ï»?!DOCTYPE HTML PUBLIC "-//W3C//DTD HTML 4.01 Transitional//EN" "http://www.w3.org/TR/html4/loose.dtd"> 证券¾lè¥æœºæž„投资者适当性管理实施指引(试行åQ?- 甘肃省上市公司协ä¼?/title> <meta content="双色球走势图新浪,双色球走势图带连线图,福彩双色球开奖结果查询" name="Keywords" /> <meta content="±£É½Ï¹Ð½×âÊÛÓÐÏÞ¹«Ë¾双色球开奖公告,福利双色球走势图,双色球走势图全图,双色球app怎么下注,双色球走势双色球走势势图,双色球app怎么买彩票,福彩双色球走势,双色球app哪个好,双色球走势图带连线坐标,双色球走势图带连线图带坐标准,双色球计划软件" name="Description"/> <link href="/Skin/B2C/static/lcag/css/layout.css" rel="stylesheet"> <script type="text/javascript" src="/js/Common.js"></script> <script type="text/javascript" src="/Skin/B2C/static/js/jquery.min.js"></script> <script type="text/javascript" src="/Skin/B2C/static/js/jqury.js"></script> <meta http-equiv="Cache-Control" content="no-transform" /> <meta http-equiv="Cache-Control" content="no-siteapp" /> </head> <body> <div class="warp"> <div class="top_nav"> <div class="left fl"> <nav class="m-crumb"> <ul class="f-cb"> <li><a href="/sfag/" target="_blank">甘肃证券期货业协ä¼?/a></li> <li><a href="/lcag/" target="_blank">甘肃省上市公司协ä¼?/a></li> </ul> </nav> </div> <div class="right fr"> <nav class="m-crumb fr"> <ul class="f-cb"> <li><a href="/sfag/" target="_blank">联系我们</a></li> <li><a href="/lcag/" target="_blank">¾|‘站地图</a></li> </ul> </nav> </div> </div> </div> <div class="layoutbg"> <div class="layout"> <div class="header"> <object classid="clsid:D27CDB6E-AE6D-11cf-96B8-444553540000" codebase="http://download.macromedia.com/pub/shockwave/cabs/flash/swflash.cab#version=7,0,19,0" width="1000" height="160"> <param name="movie" value="/Skin/B2C/static/images/lcag_logo.swf" /> <param name="quality" value="high" /> <embed src="/Skin/B2C/static/images/lacg_logo.swf" quality="high" pluginspage="http://www.macromedia.com/go/getflashplayer" type="application/x-shockwave-flash" width="1000" height="160"></embed> </object> </div> <!--å¯ÆDˆªæ¡å¼€å§?-> <div class="nav_container"> <ul class="menu"> <li class="char_gscm_x"><a href="/lcag/"><span>协会首页</span></a></li> <li class="sub"><a href="/lcag/about/"><span>协会概况</span></a> <table> <tr> <td> <ul> <li class="sub"><a href="/lcag/about/introduction/">协会½Ž€ä»?/a> </li> <li class="sub"><a href="/lcag/about/organization/">¾l„织机构</a> </li> <li class="sub"><a href="/lcag/about/regulations/">规章制度 <table style="width:80px;left:10px;"> <tr> <td> <ul class="right"> <li> <a href="/lcag/about/regulations/association/">协会章程</a> </li> <li> <a href="/lcag/about/regulations/measures/">会员½Ž¡ç†åŠžæ³•</a> </li> <li> <a href="/lcag/about/regulations/Convention/">会员公约</a> </li> </ul> </td> </tr> </table> </a></li> </ul> </td> </tr> </table> </a></li> <li class="sub"><a href="/lcag/prompt/"><span>通知公告</span></a></li> <li class="sub"><a href="/lcag/news/"><span>协会动æ€?/span></a></li> <li class="sub"><a href="/lcag/member/"><span>协会会员</span></a> <table> <tr> <td> <ul> <li class="sub"><a href="/lcag/member/list/">会员名单</a></li> <li class="sub"><a href="/lcag/member/news/">定期报告</a></li> <li class="sub"><a href="/lcag/member/report/">会员报道</a></li> <li class="sub"><a href="/lcag/member/discipline/">诚信自律 <table style="width:80px;left:10px;"> <tr> <td> <ul class="right"> <li><a href="/lcag/member/discipline/honor/">荣誉æ¦?/a> </li> <li><a href="/lcag/member/discipline/public/">诚信信息公示</a> </li> </ul> </td> </tr> </table> </a></li> </ul> </td> </tr> </table> </a></li> <li class="sub"><a href="/lcag/market/"><span>市场动æ€?/span></a> <table> <tr> <td> <ul> <li class="sub"><a href="/lcag/market/news/">市场要闻 <table style="width:80px;left:10px;"> <tr> <td> <ul class="right"> <li><a href="/lcag/market/news/cjzx/">财经资讯</a> </li> <li><a href="/lcag/market/news/yqgz/">舆情å…Ïx³¨</a> </li> <li><a href="/lcag/market/news/shzr/">½C¾ä¼šè´£ä“Q</a> </li> </ul> </td> </tr> </table> </a></li> <li class="sub"><a href="/lcag/market/data/">行业数据</a></li> <li class="sub"><a href="/lcag/market/link/">相关链接</a></li> </ul> </td> </tr> </table> </a></li> <li class="sub char_gscm_x"><a href="/lcag/policy/"><span>政策法规</span></a> <table> <tr> <td> <ul> <li class="sub"><a href="/lcag/policy/law/">法律</a></li> <li class="sub"><a href="/lcag/policy/regulations/">行政法规</a></li> <li class="sub"><a href="/lcag/policy/rules/">部门规章</a></li> <li class="sub"><a href="/lcag/policy/exchange/">交易所规定 <table style="width:80px;left:10px;"> <tr> <td> <ul class="right"> <li><a href="/lcag/policy/exchange/sse/">上交所</a> </li> <li><a href="/lcag/policy/exchange/tsse/">æ·×ƒº¤æ‰€</a> </li> </ul> </td> </tr> </table> </a></li> <li class="sub"><a href="/lcag/policy/discipline/">自律规则</a></li> </ul> </td> </tr> </table> </a></li> <li class="sub char_gscm_x"><a href="/lcag/investor/"><span>投资者关¾p?/span></a> <table> <tr> <td> <ul> <li class="sub"><a href="/lcag/investor/protection/">投资者保æŠ?/a></li> <li class="sub"><a href="/lcag/investor/interact/">投资者互动åã^å?/a></li> <li class="sub"><a href="/lcag/investor/reflection/">举报投诉</a></li> </ul> </td> </tr> </table> </a></li> <li class="sub char_gscm_x"><a href="/lcag/education/"><span>教育培训</span></a></li> <li class="char_gscm_last"><a href="http://www.mfcyj.co/Survey/Reflection2.aspx"><span>å»ø™®®ç•™è¨€</span></a></li> </div> <!--å¯ÆDˆªæ¡ç»“æ?-> <!--ä¸ÖM½“中部开å§?-> <div class="contant_model"> <div class="contant_c contant_c_clear"> <h2 class="title contant_blue">证券¾lè¥æœºæž„投资者适当性管理实施指引(试行åQ?/h2> <div class="contArticle"> <span>作者:佚名</span> <span>来源åQšæœ¬ç«™æ•´ç?/span> <span>发布旉™—´åQ?017òq?6æœ?9æ—?/span> <span>点击敎ͼš <script language="JavaScript" type="text/JavaScript" src="/Common/GetHits.aspx?id=8830"></script> </span> <span>ã€?a href="/User/Content/Favorite.aspx?Action=add&Id=8830">收藏</a>ã€?/span> <span>ã€?a href="/Print.aspx?id=8830">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=8830" ; document.getElementById("content_AdminEdit").innerHTML = "ã€?a href='" + managedir + "' target='_blank'>˜q›å…¥åŽå°¾~–辑</a>ã€?; } }); } CheckAdminStatus(8830); </script></span> <span> <span id="content_signin"></span><span id="content_SigninAjaxStatus"></span> <script type="text/javascript"> function GetContentSigninStatus(id) { var x = new AjaxRequest('XML','content_SigninAjaxStatus'); x.para = ['itemId='+id]; x.post('GetContentSigninStatus', '/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 "NoSignin": break; case "NoLogin": break; case "AutoSignin": var time = xml.getElementsByTagName("time")[0].firstChild.data; AutoSigninContent(id,time); break; case "NormalSignin": document.getElementById("content_signin").innerHTML = "ã€?span style='cursor: pointer;' onclick=\"SigninContent('"+id+"')\" >点击½{¾æ”¶</span>ã€?; break; case "SigninOutTime": document.getElementById("content_signin").innerHTML = "【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('8830'); </script></span> </div> <div class="c_content_text"> <div class="c_content_overflow" id="fontzoom"> <p> </p> <p align="center" class="MsoNormal" style="text-align:center"> </p> <p align="center" class="MsoNormal" style="text-align:center"><b style="text-indent: 32.15pt;"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 宋体"> </span></b></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬ä¸€æ?/span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 为督促、引å¯ÆD¯åˆ¸è¡Œä¸šæœ‰æ•ˆè½å®žé€‚当性管理要求,¾l´æŠ¤æŠ•èµ„者合法权益,æ ÒŽ®ã€Šè¯åˆ¸æ³•ã€‹ã€ã€Šè¯åˆ¸å…¬å¸ç›‘督管理条例》、《证券期货投资者适当性管理办法》(以下½Ž€¿U°ã€ŠåŠžæ³•ã€‹ï¼‰åŠå…¶ä»–相å…Ïx³•å¾‹ã€è¡Œæ”¿æ³•è§„和中国证监会规定,制定本指引ã€?<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬äºŒæ?</span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体">证券公司及其子公司、证券投资咨询机构(以下¾lŸç§°“证券¾lè¥æœºæž„”åQ‰å‘投资者销售金融äñ”品,或者以投资者买入金融äñ”品äؓ目的提供证券¾lçºªã€?/span><span style="font-size:16.0pt;font-family:仿宋_GB2312;color:black">投资™åùN—®ã€èžèµ„融券、资产管理、柜åîCº¤æ˜“ç­‰é‡?span lang="EN-US">a</span>融服åŠ?/span><span style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体">åQŒé€‚用本指引ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬ä¸‰æ?/span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> <span style="color:black">证券¾lè¥æœºæž„可以通过由投资者填写《投资者基本信息表》等多种方式了解《办法》第六条规定的投资者基本信息ã€?span lang="EN-US"><o:p></o:p></span></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬å››æ?</span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体">证券¾lè¥æœºæž„</span><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; mso-font-kerning:0pt">可以要求</span><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¦åˆã€ŠåŠžæ³•ã€‹ç¬¬å…«æ¡½W¬ï¼ˆä¸€åQ‰ã€ï¼ˆäºŒï¼‰ã€ï¼ˆä¸‰ï¼‰™åҎ¡ä»¶çš„投资者提供营业执照、经营证券、基金、期货业务的许可证、经营其他金融业务的许可证ã€?span style="color:black">基金会法人登记证明ã€?span lang="EN-US">QFII</span>ã€?span lang="EN-US">RQFII</span>、私募基金管理äh登记材料</span>½{‰èín份证明材料,<span style="color:black">理胦产品˜q˜éœ€æä¾›äº§å“æˆç«‹æˆ–备案文件等证明材料ã€?