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class="contant_model"> <div class="contant_c contant_c_clear"> <h2 class="title contant_blue">证券基金¾lè¥æœºæž„债券投资交易业务内控指引</h2> <div class="contArticle"> <span>作者:佚名</span> <span>来源åQšæœ¬ç«™æ•´ç?/span> <span>发布旉™—´åQ?018òq?2æœ?6æ—?/span> <span>点击敎ͼš <script language="JavaScript" type="text/JavaScript" src="/Common/GetHits.aspx?id=12839"></script> </span> <span>ã€?a href="/User/Content/Favorite.aspx?Action=add&Id=12839">收藏</a>ã€?/span> <span>ã€?a href="/Print.aspx?id=12839">打印文章</a>ã€?/span> </span> <span><span id="content_AdminEdit"></span> <script type="text/javascript"> function CheckAdminStatus(id) { var x=new AjaxRequest('XML',''); x.para = ['itemId='+id]; x.post('admineditcheck','/ajax.aspx',function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; if(status=='OK') { var managedir = "/Common/GetContentEdit.aspx?itemId=12839" ; document.getElementById("content_AdminEdit").innerHTML = "ã€?a href='" + managedir + "' 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"【已˜q‡ç­¾æ”¶æˆªæ­¢æ—¶é—´ã€?; break; case "Signined": document.getElementById("content_signin").innerHTML = "【已½{¾æ”¶ã€?; break; } }); } function AutoSigninContent(id,time) { var secs = time; var wait = secs * 1000; document.getElementById("content_signin").innerHTML = "【自动签收[" + secs +"]¿U’ã€?; for(i = 1; i <= secs; i++) { window.setTimeout("UpdateAutoSigninTime(" + i + "," + secs + ")", i * 1000); } window.setTimeout("SigninContent('"+id+"')", wait); } function UpdateAutoSigninTime(number,wait) { printnr = wait - number; document.getElementById("content_signin").innerHTML = "【自动签收[" + printnr +"]¿U’ã€?; } function SigninContent(id) { var x = new AjaxRequest('XML','content_SigninAjaxStatus'); x.para = ['itemId='+id]; x.post('SigninContent', '/ajax.aspx', function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; document.getElementById("content_SigninAjaxStatus").style.display = "none"; switch (status) { case "Signined": document.getElementById("content_signin").innerHTML = "【已½{¾æ”¶ã€?; break; case "NotSignined": document.getElementById("content_signin").innerHTML = "【签收失败ã€?; break; case "SigninOutTime": document.getElementById("content_signin").innerHTML = "【已˜q‡ç­¾æ”¶æˆªæ­¢æ—¶é—´ã€?; break; } } ); } GetContentSigninStatus('12839'); </script></span> </div> <div class="c_content_text"> <div class="c_content_overflow" id="fontzoom"> <div class="hei14" style="line-height: 22px;"> <div class="TRS_Editor"> <div class="TRS_PreAppend"> <p align="center" class="MsoNormal" style="text-align: center; line-height: 150%;"><span lang="EN-US" style="color: black; line-height: 150%; font-family: 宋体; font-size: 12pt;">(</span><span style="color: black; line-height: 150%; font-family: 宋体; font-size: 12pt;">中证协第六届常务理事会和中基协第二届理事会表决通过<span lang="EN-US">,2018</span>òq?span lang="EN-US">12</span>æœ?span lang="EN-US">25</span>日发å¸?span lang="EN-US">)</span></span></p> <p align="center" class="MsoNormal" style="text-align: center; line-height: 150%;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬ä¸€ç«?