風(fēng)險(xiǎn)管理與合規(guī)ppt課件-文庫吧資料
2025-01-16 23:36本頁面
【正文】 司股票交易提供建議 ? Private Clients in providing investment advice on the listed pany ?私人客戶部提供上市公司的投資建議 Control Rooms 控制室 A Control Room’s main functions: 控制室的主要功能： ? Maintaining global marketing and watch lists ? 維持全球營銷和觀察清單 ? Maintaining global restricted trading lists ? 維持全球限制交易清單 ? Identifying potential conflicts of interest ? 識別潛在的利益沖突 ? Clearing/recording Chinese Wall crossings and registering Insiders ? 理清 /記錄中國墻間的交叉，登記內(nèi)部知情人 ? Preclearance of equity and fixedine research ? 提前弄清楚股權(quán)和固定收益研究 ? Preclearance of certain transactions ? 預(yù)先清除某些交易 Market Abuse: Market Manipulation 市場濫用：市場操縱 ? Spreading false or misleading information about the market, or the price or value of an investment . spreading a rumour and false or misleading news through inter 散布錯誤的或者誤導(dǎo)性的有關(guān)市場、投資價格或價值的信息 例如：通過英特網(wǎng)散布謠言或虛假新聞 ? Acting purely to influence the price of financial instruments . manipulating the price at the closing of markets manipulating the price upward to show a higher portfolio value (usually around month, quarter, or yearend) 純粹為影響金融工具的價格的行為 例如：操縱股市收盤價 操縱價格的上升，顯示更高的投資組合價值（一般在月末、季度末或年末時） ? Doing transactions that create the impression of greater supply and/or demand than exists in reality . doing trades with no economic basis, undertaken simply to give the illusion of activity (manipulation of volume) ? 做交易以制造比實(shí)際更大的供給和 /或需求的印象 ? 例如：做沒有經(jīng)濟(jì)基礎(chǔ)的股票買賣，僅僅是為了給予活動頻繁的假象（操縱交易量） Market Abuse: Insider dealing 市場濫用：內(nèi)幕交易 Inside information is information that is: 內(nèi)幕信息是指： ? Precise (about an event or circumstances that have occurred or can reasonably be expected to occur) ?準(zhǔn)確（關(guān)于已發(fā)生的，或者預(yù)計(jì)很可能發(fā)生的事件或情況的準(zhǔn)確信息） ? Not generally available / Not obtainable by analysis or research ?通常無法獲得 /不能通過分析或研究獲得 ? If it were made public, it would probably affect the price or value of the pany / industry sector involved ?如果公之于眾，很可能會影響有關(guān)公司 /行業(yè)的價格或價值 It includes information which could relate to:它包括有關(guān)以下幾方面的信息： ? Issuers of financial instruments 金融工具的發(fā)行者 ? Transferable securities 可轉(zhuǎn)讓證券 ? Commodities or 商品或者 ? Client Orders 客戶訂單 Market Abuse: Insider dealing (Continued) 市場濫用：內(nèi)幕交易 （續(xù)） Anyone in the possession of inside information may not: 任何擁有內(nèi)部信息的人不可以： ? Must not improperly pass the inside information on to someone else 不能將內(nèi)部信息不當(dāng)?shù)貍鬟_(dá)給他人 ? Buy or sell financial instruments of issuers for your own or a banks economic advantage ? 為自己或者銀行的經(jīng)濟(jì)利益購買或銷售發(fā)行人的金融工具 ? Remend or induce another person to do either of the above ? 建議或者勸誘他人做以上任一件事情 Other Compliance topics 其它合規(guī)問題 ? Personal Account Dealing Policy個人賬戶交易政策 ? Gift Policy 禮品政策 ? Bribery and Corruption 賄賂與腐敗 ? Whistleblowing 檢舉揭發(fā) Personal Account Dealing Policy 個人賬戶交易政策 Why?原因 ? ? Buying or selling securities while in the possession of confidential price sensitive information (inside information) is a criminal offence in most , 在掌握機(jī)密的價格信息 (內(nèi)部信息 )的情況下買賣證券構(gòu)成犯罪行為。您目前的配置方面，我想 50006000萬會得到您想要的最佳收益。給您一些資料單行嗎？ Non advice 非建議 Advice 建議 In view of your current portfolio and risk appetite, I think the most appropriate investment would be one of our market protection structured products. These can give the upside potential without the downside risk. In terms of your current allocations I reckon that 5060m would effect the shift in frontier that you want. 鑒于您目前的投資組合和您的風(fēng)險(xiǎn)喜好，我認(rèn)為最適合的投資是我們的保護(hù)收益的結(jié)構(gòu)性產(chǎn)品。 or 適合于個人的，或者 ? Based on a consideration of the circumstances of the person 基于對個人請況的綜合考慮的 ? Where the client can reasonably assume it is a remendation 客戶能將之當(dāng)作建議的 Suitability 適宜度 Advisory Discretionary 咨詢酌情考慮 ? Owed to all advisory clients 歸功于所有咨詢客戶 Appropriateness合適度 Non Advised Services 非咨詢服務(wù) Suitability of Advice 建議的適宜度 A bank may only give: 銀行可能會給出： investment advice to a client or 投資建議，或者 effect a discretionary investment transaction 影響任意的投資交易 when this is ―suitable‖ given the client‘s needs and personal circumstances. 只在這些建議適合客戶的需求和個人情況時 Suitability must be assessed based on: 適宜度需根據(jù)以下條件來評估： the information disclosed by the client, and/or 客戶透露的信息，和 /或 client information the bank reasonably should have been aware of. 銀行應(yīng)該注意到的客戶信息 In case of non advice for a client, no suitability check needs to take place. 如果對客戶沒有做出任何建議，不需檢查其適宜度 Suitability of Advice: Information from/to client 建議的適宜性：來自 /給予客戶的信息 Before the bank gives investment advice it must collect and retain sufficient information from the client on: 在銀行給出投資建議前，必須從客戶那里收集并保留足夠的如下方面的信息： his / its investment experience and knowledge of products and risks attached 投資經(jīng)驗(yàn)和對產(chǎn)品及其風(fēng)險(xiǎn)的了解水平
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