/span>½W¦åˆå‰è¿°æ¡äšg的投资者经栔RªŒå±žå®žçš„,证券¾lè¥æœºæž„可将其直接认定äؓ专业投资者,òq¶å°†è®¤å®š¾l“果书面告知投资者ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬äº”æ?/span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券¾lè¥æœºæž„可以要求½W¦åˆã€ŠåŠžæ³•ã€‹ç¬¬å…«æ¡½W¬ï¼ˆå››ï¼‰ã€ï¼ˆäº”)™åҎ¡ä»¶çš„投资者提供下列材料:<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-align:justify;text-justify: inter-ideograph;text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312">åQˆä¸€åQ?span style="color:black">法äh或其他组¾l‡æŠ•èµ„者提供的最˜q‘一òq´èƒ¦åŠ¡æŠ¥è¡¨ã€é‡‘融资产证明文件、两òq´ä»¥ä¸ŠæŠ•èµ„经历的证明材料½{‰ï¼›<span lang="EN-US"><o:p></o:p></span></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-align:justify;text-justify: inter-ideograph;text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;color:black">åQˆäºŒåQ‰è‡ªç„¶äh投资者提供的本äh金融资äñ”证明文äšg或近三年收入证明åQŒæŠ•èµ„经历或工作证明或职业资æ ÆD¯ä¹¦ç­‰ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">½W¦åˆå‰è¿°æ¡äšg的投资者经栔RªŒå±žå®žçš„,证券¾lè¥æœºæž„可将其直接认定äؓ专业投资者,òq¶å°†è®¤å®š¾l“果书面告知投资者ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312">½W¬å…­æ?</span></b><span style="font-size:16.0pt;font-family:仿宋_GB2312">普通投资者申误‚{化成ä¸ÞZ¸“业投资者的åQ?/span><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">证券¾lè¥æœºæž„可以要求其提供下列材料:</span><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;color:black"><o:p></o:p></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-align:justify;text-justify: inter-ideograph;text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;color:black">åQˆä¸€åQ‰ä¸“业投资者申请书åQŒç¡®è®¤è‡ªä¸ÀL‰¿æ‹…äñ”生的风险和后果;<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-align:justify;text-justify: inter-ideograph;text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;color:black">åQˆäºŒåQ‰æ³•äººæˆ–其他¾l„织投资者提供的最˜q‘一òq´èƒ¦åŠ¡æŠ¥è¡¨ã€é‡‘融资产证明文件、一òq´ä»¥ä¸ŠæŠ•èµ„经历等证明材料åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-align:justify;text-justify: inter-ideograph;text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;color:black">åQˆä¸‰åQ‰è‡ªç„¶äh投资者提供的金融资äñ”证明文äšg或者近三年收入证明或一òq´ä»¥ä¸ŠæŠ•èµ„经历或工作¾låŽ†½{‰è¯æ˜Žææ–™ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-align:justify;text-justify: inter-ideograph;text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;color:black">证券¾lè¥æœºæž„完成甌™¯·ææ–™æ ”RªŒåŽè¿˜åº”该按照《办法》第十二条规定,å¯ÒŽŠ•èµ„者进行审慎评估。符合普通投资者è{ä¸ÞZ¸“业投资者的åQŒåº”当说明对不同¾cÕdˆ«æŠ•èµ„者åï–行适当性义务的差别åQŒè­¦½Cºå¯èƒ½æ‰¿æ‹…的投资风险åQŒä¹¦é¢å‘ŠçŸ¥å…¶å®¡æŸ¥¾l“果和理由;不符合è{化äؓ专业投资者的åQŒä¹Ÿåº”当书面告知其审查结果和理由ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体;color:black">    </span><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 宋体;color:black">证券¾lè¥æœºæž„应当按照《办法》第二十五条的规定对审查¾l“果告知和警½Cø™¿›è¡Œå…¨˜q‡ç¨‹å½•éŸ³æˆ–者录像,或者以½W¦åˆæ³•å¾‹ã€è¡Œæ”¿æ³•è§„要求的电子方式˜q›è¡Œ¼‹®è®¤ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬ä¸ƒæ?</span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体">½W¦åˆã€ŠåŠžæ³•ã€‹ç¬¬å…«æ¡½W¬ï¼ˆå››ï¼‰ã€ï¼ˆäº”)™å¹è§„定的专业投资者申误‚{化普通投资者的åQŒè¯åˆ¸ç»è¥æœºæž„应当及时将其变更äؓ普通投资者,按照规定å¯ÒŽŠ•èµ„者风险承受能力进行综合评伎ͼŒ¼‹®å®šå…‰™£Žé™©æ‰¿å—能力等¾U§ï¼Œå±¥è¡Œç›¸åº”适当性义务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬å…«æ?/span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券¾lè¥æœºæž„应当æ ÒŽ®æ™®é€šæŠ•èµ„者信息,通过投资者填写《投资者风险承受能力评估问南÷€‹ç­‰æ–ÒŽ³•å¯¹å…¶é£Žé™©æ‰¿å—能力˜q›è¡Œ¾l¼åˆè¯„估。《投资者风险承受能力评估问南÷€‹çš„设计应当¿U‘学、合理、全面、通俗易懂ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬ä¹æ?/span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券¾lè¥æœºæž„可以ž®†æ™®é€šæŠ•èµ„者按光™£Žé™©æ‰¿å—能力等¾U§ç”±ä½Žåˆ°é«˜è‡³ž®‘划分äؓ五çñ”åQŒåˆ†åˆ«äؓåQ?span lang="EN-US">C1</span>åQˆå«</span><span style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋">风险承受能力最低类别的投资è€?/span><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体">åQ‰ã€?span lang="EN-US">C2</span>ã€?span lang="EN-US">C3</span>ã€?span lang="EN-US">C4</span>ã€?span lang="EN-US">C5</span>。具体分¾cÀL ‡å‡†ã€æ–¹æ³•åŠå…¶å˜æ›´åº”当告知投资者ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:125%"><span style="font-size:16.0pt;line-height:125%;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">证券¾lè¥æœºæž„应当与普通投资者确认其风险承受能力½{‰çñ”¾l“æžœåQŒåƈ以书面方式记载留存ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬åæ?/span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 《投资者基本信息表》、《投资者风险承受能力评估问南÷€‹åº”当由投资者本人或合法授权人填写。证券经营机构及其工作ähå‘?/span><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋">不得以明½Cºã€æš—½Cºç­‰æ–¹å¼è¯±å¯¼ã€è¯¯å¯¹{€æ¬ºéª—投资者,影响填写¾l“æžœ</span><span style="font-size:14.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋">ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体;color:black">½W¬åä¸€æ?/span></b><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black"> 证券¾lè¥æœºæž„应当及时ž®†æŠ•èµ„者信息录入投资者评估数据库åQŒåƈæ ÒŽ®æ›´æ–°çš„信息持¾l­è¯„估投资者风险承受能力。投资者评估数据库中应当至ž®‘包含下列信息:<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black">åQˆä¸€åQ‰ã€ŠåŠžæ³•ã€‹ç¬¬å…­æ¡æ‰€è§„定的投资者信息及本指引规定的证明材料åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black">åQˆäºŒåQ‰åŽ†‹Æ¡ã€ŠæŠ•èµ„者风险承受能力评估问南÷€‹å†…宏V€è¯„估时间、评估结果等åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black">åQˆä¸‰åQ‰æŠ•èµ„者申è¯ähˆä¸ÞZ¸“业投资者或转化为普通投资者的甌™¯·ä¹¦ã€å®¡æŸ¥ç»“果告知和警示½{‰ï¼›<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:8.0pt;mso-para-margin-left:.76gd; text-indent:24.0pt;mso-char-indent-count:1.5"><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体;color:black">åQˆå››åQ‰æŠ•èµ„者投资交易记录,包括但不限于产品或服务及光™£Žé™©ç­‰¾U§ã€äº¤æ˜“权限、交易频率等åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black">åQˆäº”åQ‰æŠ•èµ„者在证券¾lè¥æœºæž„的失信记录;<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black">åQˆå…­åQ‰ä¸­å›½è¯ç›‘会、中国证åˆæ€¸šåä¼šåQˆä»¥ä¸‹ç®€¿U?ldquo;协会”åQ‰åŠè¯åˆ¸¾lè¥æœºæž„认äؓ必要的其它信息ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:40.0pt;mso-char-indent-count:2.5"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black">前述½W¬ï¼ˆå››ï¼‰™å¹ä¸é€‚用于证券投资咨询机构ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体;color:black">½W¬å</span></b><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">äº?span style="color:black">æ?/span> </span></b><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋">证券¾lè¥æœºæž„可以ž®?span lang="EN-US">C1</span>中符合下列情形之一的自然ähåQŒä½œä¸ºé£Žé™©æ‰¿å—能力最低类别的投资者:<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋">åQˆä¸€åQ‰ä¸å…ähœ‰å®Œå…¨æ°‘事行äؓ能力åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:30.0pt"><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋">åQˆäºŒåQ‰æ²¡æœ‰é£Žé™©å®¹å¿åº¦æˆ–者不愿承受ä“Q何投资损失;<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:30.0pt"><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋">åQˆä¸‰åQ‰æ³•å¾‹ã€è¡Œæ”¿æ³•è§„规定的其他情åŞã€?/span><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 宋体"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0; line-height:150%;layout-grid-mode:char;mso-layout-grid-align:none"><b><span style="font-size:16.0pt;line-height: 150%;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">½W¬åä¸‰æ¡ </span></b><span style="font-size:16.0pt;line-height:150%;font-family:仿宋_GB2312;mso-hansi-font-family: 宋体">证券¾lè¥æœºæž„应当æ ÒŽ®ã€ŠåŠžæ³•ã€‹ç¬¬åå…­ã€åä¸ƒæ¡è§„定的因素,通过¿U‘学、合理的æ–ÒŽ³•å¯¹äñ”品或服务˜q›è¡Œ¾l¼åˆè¯„ä¼°åQŒç¡®å®šå…¶é£Žé™©½{‰çñ”ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬åå››æ¡</span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券¾lè¥æœºæž„可以ž®†äñ”品或服务风险½{‰çñ”ç”׃½Žè‡³é«˜è‡›_°‘划分ä¸ÞZº”¾U?span lang="EN-US">,</span>分别为:<span lang="EN-US">R1</span>ã€?span lang="EN-US">R2</span>ã€?span lang="EN-US">R3</span>ã€?span lang="EN-US">R4</span>ã€?span lang="EN-US">R5</span>。