æ€Õdˆ™</span></b></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬ä¸€æ?/span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  ä¸ø™§„范证券基金经营机构债券投资交易相关业务åQŒå¾ç«‹å’Œå¥å…¨è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„债券投资交易相关业务内部控制机制åQŒæœ‰æ•ˆé˜²èŒƒå’ŒæŽ§åˆ¶é£Žé™©åQŒæ ¹æ®ã€Šä¸­åŽäh民共和国证券法》、《中华äh民共和国证券投资基金法》、《中国äh民银行中国银行业监督½Ž¡ç†å§”员ä¼?中国证券监督½Ž¡ç†å§”员ä¼?中国保险监督½Ž¡ç†å§”员会关于规范债券市场参与者债券交易业务的通知》、《关于进一步加å¼ø™¯åˆ¸åŸºé‡‘经营机构债券交易监管的通知》等相关法律法规、规范性文件及自律规则åQŒåˆ¶å®šæœ¬æŒ‡å¼•ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬äºŒæ?/span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  æœ¬æŒ‡å¼•æ‰€¿U°è¯åˆ¸åŸºé‡‘经营机构äؓ证券公司及其子公司、基金管理公司及其子公司。上˜q°è¯åˆ¸åŸºé‡‘经营机构证券自营(以下½Ž€¿U?ldquo;自营”åQ‰ã€èµ„产管理(含私募与公募基金åQŒä»¥ä¸‹ç®€¿U?ldquo;资管”åQ‰ã€æŠ•èµ„顾问(以下½Ž€¿U?ldquo;投顾”åQ‰ç­‰ä¸šåŠ¡å‚与债券投资交易åQˆä»¥ä¸‹ç®€¿U?ldquo;债券投资交易业务”åQ‰é€‚用于本指引ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">本指引所¿U°å€ºåˆ¸åŒ…括但不限于国债、地方债、金融债、政府支持机构债、企业债、非金融企业债务融资工具、公司债。证券基金经营机构开展资产支持证券、同业存单的投资交易业务åQŒå‚照本指引执行ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">本指引所¿U°å€ºåˆ¸æŠ•èµ„交易为债券现券交易、债券回购交易、债券˜qœæœŸäº¤æ˜“、债券借贷业务½{‰ç¬¦åˆè§„定的债券投资交易业务ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">其他公开募集证券投资基金½Ž¡ç†äººå‚照本指引执行。其他公开募集证券投资基金½Ž¡ç†äººåŒ…括但不限于开展公开募集证券投资基金½Ž¡ç†ä¸šåŠ¡çš„保险资产管理机构、私募资产管理机构等ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬ä¸‰æ?/span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  ä¸­å›½è¯åˆ¸ä¸šåä¼šï¼ˆä»¥ä¸‹½Ž€¿UîC¸­è¯ååQ‰ã€ä¸­å›½è¯åˆ¸æŠ•èµ„基金业协会åQˆä»¥ä¸‹ç®€¿UîC¸­åŸºååQ‰å¯¹è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„债券投资交易业务实施自律½Ž¡ç†ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬å››æ?</span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;"> è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„开展债券投资交易业务åQŒåº”当徏立明¼‹®çš„业务½Ž¡ç†åˆ¶åº¦å’Œé£Žé™©ç®¡ç†åˆ¶åº¦ï¼ŒåŠ å¼ºä¸šåŠ¡‹¹ç¨‹½Ž¡ç†å’Œé£Žé™©æŽ§åˆ¶ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬äº”æ?/span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„应当建立用于½Ž¡ç†å€ºåˆ¸æŠ•èµ„交易业务的信息技术管理系¾lŸï¼ˆä»¥ä¸‹½Ž€¿U°ç®¡ç†ç³»¾lŸï¼‰åQŒå€ºåˆ¸æŠ•èµ„交易业务应统一归集在管理系¾lŸåã^åîC¸Šå¼€å±•ï¼Œ½Ž¡ç†¾pȝ»ŸåŒ…括但不限于业务审批、业务要素录入、业务风险监‹¹‹ç®¡ç†ã€ä¸šåŠ¡åˆè§„审核等功能åQŒåƈ在符合监½Ž¡è¦æ±‚的前提下,审慎讄¡½®ä¸šåŠ¡è§„模、杠杆比例、集中度及ä­h格偏¼›Õdº¦½{‰æŒ‡æ ‡ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½Ž¡ç†¾pȝ»Ÿåº”当依据职责分工向债券投资交易相关业务部门åQˆä»¥ä¸‹ç®€¿U?ldquo;业务部门”åQ‰ã€é£Žé™©ç®¡ç†éƒ¨é—¨ã€åˆè§„部门、清½Ž—部门、资金管理部门、胦务部门等开攄¡›¸åº”权限,òq¶åº”当对债券投资交易业务全流½E‹ç•™ç—•ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½Ž¡ç†¾pȝ»Ÿåº”当对自营、资½Ž¡ã€æŠ•™å¾ä¸šåŠ¡è¿›è¡Œéš”¼›»ï¼Œè¯åˆ¸åŸºé‡‘¾lè¥æœºæž„可对自营、资½Ž¡ã€æŠ•™å¾ä¸šåŠ¡æ¡¾U¿åˆ†åˆ«å¾ç«‹ç®¡ç†ç³»¾lŸã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬å…­æ?