为止国内唯一通过国际专业认证的证券咨询公司，并在2005年获得了&全国质量、服务、诚信示范单位&、2006年&中国名优数据库知名商标&、2006年&中国名优数据库优秀企业&、 2006年-2007年&全国证券投资咨询行业质量服务信誉AAA级单位&、&2006-2007年中国广州客户服务优质示范单位&、&2006-2007年广东省社会责任杰出贡献单位&、2008年&连续五年中国广州最具诚信度百强企业&等称誉。

The risk what stock trade affronts is a special behave that common risk represents in the stock field. So,in order to structure the risk management system in securities corporations,its very important to review and analyze gradually the risk main body in stock trade,risk environment,managing feature and the actuality faced in daily actions,it also important to review and compare the risk management process in stock trade in China and beyond the sea.

证券业所面临的风险又是一般意义上的风险在证券领域的特殊表现，因此，对证券业的风险主体和风险环境、证券公司的经营特性以及在日常经营活动中所面对的风险现状进行逐层深入地了解和分析，并对我国及海外证券业的风险管理进程进行考察、比较，是构建证券公司风险管理系统的基本前提和必要准备。

Article 36 Where securities companies carry out investment operations in aggregate asset management business, and conduct securities tradings in a stock exchange, they shall concentrate themselves on fixed seats, and report to the stock exchange and the securities registration and settlement institution for archival filing.

第三十六条证券公司进行集合资产管理业务投资运作，在证券交易所进行证券交易的，应当集中在固定席位上进行，并向证券交易所、证券登记结算机构备案。

The labia have now been sutured together almost completely.The drains and the Foley catheter come out at the top.

此刻阴唇已经几乎完全的缝在一起了，排除多余淤血体液的管子和Foley导管从顶端冒出来。

To get the business done, I suggest we split the difference in price.

为了做成这笔生意，我建议我们在价格上大家各让一半。