具体划分方法、标准及其变更应当告知投资者ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:31.35pt;mso-char-indent-count:1.96"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">证券¾lè¥æœºæž„应当æ ÒŽ®ã€Šäñ”品或服务风险½{‰çñ”名录》列出相对应的äñ”品或服务清单ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬åäº”条</span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券¾lè¥æœºæž„向投资者销售äñ”品或者提供服务涉及投资组合或资äñ”配置的,应当按照投资¾l„合或资产配¾|®çš„整体风险对该产品或者服务进行风险等¾U§è¯„伎ͼŒ¼‹®å®šå…‰™£Žé™©ç­‰¾U§ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="Paragrafoelenco1" style="margin: 0cm 0cm 0.0001pt; text-align: justify; text-indent: 32.15pt;"><b><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; mso-fareast-language:ZH-CN">½W¬åå…­æ¡ </span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体;mso-fareast-language:ZH-CN">证券¾lè¥æœºæž„向普通投资者销售äñ”品或提供服务åQŒåº”当在遵守法律、行政法规、中国证监会规定以及投资者准入要求的前提下,æ ÒŽ®æŠ•èµ„者的风险承受能力½{‰çñ”与äñ”品或服务的风险等¾U§ç›¸åŒšw…çš„原则,å¯ÒŽŠ•èµ„者提出适当性匹配意见,履行适当性义务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬åä¸ƒæ¡ </span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">证券¾lè¥æœºæž„应当æ ÒŽ®æœ¬æœºæž„及普通投资者的实际情况åQŒç¡®å®šå…¶é£Žé™©æ‰¿å—能力½{‰çñ”与äñ”品或服务的风险等¾U§é€‚当性匹配的具体æ–ÒŽ³•åQŒä¹Ÿå¯ä»¥å‚照以下方式¼‹®å®šåQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">åQˆä¸€åQ?span lang="EN-US">C1</span>¾U§æŠ•èµ„者匹é…?span lang="EN-US">R1</span>¾U§çš„产品或服务;<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">åQˆäºŒåQ?span lang="EN-US">C2</span>¾U§æŠ•èµ„者匹é…?span lang="EN-US">R2</span>ã€?span lang="EN-US">R1</span>¾U§çš„产品或服务;<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">åQˆä¸‰åQ?span lang="EN-US">C3</span>¾U§æŠ•èµ„者匹é…?span lang="EN-US">R3</span>ã€?span lang="EN-US">R2</span>ã€?span lang="EN-US">R1</span>¾U§çš„产品或服务;<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">åQˆå››åQ?span lang="EN-US">C4</span>¾U§æŠ•èµ„者匹é…?span lang="EN-US">R4</span>ã€?span lang="EN-US">R3</span>ã€?span lang="EN-US">R2</span>ã€?span lang="EN-US">R1</span>¾U§çš„产品或服务;<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">åQˆäº”åQ?span lang="EN-US">C5</span>¾U§æŠ•èµ„者匹é…?span lang="EN-US">R5</span>ã€?span lang="EN-US">R4</span>ã€?span lang="EN-US">R3</span>ã€?span lang="EN-US">R2</span>ã€?span lang="EN-US">R1</span>¾U§çš„产品或服务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="Paragrafoelenco1" style="margin: 0cm 0cm 0.0001pt; text-align: justify; text-indent: 32pt;"><span style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体;mso-fareast-language:ZH-CN">专业投资者可以购买或接受所有风险等¾U§çš„产品或服务,法律、行政法规、中国证监会规定及市场、äñ”品或服务å¯ÒŽŠ•èµ„者准入有要求的,从其规定和要求ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬åå…«æ¡ </span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">证券¾lè¥æœºæž„å¯ÒŽŠ•èµ„者提出的适当性匹配意见不代表其对产品或服务的风险和收益作出实质性判断或保证。投资者在参考证券经营机构适当性匹配意见的基础上,æ ÒŽ®è‡ªèín能力审慎独立决策åQŒç‹¬ç«‹æ‰¿æ‹…投资风险ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬åä¹æ¡ </span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">证券¾lè¥æœºæž„告知投资者不适合购买相关产品或者接受相å…ÏxœåŠ¡åŽåQŒæŠ•èµ„者主动要求购买风险等¾U§é«˜äºŽå…¶é£Žé™©æ‰¿å—能力的äñ”品或者接受相å…ÏxœåŠ¡çš„åQŒè¯åˆ¸ç»è¥æœºæž„在¼‹®è®¤å…¶ä¸å±žäºŽé£Žé™©æ‰¿å—能力最低类别的投资者后åQŒåº”当就产品或者服务风险高于其承受能力˜q›è¡Œç‰¹åˆ«çš„书面风险警½Cºï¼ŒæŠ•èµ„者仍坚持购买的,可以向其销售相关äñ”品或者提供相å…ÏxœåŠ¡ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬äºŒåæ¡ </span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">投资者风险承受能力等¾U§ä¸Žäº§å“æˆ–服务风险等¾U§ç›¸åŒšw…çš„,证券¾lè¥æœºæž„应当与投资者签¾|²ç¡®è®¤é€‚当性匹配结果;不匹配的åQŒåº”当与投资者签¾|²ç¡®è®¤é£Žé™©è­¦½Cºã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent: 29.05pt; background-image: initial; background-attachment: initial; background-size: initial; background-origin: initial; background-clip: initial; background-position: initial; background-repeat: initial;"><b><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">½W¬äºŒåä¸€æ?/span></b><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券¾lè¥æœºæž„销售äñ”品、提供服务,应当向投资者充分披露äñ”品或服务信息以及有助于投资者作出投资分析判断的其他信息。披露的信息不得含有虚假、误导性陈˜q°æˆ–存在重大遗漏åQŒä¸å¾—欺诈投资者ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent: 21pt; background-image: initial; background-attachment: initial; background-size: initial; background-origin: initial; background-clip: initial; background-position: initial; background-repeat: initial;"><b><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> </span></b><b><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 宋体">½W¬äºŒåäºŒæ?</span></b><span style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体">证券¾lè¥æœºæž„销售äñ”品、提供服务,应当向投资者充分揭½CÞZñ”品或服务的信用风险、市场风险、流动性风险等可能影响投资者权益的主要风险以及具体产品或服务的特别风险åQŒåƈ由投资者签¾|²ç¡®è®¤ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="1" style="text-indent:31.5pt;mso-char-indent-count:1.96"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬äºŒåä¸‰æ?</span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体;color:black">证券¾lè¥æœºæž„应当建立健全投资者回访制度,对购ä¹îCñ”品或接受服务的投资者,每年抽取不低于上一òq´åº¦æœ«è´­ä¹îCñ”品或接受服务的投资者æ€ÀL•°åQˆå«è´­ä¹°æˆ–者接受äñ”品或服务的风险等¾U§é«˜äºŽå…¶é£Žé™©æ‰¿å—能力的投资者,不含休眠账户及中止交易è̎æˆähŠ•èµ„者)çš?span lang="EN-US">10%</span>˜q›è¡Œå›žè®¿ã€‚回访的内容包括但不限于åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="1" style="text-indent:32.0pt"><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体;color:black">åQˆä¸€åQ‰å—访äh是否为投资者本人;<span lang="EN-US"><o:p></o:p></span></span></p> <p class="1" style="text-indent:32.0pt"><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体;color:black">åQˆäºŒåQ‰å—访äh是否按规定填写了《投资者基本信息表》、《投资者风险承受能力评估问南÷€‹ç­‰òq¶æŒ‰è¦æ±‚½{„¡ÖvåQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="1" style="text-indent:32.0pt"><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体;color:black">åQˆä¸‰åQ‰å—访äh是否已知晓äñ”品或服务的风险以及相关风险警½Cºï¼›<span lang="EN-US"><o:p></o:p></span></span></p> <p class="1" style="text-indent:32.0pt"><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体;color:black">åQˆå››åQ‰å—访äh是否已知晓所购买产品或接受服务的业务规则åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="1" style="text-indent:32.0pt"><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体;color:black">åQˆäº”åQ‰å—访äh是否已知晓自å·Þqš„风险承受能力½{‰çñ”、购买的产品或者接受服务的风险½{‰çñ”以及适当性匹配意见;<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black">åQˆå…­åQ‰å—访äh是否知晓承担的费用以及可能äñ”生的投资损失åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black">åQˆä¸ƒåQ‰è¯åˆ¸ç»è¥æœºæž„及其工作äh员是否存åœ?/span><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:Calibri;mso-bidi-font-family:宋体; mso-font-kerning:0pt">《办法》第二十二条规定的禁止行ä¸?/span><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体;color:black">ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬äºŒåå››æ?</span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">证券¾lè¥æœºæž„应当¾l“合自èín实际需要,定期或不定期对相兛_²—位äh员开展与适当性管理有关的培训åQŒæé«˜å…¶å±¥è¡Œé€‚当性义务所需的知识和技能ã€?<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬äºŒåäº”æ?/span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券¾lè¥æœºæž„应当ž®†ç›¸å…›_²—位äh员åï–行适当性义务、处理客æˆähŠ•è¯‰ä¸Ž¾U çº·½{‰çº³å…¥ç‡W效考核范围ã€?b><span lang="EN-US"><o:p></o:p></span></b></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">证券¾lè¥æœºæž„不得采取鼓励不适当销售或服务的考核‹È€åŠ±æŽªæ–½ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:31.5pt;mso-char-indent-count:1.96"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬äºŒåå…­æ?/span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券¾lè¥æœºæž„应当对相兛_²—位äh员åï–行适当性义务的行äؓ˜q›è¡Œç›‘督‹‚€æŸ¥ï¼Œå¯¹è¿åæŠ•èµ„者适当性管理规定的人员˜q›è¡Œé—®è´£ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬äºŒåä¸ƒæ?/span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券¾lè¥æœºæž„及其工作人员应当对在履行适当性义务时获取的投资者基本信息、投资者风险承受能力评¾U§ç»“果等信息严格保密åQŒé˜²æ­¢è¯¥½{‰ä¿¡æ¯è¢«æ³„露或被不当利用ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:31.5pt;mso-char-indent-count:1.96"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体;color:black">½W¬äºŒåå…«æ?/span></b><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券¾lè¥æœºæž„应妥善处理因履行适当性义务引èµïLš„投资者投诉与¾U çº·åQŒä¿å­˜ç›¸å…Œ™®°å½•ï¼ŒåŠæ—¶åˆ†æžæ€È»“åQŒæ”¹˜q›å’Œå®Œå–„相关机制与制度ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:31.5pt;mso-char-indent-count:1.96"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体;color:black">½W¬äºŒåä¹æ?/span></b><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black"> 证券¾lè¥æœºæž„应当依据《办法》第三十条的规定˜q›è¡Œé€‚当性自查,自查的内容包括但不限于适当性管理制度徏讑֏Šè½å®žã€äh员培训及考核、投资者投诉纠¾U·å¤„理、发现问题及整改½{‰æƒ…å†üc€?/span><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-bidi-font-family: 宋体;mso-font-kerning:0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬ä¸‰åæ¡</span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券¾lè¥æœºæž„与投资者发生适当性相关的¾U çº·åQŒå¯ä»¥æŒ‰ç›¸å…³è§„定向协会申误‚°ƒè§£ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬ä¸‰åä¸€æ?/span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 协会对证券经营机构åï–行适当性义务进行自律管理,对违反适当性管理规定的证券¾lè¥æœºæž„及äh员依法采取自律惩戒措施ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬ä¸‰åäºŒæ?/span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 本指引所¿UîC¹¦é¢åŞ式包括纸质或电子形式ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬ä¸‰åä¸‰æ?/span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 本指引由中国证券业协会负责解释ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">½W¬ä¸‰åå››æ?