/span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„及其从业人员应当依法合规开展债券投资交易业务åQŒä¸å¾—私下或在表外开展债券投资交易åQ›æŒ‰ç…§è§„定应当签订书面合同的åQŒä¸å¾—以邮äšg、即旉™€šè®¯ä¿¡æ¯½{‰æ›¿ä»£ä¹¦é¢åˆåŒï¼›ä¸å¾—指定协议双方以外的第三方作äؓ交易å¯ÒŽ‰‹æ–¹å¼€å±•å€ºåˆ¸å›žè´­äº¤æ˜“åQ›ä¸å¾—以人员挂靠、业务包òq²ç­‰æ‰¿åŒ…方式开展业务,或以其他形式实施˜q‡åº¦‹È€åŠ±ï¼›ä¸å¾—通过ä»ÖM½•äº¤æ˜“形式˜q›è¡Œåˆ©ç›Šè¾“送、内òq•äº¤æ˜“、操¾Uµå¸‚场、规避监½Ž¡ï¼Œæˆ–者äؓ规避监管提供服务、便利ã€?/span></p> <p align="center" class="MsoNormal" style="text-align: center; line-height: 150%;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬äºŒç«?内控体系</span></b></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬ä¸ƒæ?/span></b><a name="_Hlk508356692" style="color: rgb(0, 0, 0);"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„应当对债券投资交易业务合规½Ž¡ç†ã€é£Žé™©æŽ§åˆ¶ã€æ¸…½Ž—交收、胦务核½Ž—等中后台部门集中统一½Ž¡ç†åQŒåƈ应当通过信息技术等手段全面掌握、监‹¹‹å€ºåˆ¸æŠ•èµ„交易行äؓåQŒåŠæ—¶æœ‰æ•ˆé˜²èŒƒé£Žé™©ã€?/span></a></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">债券有关业务应当按照¾lçºªã€è‡ªè¥ã€æ‰¿é”€ã€èµ„½Ž¡ã€æŠ•™å„¡­‰ä¸šåŠ¡¾cÕdž‹åˆ†å¼€åŠžç†åQŒåƈ在äh员、è̎戗÷€èµ„金、信息等斚w¢ä¸¥æ ¼åˆ†ç¦»åQŒåˆ‡å®žé˜²èŒƒåˆ©ç›Šå†²½Hï¼›å€ºåˆ¸æŠ•èµ„交易的投资决½{–、交易执行、风险控制、清½Ž—交收等关键岗位应当专äh负责、相互监督,¼›æ­¢å²—位å…ég“Q或者æ؜合操作ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬å…«æ?/span></b><a name="_Hlk516056769" style="color: rgb(0, 0, 0);"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„应当构徏完善的债券投资交易内部控制体系</span></a><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">åQŒä¸šåŠ¡éƒ¨é—¨ã€é£Žé™©ç®¡ç†éƒ¨é—¨ã€åˆè§„部门、后台部门应当分工合理、权责明¼‹®ã€ç›¸äº’制衡、有效监督ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 33pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬ä¹æ?/span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„业务部门职责包括制定债券投资交易业务相关规则、业务流½E‹ï¼Œå±¥è¡Œä¸šåŠ¡ä¸€¾U‰K£ŽæŽ§èŒè´£ï¼Œåœ¨é£Žé™©æŒ‡æ ‡å†…开展业务,¼‹®ä¿½Ž¡ç†¾pȝ»Ÿä¸­äº¤æ˜“信息的完整åQŒåœ¨æ—¥å¸¸ä¸šåŠ¡ä¸­å°±é£Žé™©äº‹é¡¹ä¸Žé£Žé™©ç®¡ç†éƒ¨é—¨æˆ–合规部门保持密切沟通ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 33pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">业务部门下设二çñ”部门开展债券投资交易业务的,应当明确业务规模及风险指标等授权åQŒè–ªé…¬æ¿€åŠ±ã€äh员安排应当纳入部门统一½Ž¡ç†åQŒä¸å¾—以构徏若干个相同业务范围的业务团队和采用收入分成或包干的激励机制代曉Kƒ¨é—¨ç®¡ç†ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 33pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬åæ?/span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„风险½Ž¡ç†éƒ¨é—¨å…·ä½“职责包括制定债券投资交易业务相关风险½Ž¡ç†åˆ¶åº¦åQŒæ ¹æ®å…¬å¸å†…部制度对债券投资交易情况˜q›è¡Œç›‘控åQŒå¼€å±•é£Žé™©è¯†åˆ«ã€ç›‘‹¹‹ã€è®¡é‡ä¸Žè¯„ä¼°½{‰é£Žé™©ç®¡ç†å·¥ä½œï¼Œòq¶å‘½Ž¡ç†å±‚揭½CÞZ¸šåŠ¡éƒ¨é—¨çš„业务风险åQŒæå‡ºé£Žé™©æŽˆæƒé™é¢å’Œé£Žé™©½Ž¡ç†æŽªæ–½½{‰å¾è®®ï¼Œå®šæœŸå‡ºå…·é£Žé™©ç›‘控报告ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 33pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬åä¸€æ?