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中文(ZH) 券商交易业务单元专项整改工作启动,严禁为个别投资者提供特殊便利

China stock exchanges tighten trading rules, ban special investor access

China's major stock exchanges have updated trading business unit management rules, instructing brokerages to immediately begin a comprehensive self-inspection. Brokerages must rectify any non-compliant configurations within three months, ensuring fair allocation of trading gateways to all investors, particularly small and medium-sized ones. The new regulations strictly prohibit providing special conveniences to individual investors and mandate business segregation for proprietary trading, market making, and asset management to maintain market order and fairness. AI

RANK_REASON Regulatory action by major stock exchanges impacting brokerage operations and investor access. [lever_c_demoted from significant: ic=1 ai=0.1]

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COVERAGE [1]

  1. 36氪 (36Kr) TIER_1 中文(ZH) ·

    Securities firm trading business unit special rectification work launched, strictly prohibiting the provision of special conveniences to individual investors

    三大交易所近日修订了交易业务单元管理要求,并向券商下发通知,强化交易业务单元管理,旨在维护证券市场秩序和交易公平,保护投资者合法权益。交易所明确,券商即刻启动交易单元全面自查,存量不合规配置须在3个月内整改完毕;交易所要求,应当做好交易单元内部分配,公平对待投资者,保护投资者特别是中小投资者合法权益,严禁为个别投资者提供特殊便利;会员应当为投资者公平分配交易网关,原则上不得为单一投资者分配单独使用的交易网关。新规划定红线,自营、做市、资产管理等不同业务需要进行业务隔离的,应当合理使用交易网关,不得影响交易公平;券商应当确保清理整改工作平稳有序开展,切实做…