/span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 本指引自<span lang="EN-US">2017</span>òq?span lang="EN-US">7</span>æœ?span lang="EN-US">1</span>日è“v实施åQŒã€Šè¯åˆ¸å…¬å¸æŠ•èµ„者适当性制度指引》、《关于发å¸?span lang="EN-US"><</span>个äh投资者风险承受能力评估问åøP¼ˆè¯•è¡Œæ¨¡æ¿åQ?span lang="EN-US">></span>的通知》同时废止ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体"> </span></p> <p class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体"> </span></p> <p class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体"> </span></p> <p class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体"> </span></p> <p class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体"> </span></p> <p align="left" class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> </span></p> <p align="left" class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> </span></p> <p align="left" class="MsoNormal"><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">附äšgåQ?span lang="EN-US">1</span>、投资者基本信息表<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">      2</span><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体">、专业投资者申请书<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 宋体">      3</span><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">、专业投资者告知及¼‹®è®¤ä¹?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 宋体">      4</span><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">、投资者风险承受能力评估问å?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 32pt;"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 宋体">  5</span><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">、投资者风险承受能力评估结果告知书<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">      6</span><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体">、äñ”品或服务风险½{‰çñ”名录<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">      7</span><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体">、适当性匹配意见确认书<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体">      8</span><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">、äñ”品或服务风险警示及投资者确认书<span lang="EN-US"><o:p></o:p></span></span></p> <p> </p> <p align="left" class="MsoNormal"><b><span style="font-size:12.0pt;font-family:宋体">附äšg<span lang="EN-US">1</span>åQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="font-size:12.0pt;font-family: 宋体">投资者基本信息表åQˆè‡ªç„¶ähåQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="font-size:12.0pt; font-family:宋体">填表日期åQ?span lang="EN-US">      </span>òq?span lang="EN-US">     </span>æœ?span lang="EN-US">      </span>æ—?span lang="EN-US">                       </span>资金账号åQ?span lang="EN-US"><o:p></o:p></span></span></p> <div align="center"> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="border-collapse:collapse;mso-table-layout-alt:fixed;border:none; mso-border-alt:solid windowtext .5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:.5pt solid windowtext;mso-border-insidev:.5pt solid windowtext"> <tbody> <tr style="mso-yfti-irow:0;mso-yfti-firstrow:yes;height:33.55pt"> <td colspan="11" style="width:481.55pt;border:solid windowtext 1.0pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:33.55pt" width="642"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">投资者基本信息(甌™¯·äººå¡«å†™ï¼‰<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:1;height:28.5pt"> <td style="width:87.15pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:28.5pt" width="116"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black">姓名<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:88.75pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:28.5pt" width="118"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> </td> <td style="width:36.95pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:28.5pt" width="49"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black">性别<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:45.3pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:28.5pt" width="60"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> </td> <td style="width:36.0pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:28.5pt" width="48"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black">出生日期<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="3" style="width:80.85pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:28.5pt" width="108"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> </td> <td style="width:45.0pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:28.5pt" width="60"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black">国籍<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:61.55pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:28.5pt" width="82"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:red"> </span></p> </td> </tr> <tr style="mso-yfti-irow:2;height:25.0pt"> <td colspan="2" style="width:131.85pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:25.0pt" valign="top" width="176"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">实际控制投资者的自然äº?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="3" style="width:126.3pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:25.0pt" valign="top" width="168"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td colspan="4" style="width:116.85pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:25.0pt" valign="top" width="156"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">交易的实际受益äh<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:106.55pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:25.0pt" valign="top" width="142"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr style="mso-yfti-irow:3;height:26.75pt"> <td style="width:87.15pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:26.75pt" width="116"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">职业<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="10" style="width:394.4pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:26.75pt" valign="top" width="526"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□党政机兛_·¥ä½œähå‘?span lang="EN-US">   </span>□企事业单位职工<span lang="EN-US">  </span>□农æ°?span lang="EN-US">   </span>□个体工商户 □注册会计师 â–?律师□学ç”?span lang="EN-US">    </span>□金融机构从业ähå‘?span lang="EN-US">    </span>□金融机构高¾U§ç®¡ç†ähå‘?span lang="EN-US">    </span>□无ä¸?span lang="EN-US">   </span>□其他,</span><u><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">         </span></u><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr style="mso-yfti-irow:4;height:25.05pt"> <td style="width:87.15pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:25.05pt" width="116"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">工作单位<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="7" style="width:252.0pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:25.05pt" valign="top" width="336"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td style="width:35.85pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:25.05pt" width="48"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">职务<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:106.55pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:25.05pt" valign="top" width="142"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr style="mso-yfti-irow:5;height:42.25pt"> <td style="width:87.15pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:42.25pt" width="116"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">学历<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="10" style="width:394.4pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:42.25pt" width="526"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□博士 <span lang="EN-US">  </span>□硕士 <span lang="EN-US">  </span>□大本 <span lang="EN-US">  </span>□大专 <span lang="EN-US">  <o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□中专 □高中 <span lang="EN-US">  </span>□初中及以下<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr style="mso-yfti-irow:6;height:42.25pt"> <td style="width:87.15pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:42.25pt" width="116"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">诚信记录<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="10" style="width:394.4pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:42.25pt" width="526"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">是否有以下来源的不良诚信记录åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□中国äh民银行征信中å¿?□最高äh民法院失信被执行人名å?□工商行政管理机æž?□税务管理机æž?□监½Ž¡æœºæž„、自律组¾l?□投资者在证券¾lè¥æœºæž„的失信记å½?