/span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„å…ähœ‰åˆè§„½Ž¡ç†èŒè´£çš„相关部门应当对债券投资交易业务相关的制度、新产品、新业务æ–ÒŽ¡ˆåŠåè®®ç­‰˜q›è¡Œåˆè§„性审查,¼‹®ä¿ä¸šåŠ¡½W¦åˆæ³•å¾‹æ³•è§„、äñ”品合同的规定ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 33pt;"><a name="_Hlk508371030" style="color: rgb(0, 0, 0);"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬åäºŒæ¡ </span></b></a><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;"> è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„合规½Ž¡ç†åº”当覆盖各类业务部门、äh员和业务环节。业务部门应当配备专职合规äh员负责债券投资交易合规½Ž¡ç†åQŒä¸šåŠ¡éƒ¨é—¨ä¸‹è®¾äºŒ¾U§éƒ¨é—¨çš„åQŒåº”当配备兼职合规äh员,配合å…ähœ‰åˆè§„½Ž¡ç†èŒè´£çš„相关部门进行合规管理,òq¶æ˜Ž¼‹®å…¶åˆè§„½Ž¡ç†è¦æ±‚。业务部门与总部异地办公的,总部应当‹zùN©»åˆè§„人员åQŒåƈ通过增加合规‹‚€æŸ¥å’Œ½E½æ ¸å®¡è®¡‹Æ¡æ•°½{‰æ‰‹ŒDµåŠ å¼ºç®¡æŽ§ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 33pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬åä¸‰æ¡</span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  ä¿¡æ¯æŠ€æœ¯éƒ¨é—¨ã€æ³•å¾‹éƒ¨é—¨ã€æ¸…½Ž—部门、胦务部门等后台部门在åï–行各自职责åƈ保障债券投资交易™åºåˆ©˜q›è¡Œçš„基¼‹€ä¹‹ä¸ŠåQŒåº”当协同配合风险管理及合规½Ž¡ç†éƒ¨é—¨åQŒäؓ风险½Ž¡ç†åŠåˆè§„管理提供支持、协作和监督åQŒç¡®ä¿é£Žé™©ç®¡ç†ã€åˆè§„管理工作的一致性和有效性ã€?/span></p> <p align="center" class="MsoNormal" style="text-align: center; line-height: 150%;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬ä¸‰ç«?业务内控</span></b></p> <p align="center" class="MsoNormal" style="text-align: center; line-height: 150%;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬ä¸€èŠ?span lang="EN-US">  </span>风险½Ž¡ç†</span></b></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬åå››æ¡</span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„自营和资½Ž¡ä¸šåŠ¡å‚与债券投资交易åQŒåº”当纳入公司全面风险管理体¾p»ï¼Œòq‰™‡ç‚¹åŠ å¼ºæµåŠ¨æ€§é£Žé™©ã€äº¤æ˜“对手方信用风险的评估监控,健全应急处¾|®æœºåˆ¶ã€‚对于单一资äñ”½Ž¡ç†è®¡åˆ’产品åQŒåº”当切实åï–行管理äh职责ã€?/span></p> <p align="left" class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">证券基金¾lè¥æœºæž„<a name="_Hlk508371273" style="color: rgb(0, 0, 0);">投顾业务涉及债券投资交易的,应当建立健全相应合规与风控制åº?/a>ã€?/span></p> <p align="left" class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><a name="_Hlk507163823" style="color: rgb(0, 0, 0);"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">证券基金¾lè¥æœºæž„应当对自营、资½Ž¡è̎户之间的交易及投™å‘Ö¾è®®ä¸­æ¶‰åŠä¸Žæœ¬æœºæž„自营、资½Ž¡è̎戯‚¿›è¡Œäº¤æ˜“的情况实施有效监控åQŒé˜²èŒƒåˆ©ç›Šè¾“送、冲½Hå’Œé£Žé™©ä¼ å¯¼ã€?/span></a></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬åäº”条</span></b><a name="_Hlk508372162" style="color: rgb(0, 0, 0);"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">证券基金¾lè¥æœºæž„证券自营和资½Ž¡ä¸šåŠ¡å‚ä¸?/span></a><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">债券投资交易åQŒåº”当徏立相应的针对债券投资交易业务的风险管理指标体¾p»ï¼ŒåŒ…括但不限于市场风险指标、流动性指标和信用风险指标ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">自营和资½Ž¡ä¸šåŠ¡å‚与债券投资交易应当在风险指标范围内开展,原则上不得超标开展业务。