□其他,</span><u><span lang="EN-US" style="font-size:12.0pt; font-family:宋体">         </span></u><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□无<span lang="EN-US">    </span>□有åQˆè¯·æ³¨æ˜ŽåQ‰ï¼š<span lang="EN-US">___________________________________<o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr> <td style="width:87.15pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="116"> <p class="MsoNormal" style="text-indent:5.25pt;mso-char-indent-count:.5; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体; color:black">íw«ä†¾è¯äšg¾cÕdž‹<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:171.0pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="228"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> </td> <td colspan="2" style="width:80.7pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" width="108"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black">íw«ä†¾è¯äšgåïL <span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:142.7pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="190"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:red"> </span></p> </td> </tr> <tr> <td style="width:87.15pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="116"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black">íw«ä†¾è¯äšg<span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black">有效期限<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="10" style="width:394.4pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="526"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:red"> </span></p> </td> </tr> <tr> <td style="width:87.15pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="116"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">固定电话<span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td colspan="4" style="width:171.0pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="228"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td colspan="2" style="width:80.7pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="108"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">手机åïL <span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:142.7pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="190"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr> <td style="width:87.15pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt" width="116"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">联系地址<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="10" style="width:394.4pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="526"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr> <td style="width:87.15pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="116"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">邮政¾~–码<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:171.0pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="228"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td colspan="2" style="width:80.7pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="108"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">Email<o:p></o:p></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td colspan="4" style="width:142.7pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="190"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr> <td colspan="11" style="width:481.55pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="642"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">本äh保证资金来源的合法性和所提供资料的真实性、准¼‹®æ€§ã€å®Œæ•´æ€§ï¼Œòq¶å¯¹å…¶æ‰¿æ‹…责仅R€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">甌™¯·äººç­¾åï¼š<span lang="EN-US">                                               </span>日期åQ?span lang="EN-US">    </span>òq?span lang="EN-US">  </span>æœ?span lang="EN-US">  </span>æ—?span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:13;mso-yfti-lastrow:yes;height:27.85pt"> <td colspan="11" style="width:481.55pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:27.85pt" valign="top" width="642"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">¾låŠžäººç­¾ç« ï¼š<span lang="EN-US">                 </span>复核人签章:<span lang="EN-US">             </span>营业¾|‘点盖章åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">事后审核½{„¡« åQ?span lang="EN-US">                    <o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:309.75pt;mso-char-indent-count:29.5; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">日期åQ?span lang="EN-US">   </span>òq?span lang="EN-US">  </span>æœ?span lang="EN-US">  </span>æ—?span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <!--[if !supportMisalignedColumns]--> <tr height="0"> <td style="border:none" width="116"> </td> <td style="border:none" width="60"> </td> <td style="border:none" width="59"> </td> <td style="border:none" width="49"> </td> <td style="border:none" width="60"> </td> <td style="border:none" width="48"> </td> <td style="border:none" width="60"> </td> <td style="border:none" width="0"> </td> <td style="border:none" width="48"> </td> <td style="border:none" width="60"> </td> <td style="border:none" width="82"> </td> </tr> <!--[endif]--> </tbody> </table> </div> <p> </p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="font-size:12.0pt;font-family: 宋体">投资者基本信息表åQˆæœºæž„)</span></b><span lang="EN-US" style="font-size:12.0pt;font-family: 宋体"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">填表日期åQ?span lang="EN-US">      </span>òq?span lang="EN-US">     </span>æœ?span lang="EN-US">          </span>æ—?span lang="EN-US">                     </span>资金账号<span lang="EN-US">/</span>客户åøP¼š<span lang="EN-US"><o:p></o:p></span></span></p> <div align="center"> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-45.2pt;border-collapse:collapse;mso-table-layout-alt:fixed; border:none;mso-border-alt:solid windowtext .5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:.5pt solid windowtext;mso-border-insidev:.5pt solid windowtext" width="635"> <tbody> <tr style="mso-yfti-irow:0;mso-yfti-firstrow:yes;height:23.6pt"> <td colspan="8" style="width:476.4pt;border:solid windowtext 1.0pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:23.6pt" width="635"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">投资者基本信息(甌™¯·äººå¡«å†™ï¼‰<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:1;height:10.2pt"> <td style="width:153.9pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:10.2pt" valign="top" width="205"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">机构名称<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:10.2pt" valign="top" width="149"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td colspan="3" style="width:97.8pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:10.2pt" valign="top" width="130"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">控股股东或实际控制äh<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:10.2pt" valign="top" width="151"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr> <td style="width:153.9pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="205"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">机构¾cÕdž‹<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="7" style="width:322.5pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="430"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">□一般企业法äº?□金融机构□½C¾ä¼šå…¬ç›ŠåŸºé‡‘â–?span lang="EN-US">QFII</span>â–?span lang="EN-US">RQFII</span>□其他组¾l?span lang="EN-US">____________<o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:3;height:15.45pt"> <td style="width:153.9pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:15.45pt" valign="top" width="205"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">住所åœ?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="7" style="width:322.5pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:15.45pt" valign="top" width="430"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr style="mso-yfti-irow:4;height:29.3pt;mso-prop-change:陈闯 20170625T1604"> <td style="width:153.9pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;border:solid windowtext 1.0pt !msorm;border-top: none !msorm;mso-border-top-alt:solid windowtext .5pt !msorm;mso-border-alt: solid windowtext .5pt !msorm;padding:0cm 5.4pt 0cm 5.4pt !msorm;height:29.3pt" valign="top" width="205"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">¾lè¥èŒƒå›´<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="7" style="width:322.5pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;border-top: none !msorm;border-left:none !msorm;border-bottom:solid windowtext 1.0pt !msorm; border-right:solid windowtext 1.0pt !msorm;mso-border-top-alt:solid windowtext .5pt !msorm; mso-border-left-alt:solid windowtext .5pt !msorm;mso-border-alt:solid windowtext .5pt !msorm; padding:0cm 5.4pt 0cm 5.4pt !msorm;height:29.3pt" valign="top" width="430"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr> <td style="width:153.9pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="205"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">¾l„织机构代码<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="149"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td colspan="3" style="width:97.8pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="130"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">½EŽåŠ¡ç™»è®°è¯å·ç ?