对于暂时性超标情况,应当明确­‘…标处理的流½E‹ã€‚出现暂时性超标时åQŒåº”当严格åï–行超标处理流½E‹åƈ制定在一定时间内降至指标范围内的具体处置æ–ÒŽ¡ˆã€‚具有风险管理或合规½Ž¡ç†ç›¸å…³èŒè´£çš„部门应当监督超限处理情å†üc€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬åå…­æ¡</span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„应当<a name="_Hlk516057184" style="color: rgb(0, 0, 0);">对现åˆæ€º¤æ˜“、买断式回购、远期、借贷交易的标的债券˜q›è¡Œå¿…要的尽职调查和内部评çñ”</a>åQŒåŒºåˆ†ä¸åŒçš„风险½{‰çñ”åQŒå¾ç«‹äº¤æ˜“标的债券产品库制度;对质押式回购的标的债券åQŒå¯å‚考外部评¾U§ï¼Œå»ºç«‹é»‘名单制度。证券基金经营机构应å½?a name="_Hlk516057201" style="color: rgb(0, 0, 0);">寚w€†å›žè´­ã€è¿œæœŸã€å€Ÿè´·èžå‡ºäº¤æ˜“的交易对手进行必要的ž®½èŒè°ƒæŸ¥å’Œå†…部评¾U?/a>åQŒåŒºåˆ†ä¸åŒçš„风险½{‰çñ”åQŒå¾ç«‹ç™½åå•åˆ¶åº¦ã€‚交易对手白名单应当臛_°‘每年更新一‹Æ¡ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">证券基金¾lè¥æœºæž„开展自营和资管业务æ—Óž¼Œåº”确保交易标的债券及交易对手符合上˜q°è¦æ±‚ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">对于与中央对手方˜q›è¡Œçš„回购交易,无需å¯ÒŽ ‡çš„债券及交易对手进行尽职调查和内部评çñ”ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬åä¸ƒæ¡</span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„自营及资½Ž¡ä¸šåŠ¡åº”当徏立交易对手额度管理制度,明确债券逆回购、远期、借贷融出交易的交易对手授信额度管理要求,æ ÒŽ®å†…部评çñ”风险½{‰çñ”分配相应额度。对于内部评¾U§è¾ƒä½Žçš„交易å¯ÒŽ‰‹åº”当审慎严格控制额度上限ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><a name="_Hlk507486600" style="color: rgb(0, 0, 0);"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬åå…«æ¡</span></b></a><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„应当在中后台部门讄¡½®ä¸“å²—åQŒè´Ÿè´£æ¯ä¸ªäº¤æ˜“日日终核对交易明细及与å¯ÒŽ‰‹æ–¹çš„回购åQˆè¿”售)或远期交易安排(如有åQ‰ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬åä¹æ¡ </span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;"> è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„应当选取市场公允指标ä¸ÕdŠ¨å»ºç«‹å¤šæŒ‡æ ‡ã€å·®å¼‚化的债券投资交易ä»äh ¼å’Œåˆ©çŽ‡çš„比较基准体系åQŒé¿å…è¿‡åº¦ä¾èµ–单一比较基准。出çŽîC¸‹åˆ—情冉|—¶åQ?a name="_Hlk516057748" style="color: rgb(0, 0, 0);">业务部门应当向风险管理部门备案åƈ作出合理说明</a>åQˆå…¬å‹ŸåŸºé‡‘另有规定的åQŒä»Žå…¶è§„定)åQ?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">åQˆä¸€åQ‰çŽ°åˆæ€º¤æ˜“:<a name="_Hlk516057774" style="color: rgb(0, 0, 0);">除通过证券交易所集中交易外,现券交易ä»äh ¼åQˆå‡€ä»øP¼‰åŒæ—¶åç¦»äº¤æ˜“当日日终相关比较基准­‘…过<span lang="EN-US">1%</span>åQˆå«åQ‰æ—¶åQŒç›¸å…Ïx¯”较基准包括但不限于中å€ÞZ¼°å€¹{€ä¸­è¯ä¼°å€¼åŠä¸­è¯åå’Œä¸­åŸºåå…±åŒè®¤å¯çš„其他公允指标åQ?/a></span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">åQˆäºŒåQ?a name="_Hlk516057792" style="color: rgb(0, 0, 0);">回购交易åQšé™¤é€šè¿‡è¯åˆ¸äº¤æ˜“所集中交易外,回购利率偏离交易当日日终相同ä¸ÖM½“¾cÕdˆ«åŒæœŸé™åŠ æƒåˆ©çŽ?span lang="EN-US">50</span>个基点(<span lang="EN-US">BP</span>åQ‰æ—¶ã€‚相å…Ïx¯”较基准包括但不限于银行间市场<span lang="EN-US">R00X</span>å?span lang="EN-US">OR00X</span>、上交所固收òq›_°<span lang="EN-US">R00X</span>与深交所¾l¼åˆåè®®òq›_°<span lang="EN-US">RR-XXX</span>å’?span lang="EN-US">TR-XXX</span></a><a name="_Hlk516490676" style="color: rgb(0, 0, 0);">及中证协和中基协共同认可的其他公允指标ã€?/a></span></p> <p align="center" class="MsoNormal" style="text-align: center; line-height: 150%;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬äºŒèŠ? ä¸šåŠ¡½Ž¡ç†</span></b></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬äºŒåæ¡</span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;"><a name="_Hlk508522836" style="color: rgb(0, 0, 0);">证券基金¾lè¥æœºæž„应当对债券投资交易业务实行逐çñ”授权½Ž¡ç†åQŒæ‰€æœ‰äº¤æ˜“å¿…™åȝ»½Ž¡ç†¾pȝ»Ÿé£ŽæŽ§æŒ‡æ ‡æ ¸æŸ¥åQŒåœ¨æŽˆæƒçš„范围内审慎开展,­‘…过授权范围的交易须¾lè¿‡ç›¸åº”的被授权¾l„织或责ä»ÖMh批准方可开å±?/a>ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">证券基金¾lè¥æœºæž„投顾业务涉及债券投资交易的,应当在授权的范围内审慎开展,­‘…过授权范围的投资徏议须¾lè¿‡ç›¸åº”的被授权¾l„织或责ä»ÖMh批准方可发送至委托斏V€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬äºŒåä¸€æ?/span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„自营和资½Ž¡ä¸šåŠ¡å¼€å±•å€ºåˆ¸æŠ•èµ„交易应当<a name="_Hlk508523453" style="color: rgb(0, 0, 0);">健全应急处¾|®æœºåˆ?/a>ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬äºŒåäºŒæ?/span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„<a name="_Hlk508524588" style="color: rgb(0, 0, 0);">债券投资交易人员应当使用公司¾lŸä¸€é…ç½®çš„电话、邮件、即旉™€šè®¯½{‰ç³»¾lŸå¼€å±•å€ºåˆ¸æŠ•èµ„交易询ä­h½{‰æ´»åŠ¨ï¼Œå…¶å·¥ä½œé‚®ä»¶ã€é€šè¯è®°å½•ã€å³æ—‰™€šè®¯ä¿¡æ¯½{‰åº”当监‹¹‹ç•™ç—•ï¼Œòq¶æŽ¥å—合规部门监督检查。严¼›å€ºåˆ¸æŠ•èµ„交易人员使用非公司统一配置邮箱、社交网¾lœè̎戗÷€å³æ—‰™€šè®¯å·¥å…·½{‰è¿›è¡Œäº¤æ˜“询ä»ïL­‰‹zÕdŠ¨ã€?/a></span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬äºŒåä¸‰æ?/span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;"><a name="_Hlk508525187" style="color: rgb(0, 0, 0);">证券基金¾lè¥æœºæž„自营和资½Ž¡ä¸šåŠ¡å¼€å±•å›žè´­ã€è¿œæœŸã€å€Ÿè´·½{‰äº¤æ˜“,在需要签订协议时交易双方均应当按照实质重于åŞ式的原则åQŒæŒ‰è§„定½{¾è®¢äº¤æ˜“合同及相兛_è®®ï¼Œòq¶åº”当加盖公司公章或¾lå…¬åæ€¹¦é¢æ˜Ž¼‹®æŽˆæƒçš„业务专用章或合同专用章,òq¶ä»¥ä¹¦é¢æˆ–电子åŞ式集中存档ã€?/a></span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬äºŒåå››æ?/span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„自营和资½Ž¡ä¸šåŠ¡å‚与现åˆæ€º¤æ˜“应当严格按照有å…Ïx³•å¾‹ã€æ³•è§„、规章、规范性文件及业务规则的规定开展业务,<a name="_Hlk508525438" style="color: rgb(0, 0, 0);">加强技术支持及人员操作的管理,防范技术故障、操作失误等造成的交易异帔R£Žé™©å’Œ¾l“算风险ã€?/a></span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬äºŒåäº”æ?/span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„自营和资½Ž¡ä¸šåŠ¡å‚与债券回购交易åQ?a name="_Hlk508525620" style="color: rgb(0, 0, 0);">应分别按会计准则要求ž®†äº¤æ˜“纳入机构资产负å€ø™¡¨å†…及非法äºÞZñ”品表内核½Ž—,计入“买入˜q”å”®”æˆ?ldquo;卖出回购”¿U‘ç›®ã€?/a></span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">¾U¦å®šç”׃»–人暂时持有但最¾lˆé¡»è´­å›žæˆ–者äؓ他äh暂时持有但最¾lˆé¡»˜q”售的债券投资交易åQŒå‡å±žäºŽä¹°æ–­å¼å›žè´­ï¼Œå€ºåˆ¸å‘行分销期间代申购、代¾~´æ¬¾äº¤æ˜“除外。开展买断式回购交易的,正回购方应当ž®†é€†å›žè´­æ–¹æš‚时持有的债券¾l§ç®‹æŒ‰ç…§è‡ªæœ‰å€ºåˆ¸˜q›è¡Œä¼šè®¡æ ¸ç®—åQŒä»¥æ­¤è®¡½Ž—风险资本准备、表内外资äñ”总额½{‰é£Žé™©æŽ§åˆ¶æŒ‡æ ‡ï¼Œòq¶ç»Ÿä¸€¾U›_…¥è§„模、杠杆、集中度½{‰æŒ‡æ ‡æŽ§åˆ¶ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">开展质押式回购交易åQŒåº”当按照有å…Ïx³•å¾‹æ³•è§„办理质押登讎ͼŒå‚与者开展质押式回购与买断式回购最长期限均不得­‘…过<span lang="EN-US">365</span>天。经交易双方协商一è‡ß_¼Œè´¨æŠ¼å¼å›žè´­ï¼ˆä¸å«ä¸Šæ“v证券交易所及深圌™¯åˆæ€º¤æ˜“所集中竞ä­h形式的质押式回购åQ‰äº¤æ˜“可以换券,买断式回购交易可以现金交割和提前赎回ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">开展逆回购交易的åQŒåº”æ ÒŽ®è´¨æŠ¼å“èµ„质审慎确定质押率水åã^åQŒåƈ持箋监测质押品的风险状况和ä­h值变动ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬äºŒåå…­æ?