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="151"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr> <td style="width:153.9pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="205"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">证明该机构依法设立或者可依法开展经营、社会活动的证照¾cÕdž‹<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="149"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td colspan="3" style="width:97.8pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="130"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">证明该机构依法设立或者可依法开展经营、社会活动的证照åïL <span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="151"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr> <td style="width:153.9pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="205"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">证明该机构依法设立或者可依法开展经营、社会活动的证照有效期限<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="7" style="width:322.5pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="430"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr> <td style="width:153.9pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="205"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">机构联系电话<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:42.35pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="56"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td colspan="2" style="width:70.9pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="95"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">联系地址<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:94.0pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="125"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td colspan="2" style="width:63.8pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">邮政¾~–码<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:51.45pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="69"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr> <td style="width:153.9pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="205"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">法定代表人姓å?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="149"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td colspan="3" style="width:97.8pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="130"> <p align="center" class="MsoNormal" style="margin-right:12.0pt;text-align:center; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">法定代表äºø™ín份证件类åž?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="151"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr> <td style="width:153.9pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="205"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">法定代表äºø™ín份证件号ç ?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="149"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td colspan="3" style="width:97.8pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="130"> <p align="center" class="MsoNormal" style="margin-right:12.0pt;text-align:center; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">法定代表äºø™ín份证件有效期é™?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="151"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr> <td style="width:153.9pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="205"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">授权代表人姓å?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="149"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td colspan="3" style="width:97.8pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="130"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">授权代表äºø™ín份证件类åž?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="151"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr> <td style="width:153.9pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="205"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">授权代表äºø™ín份证件号ç ?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="149"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td colspan="3" style="width:97.8pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="130"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">授权代表äºø™ín份证件有效期é™?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="151"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr> <td style="width:153.9pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="205"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">授权代表人电è¯?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="149"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td colspan="3" style="width:97.8pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="130"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">授权代表äº?span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">手机åïL <span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="151"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr> <td style="width:153.9pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="205"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">授权代表äºø™”¾pÕdœ°å€<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="7" style="width:322.5pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="430"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr style="mso-yfti-irow:15;height:20.45pt"> <td style="width:153.9pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:20.45pt" valign="top" width="205"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">邮政¾~–码<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.45pt" valign="top" width="149"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td colspan="3" style="width:97.8pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.45pt" valign="top" width="130"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">Email</span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">地址<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.45pt" valign="top" width="151"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr style="mso-yfti-irow:16;height:20.45pt"> <td style="width:153.9pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:20.45pt" valign="top" width="205"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">实际控制投资者的自然äº?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.45pt" valign="top" width="149"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">姓名åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">电话åQ?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="3" style="width:97.8pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.45pt" valign="top" width="130"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">交易的实际受益äh<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.45pt" valign="top" width="151"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">姓名åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">电话åQ?span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:17;height:20.45pt"> <td style="width:153.9pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:20.45pt" width="205"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">诚信记录<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="7" style="width:322.5pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.45pt" width="430"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">是否有来源于以下机构的不良诚信记录?<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□中国äh民银行征信中å¿?□最高äh民法院失信被执行人名å?□工商行政管理机æž?□税务管理机æž?□监½Ž¡æœºæž„、自律组¾l?□投资者在证券¾lè¥æœºæž„的失信记å½?□其他组¾l?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□无<span lang="EN-US">    </span>□有<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr style="mso-yfti-irow:18;height:68.75pt"> <td colspan="8" style="width:476.4pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:68.75pt" valign="top" width="635"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">本机构保证资金来源的合法性和所提供资料的真实性、准¼‹®æ€§ã€å®Œæ•´æ€§ï¼Œòq¶å¯¹å…¶æ‰¿æ‹…责仅R€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">机构授权代表人签名:<span lang="EN-US">                        </span>机构法定代表人签名:<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">                                    <o:p></o:p></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">机构盖章åQ?span lang="EN-US">                                                </span>日期åQ?span lang="EN-US">    </span>òq?span lang="EN-US">  </span>æœ?span lang="EN-US">  </span>æ—?span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:19;mso-yfti-lastrow:yes;height:42.05pt"> <td colspan="8" style="width:476.4pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:42.05pt" valign="top" width="635"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">¾låŠžäººç­¾ç« ï¼š<span lang="EN-US">            </span>复核人签章:<span lang="EN-US">         </span>营业¾|‘点盖章åQ?span lang="EN-US">                   <o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">事后审核人签章:<span lang="EN-US">                              <o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:309.75pt;mso-char-indent-count:29.5; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">日期åQ?span lang="EN-US">   </span>òq?span lang="EN-US">  </span>æœ?span lang="EN-US">  </span>æ—?span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <!--[if !supportMisalignedColumns]--> <tr height="0"> <td style="border:none" width="205"> </td> <td style="border:none" width="56"> </td> <td style="border:none" width="92"> </td> <td style="border:none" width="2"> </td> <td style="border:none" width="125"> </td> <td style="border:none" width="3"> </td> <td style="border:none" width="82"> </td> <td style="border:none" width="69"> </td> </tr> <!--[endif]--> </tbody> </table> </div> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">注:机构投资者包括法人和其他¾l„织<b>ã€?/b></span><br clear="all" style="page-break-before: always" /> <span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span><b><span style="font-size:12.0pt; font-family:宋体">附äšg<span lang="EN-US">2</span>åQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="font-size:12.0pt;font-family: 宋体">专业投资者申请书<span lang="EN-US"><o:p></o:p></span></span></b></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-15.9pt;border-collapse:collapse;mso-table-layout-alt:fixed; border:none;mso-border-alt:double windowtext 1.5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:.5pt solid windowtext;mso-border-insidev:.5pt solid windowtext" width="652"> <tbody> <tr style="mso-yfti-irow:0;mso-yfti-firstrow:yes;height:27.35pt"> <td rowspan="3" style="width:42.6pt;border-top:double 1.5pt; border-left:double 1.5pt;border-bottom:solid 1.0pt;border-right:solid 1.0pt; border-color:windowtext;mso-border-top-alt:double 1.5pt;mso-border-left-alt: double 1.5pt;mso-border-bottom-alt:solid .5pt;mso-border-right-alt:solid .5pt; mso-border-color-alt:windowtext;padding:0cm 5.4pt 0cm 5.4pt;layout-flow:vertical-ideographic; height:27.35pt" width="57"> <p align="center" class="MsoNormal" style="margin-top:0cm;margin-right:5.65pt; margin-bottom:0cm;margin-left:5.65pt;margin-bottom:.0001pt;text-align:center; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">投资者申è¯äh <span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="3" style="width:5.0cm;border-top:double windowtext 1.5pt; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-left-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; mso-border-top-alt:double windowtext 1.5pt;padding:0cm 5.4pt 0cm 5.4pt; height:27.35pt" width="189"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">投资者姓å?span lang="EN-US">/</span>名称<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:5.0cm;border-top:double windowtext 1.5pt; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-left-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; mso-border-top-alt:double windowtext 1.5pt;padding:0cm 5.4pt 0cm 5.4pt; height:27.35pt" width="189"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td style="width:70.85pt;border-top:double windowtext 1.5pt; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-left-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; mso-border-top-alt:double windowtext 1.5pt;padding:0cm 5.4pt 0cm 5.4pt; height:27.35pt" width="94"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">资金账号<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:92.15pt;border-top:double windowtext 1.5pt; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:double windowtext 1.5pt; mso-border-left-alt:solid windowtext .5pt;mso-border-top-alt:double 1.5pt; mso-border-left-alt:solid .5pt;mso-border-bottom-alt:solid .5pt;mso-border-right-alt: double 1.5pt;mso-border-color-alt:windowtext;padding:0cm 5.4pt 0cm 5.4pt; height:27.35pt" width="123"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr style="mso-yfti-irow:1;height:20.95pt"> <td colspan="3" style="width:5.0cm;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.95pt" width="189"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">íw«ä†¾è¯æ˜Žæ–‡äšg¾cÕdˆ«åŠå·ç ?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:304.75pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:double windowtext 1.5pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:20.95pt" width="406"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr style="mso-yfti-irow:2;height:126.9pt"> <td colspan="7" style="width:446.5pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:double windowtext 1.5pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:126.9pt" valign="top" width="595"> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">本äh<span lang="EN-US">/</span>机构自愿甌™¯·è¢«åˆ’分äؓ专业投资者,已按要求提供财äñ”状况、投资经历、从业经历等相关证明材料åQŒæ‰¿è¯ºæ‰€æä¾›ææ–™çœŸå®žã€å‡†¼‹®ã€å®Œæ•´åƈ对其负责åQŒæ‰€æä¾›ææ–™½W¦åˆä¸‹è¿°ç›¸åº”¾cÕdˆ«çš„各™å¹è¦æ±‚,òq¶è‡ªä¸ÀL‰¿æ‹…äñ”生的风险和后果ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">ç‰ÒŽ­¤ç”Œ™¯·ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt; font-family:宋体">  </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">投资者(自然人签å?span lang="EN-US">/</span>机构½{„¡« ã€æŽˆæƒä»£è¡¨äh½{‘֐åQ‰ï¼š<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体">                      <o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:152.25pt;mso-char-indent-count:14.5; line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体">  </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">òq?span lang="EN-US">   </span>æœ?span lang="EN-US">   </span>æ—?span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:3;height:21.65pt"> <td rowspan="12" style="width:42.6pt;border-top:none;border-left:double windowtext 1.5pt; border-bottom:double windowtext 1.5pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-top-alt:solid .5pt; mso-border-left-alt:double 1.5pt;mso-border-bottom-alt:double 1.5pt; mso-border-right-alt:solid .5pt;mso-border-color-alt:windowtext;padding:0cm 5.4pt 0cm 5.4pt; layout-flow:vertical-ideographic;height:21.65pt" width="57"> <p align="center" class="MsoNormal" style="margin-top:0cm;margin-right:5.65pt; margin-bottom:0cm;margin-left:5.65pt;margin-bottom:.0001pt;text-align:center; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">证券¾lè¥æœºæž„复核æ ?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:134.65pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.65pt" width="180"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">¾cÕdž‹<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:262.25pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.65pt" width="350"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">复核内容<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:21.65pt" width="66"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><span style="mso-bidi-font-size:10.5pt;font-family: 宋体">是否½W¦åˆ<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:4;height:22.25pt"> <td rowspan="5" style="width:92.1pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:22.25pt" width="123"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">½W¦åˆã€ŠåŠžæ³•ã€‹ç¬¬å…«æ¡åQˆå››åQ‰ã€ï¼ˆäº”)条äšg的投资è€?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td rowspan="3" style="width:42.55pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:22.25pt" width="57"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">法äh或其他组¾l?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:262.25pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:22.25pt" width="350"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">最˜q?span lang="EN-US">1</span>òq´æœ«å‡€èµ„äñ”不低äº?span lang="EN-US">2000</span>万元人民å¸?