/span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„自营和资½Ž¡ä¸šåŠ¡å¼€å±•å€ºåˆ¸˜qœæœŸäº¤æ˜“<a name="_Hlk508525897" style="color: rgb(0, 0, 0);">应当加强产品期限、交割方式、交割规模控åˆÓž¼ŒåŠ å¼ºå•åªå€ºåˆ¸˜qœæœŸäº¤æ˜“卖出与买入æ€ÖM½™é¢å è¯¥åªå€ºåˆ¸‹¹é€šé‡çš„比例控制、远期交易卖出æ€ÖM½™é¢å å¯ç”¨è‡ªæœ‰å€ºåˆ¸æ€ÖM½™é¢çš„比例控制。非法äh产品应当加强债券˜qœæœŸäº¤æ˜“净买入余额与äñ”品净值的比例控制ã€?/a></span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬äºŒåä¸ƒæ?/span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„自营和资½Ž¡ä¸šåŠ¡å¼€å±•å€ºåˆ¸å€Ÿè´·äº¤æ˜“åQŒåº”å½?a name="_Hlk508525921" style="color: rgb(0, 0, 0);">加强债券借贷的融入余额占自有债券托管总量的比例、单只债券借贷融入åQˆæˆ–融出åQ‰ä½™é¢å è¯¥åªå€ºåˆ¸å‘行量的比例控制ã€?/a></span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬äºŒåå…«æ?/span></b><a name="_Hlk508522693" style="color: rgb(0, 0, 0);"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„应当æ ÒŽ®è¦æ±‚</span></a><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">在指定系¾lŸä¸­æŠ¥å¤‡åœºå¤–债券投资交易相关数据。场外债券投资交易数据ç”׃¸­è¯åä¸Žä¸­åŸºåå…׃ínã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">场外债券投资交易是指<a name="_Hlk508526047" style="color: rgb(0, 0, 0);">在银行间债券市场åQˆå«åŒ—京金融资äñ”交易所åQ‰ã€æœºæž„é—´¿Uå‹Ÿäº§å“æŠ¥ä­h与服务系¾lŸã€è¯åˆ¸å…¬å¸æŸœå°å¸‚场、全国中ž®ä¼ä¸šè‚¡ä»½è{让系¾lŸå’Œå…¶å®ƒå¸‚场开展的</a>本指引第二条所˜q°çš„债券投资交易ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">上æ“v证券交易所固定收益òq›_°å’Œå¤§å®—交易åã^台、深圌™¯åˆæ€º¤æ˜“所¾l¼åˆåè®®òq›_°çš„债券投资交易参照场外债券投资交易数据报送要求执行ã€?/span></p> <p align="center" class="MsoNormal" style="text-align: center; line-height: 150%;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬ä¸‰èŠ?span lang="EN-US">  </span>业务人员½Ž¡ç†</span></b></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬äºŒåä¹æ?/span></b><a name="_Hlk516057992"></a><a name="_Hlk508626073" style="color: rgb(0, 0, 0);"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„参与债券投资交易的äh员,应当å…ähœ‰äº¤æ˜“市场要求的相兌™µ„è´¨ã€?/span></a></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬ä¸‰åæ¡</span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸å…¬å¸åŠå…¶å­å…¬å¸åº”当根据要求在公司及中证协¾|‘站公示债券投资决策人员、交易执行äh员和中后台核对专岗äh员信息,资管业务参与债券投资交易的,˜q˜åº”当同时在中基协网站进行公½Cºã€‚上˜qîCh员离职的åQ?a name="_Hlk508627147" style="color: rgb(0, 0, 0);">应当在离职手¾l­åŠžç†å®Œæ¯•åŽ<span lang="EN-US">2</span>个工作日å†?/a>在公司网站及中证协网站公½Cºç¦»èŒä¿¡æ¯ï¼Œå…¬ç¤ºæœŸä¸ž®‘于<span lang="EN-US">1</span>个月åQ›èµ„½Ž¡ä¸šåŠ¡å‚与债券投资交易的离职äh员,˜q˜åº”当同时在中基协网站进行公½Cºï¼Œå…¬ç¤ºæœŸä¸ž®‘于<span lang="EN-US">1</span>个月ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">基金½Ž¡ç†å…¬å¸åŠå…¶å­å…¬å¸åº”当根据要求在公司及中基协¾|‘站公示债券投资决策人员、交易执行äh员和中后台核对专岗äh员信息。上˜qîCh员离职的åQŒåº”当在其离职手¾l­åŠžç†å®Œæ¯•åŽ<span lang="EN-US">2</span>个工作日内在公司¾|‘站及中基协¾|‘站公示¼›»èŒä¿¡æ¯åQŒå…¬½CºæœŸä¸å°‘äº?span lang="EN-US">1</span>个月ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">债券投资决策人员是指<a name="_Hlk508626910" style="color: rgb(0, 0, 0);">投资¾lç†ã€æŠ•èµ„经理助理、基金经理、基金经理助理及其他拥有投资决策权限的ähå‘?/a>。债券交易执行人员是指实际执行债券交易的äh员。中后台核对专岗人员是指本指å¼?a name="_Hlk508627085" style="color: rgb(0, 0, 0);">½W¬åå…«æ¡æ‰€˜q°çš„专岗人员</a>ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬ä¸‰åä¸€æ?/span></b><a name="_Hlk516058034"></a><a name="_Hlk515975891" style="color: rgb(0, 0, 0);"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  å‚与债券投资交易的äh员薪酬与‹È€åŠ±åˆè®¡è¶…˜q?span lang="EN-US">100</span>万元人民币的åQŒè¶…˜q‡éƒ¨åˆ†åº”当按照等分原则递åšg发放åQŒé€’åšg周期不少äº?span lang="EN-US">2</span>òq´ã€?/span></a></p> <p align="center" class="MsoNormal" style="text-align: center; line-height: 150%;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬å››ç«?span lang="EN-US">  </span>自律½Ž¡ç†</span></b></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬ä¸‰åäºŒæ?/span></b><a name="_Hlk508628006" style="color: rgb(0, 0, 0);"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  è¯åˆ¸åŸºé‡‘¾lè¥æœºæž„应当保留债券投资交易业务的相兌™µ„æ–™åƈ存档备查åQŒç›¸å…Œ™µ„料的保存期限不得ž®‘于生效之日èµ?span lang="EN-US">20</span>òq?/span></a><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">相关资料包括但不限于以下内容åQ?/span></p> <p 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0);">业务½Ž¡ç†¾pȝ»Ÿç›¸å…³æ•°æ®</a>åQ?</span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24pt;"><span lang="EN-US" style="line-height: 150%; font-family: 宋体; font-size: 12pt;">(</span><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">å›?span lang="EN-US">)</span>其他相关材料ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬ä¸‰åä¸‰æ?/span></b><a name="_Hlk508628131"></a><a name="OLE_LINK2"></a><a name="OLE_LINK1" style="color: rgb(0, 0, 0);"><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  ä¸­è¯åä¸Žä¸­åŸºå?/span></a><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">可以采取现场‹‚€æŸ¥ã€éžçŽ°åœº‹‚€æŸ¥ç­‰æ–¹å¼å¯¹è¯åˆ¸åŸºé‡‘经营机构债券投资交易相关业务开展情况进行定期或不定期检æŸ?/span><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span 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class="MsoNormal" style="text-align: center; line-height: 150%;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬äº”ç«?span lang="EN-US">  </span>附则</span></b></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬ä¸‰åå…­æ?/span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  ç›¸å…³æ³•å¾‹æ³•è§„、监½Ž¡è§„定、自律规则另有规定的åQŒä»Žå…¶è§„定ã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬ä¸‰åä¸ƒæ?/span></b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">  æœ¬æŒ‡å¼•ç”±ä¸­è¯åå’Œä¸­åŸºåå…±åŒè´Ÿè´£è§£é‡Šã€?/span></p> <p class="MsoNormal" style="line-height: 150%; text-indent: 24.1pt;"><b><span style="line-height: 150%; font-family: 宋体; font-size: 12pt;">½W¬ä¸‰åå…«æ?/span></b><span style="line-height: 150%; font-family: 宋体; 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