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:22.25pt" width="66"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:5;height:20.55pt"> <td colspan="4" style="width:262.25pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.55pt" width="350"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">最˜q?span lang="EN-US">1</span>òq´æœ«é‡‘融资äñ”不低äº?span lang="EN-US">1000</span>万元人民å¸?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:20.55pt" width="66"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:6;height:33.2pt"> <td colspan="4" style="width:262.25pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:33.2pt" width="350"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">å…ähœ‰<span lang="EN-US">2</span>òq´åŠä»¥ä¸Šä»Žäº‹è¯åˆ¸ã€åŸºé‡‘、期货、黄金、外汇等投资¾låŽ†<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:33.2pt" width="66"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:7;height:45.45pt"> <td rowspan="2" style="width:42.55pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:45.45pt" width="57"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">自然äº?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:262.25pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:45.45pt" width="350"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">金融¾c»èµ„产不低于<span lang="EN-US">500</span>万元人民币,或者最˜q?span lang="EN-US">3</span>òq´ä¸ªäººå¹´å‡æ”¶å…¥ä¸ä½ŽäºŽ<span lang="EN-US">50</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:45.45pt" width="66"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:8;height:45.45pt"> <td colspan="4" style="width:262.25pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:45.45pt" width="350"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">å…ähœ‰<span lang="EN-US">2</span>òq´åŠä»¥ä¸Šä»Žäº‹è¯åˆ¸ã€åŸºé‡‘、期货、黄金、外汇等投资¾låŽ†åQŒæˆ–者具æœ?span lang="EN-US">2</span>òq´ä»¥ä¸Šé‡‘融äñ”品设计、投资、风险管理及相关工作¾låŽ†åQŒæˆ–者属于《办法》第八条½W¬ä¸€™å¹è§„定的专业投资者的高çñ”½Ž¡ç†äººå‘˜ã€èŽ·å¾—职业资æ ÆD®¤è¯çš„从事金融相关业务的注册会计师和律å¸?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:45.45pt" width="66"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:9;height:21.8pt"> <td rowspan="5" style="width:92.1pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.8pt" width="123"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">½W¦åˆã€ŠåŠžæ³•ã€‹ç¬¬åä¸€æ¡è§„定的投资è€?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td rowspan="3" style="width:42.55pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.8pt" width="57"> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">法äh或其他组¾l?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:262.25pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.8pt" width="350"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">最˜q?span lang="EN-US">1</span>òq´æœ«å‡€èµ„äñ”不低äº?span lang="EN-US">1000</span>万元人民å¸?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:21.8pt" width="66"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:10;height:25.05pt"> <td colspan="4" style="width:262.25pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:25.05pt" width="350"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">最˜q?span lang="EN-US">1</span>òq´æœ«é‡‘融资äñ”不低äº?span lang="EN-US">500</span>万元人民å¸?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:25.05pt" width="66"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:11;height:28.25pt"> <td colspan="4" style="width:262.25pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:28.25pt" width="350"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">å…ähœ‰<span lang="EN-US">1</span>òq´åŠä»¥ä¸Šä»Žäº‹è¯åˆ¸ã€åŸºé‡‘、期货、黄金、外汇等投资¾låŽ†<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:28.25pt" width="66"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:12;height:28.25pt"> <td rowspan="2" style="width:42.55pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:28.25pt" width="57"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">自然äº?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:262.25pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:28.25pt" width="350"> <p class="MsoNormal"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">金融¾c»èµ„产不低于<span lang="EN-US">300</span>万元人民币,或者最˜q?span lang="EN-US">3</span>òq´ä¸ªäººå¹´å‡æ”¶å…¥ä¸ä½ŽäºŽ<span lang="EN-US">30</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:28.25pt" width="66"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:13;height:28.25pt"> <td colspan="4" style="width:262.25pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:28.25pt" width="350"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">å…ähœ‰<span lang="EN-US">1</span>òq´åŠä»¥ä¸Šä»Žäº‹è¯åˆ¸ã€åŸºé‡‘、期货、黄金、外汇等投资¾låŽ†åQŒæˆ–者具æœ?span lang="EN-US">1</span>òq´ä»¥ä¸Šé‡‘融äñ”品设计、投资、风险管理及相关工作¾låŽ†<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:28.25pt" width="66"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:14;mso-yfti-lastrow:yes;height:80.95pt"> <td style="width:92.1pt;border-top:none;border-left: none;border-bottom:double windowtext 1.5pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;mso-border-bottom-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:80.95pt" valign="top" width="123"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td colspan="6" style="width:354.4pt;border-top:none; border-left:none;border-bottom:double windowtext 1.5pt;border-right:double windowtext 1.5pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:80.95pt" valign="top" width="473"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt; font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">复核人(一åQ‰ï¼š<span lang="EN-US">                          </span>复核人(二)åQ?span lang="EN-US">                        <o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">òq?span lang="EN-US">   </span>æœ?span lang="EN-US">   </span>æ—?span lang="EN-US">                            </span>òq?span lang="EN-US">  </span>æœ?span lang="EN-US">  </span>æ—?span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <!--[if !supportMisalignedColumns]--> <tr height="0"> <td style="border:none" width="57"> </td> <td style="border:none" width="123"> </td> <td style="border:none" width="57"> </td> <td style="border:none" width="9"> </td> <td style="border:none" width="189"> </td> <td style="border:none" width="94"> </td> <td style="border:none" width="57"> </td> <td style="border:none" width="66"> </td> </tr> <!--[endif]--> </tbody> </table> <p> </p> <p class="MsoNormal" style="line-height:12.0pt"><b><span style="font-size:12.0pt;font-family:宋体">附äšg<span lang="EN-US">3</span>åQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="font-size:12.0pt;font-family: 宋体">专业投资者告知及¼‹®è®¤ä¹?span lang="EN-US"><o:p></o:p></span></span></b></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-1.7pt;border-collapse:collapse;mso-table-layout-alt:fixed; border:none;mso-border-alt:double windowtext 1.5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:1.5pt double windowtext;mso-border-insidev:1.5pt double windowtext" width="624"> <tbody> <tr style="mso-yfti-irow:0;mso-yfti-firstrow:yes;page-break-inside:avoid; height:317.45pt"> <td style="width:49.65pt;border:double windowtext 1.5pt;border-right: solid windowtext 1.0pt;mso-border-alt:double windowtext 1.5pt;mso-border-right-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;layout-flow:vertical-ideographic; height:317.45pt" width="66"> <p align="center" class="MsoNormal" style="margin-top:0cm;margin-right:5.65pt; margin-bottom:0cm;margin-left:5.65pt;margin-bottom:.0001pt;text-align:center; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">证券¾lè¥æœºæž„告知æ ?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:418.15pt;border:double windowtext 1.5pt; border-left:none;mso-border-left-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt; height:317.45pt" width="558"> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">ž®Šæ•¬çš„投资者(投资者姓å?span lang="EN-US">/</span>名称<span lang="EN-US">:<u>             </u></span>åQŒèµ„金è̎åøP¼š<u><span lang="EN-US">         </span></u>åQ‰ï¼š<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">æ ÒŽ®æ‚¨æä¾›çš„è´¢äñ”状况、交易情å†üc€å·¥ä½œç»åŽ†ç­‰ç›¸å…³è¯æ˜Žææ–™<span lang="EN-US">,</span>¾lå¤æ ¸æ‚¨è¢«åˆ’分äؓ专业投资者。现ž®†æœ‰å…³äº‹™å¹å‘ŠçŸ¥å¦‚ä¸?span lang="EN-US">,</span>è¯äh‚¨ä»”细阅读<span lang="EN-US">,</span>òq¶åœ¨æŠ•èµ„者确认栏½{‘Ö­—åQˆç­¾ç« ï¼‰¼‹®è®¤åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">一、证券经营机构在向专业投资者销售äñ”品或提供服务æ—Óž¼Œå¯¹ä¸“业投资者åï–行的适当性义务区别于其他投资者ã€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">二、如您希望不再被划分ä¸ÞZ¸“业投资者,可向本公司提出申诗÷€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">三、当您的财äñ”状况、交易情å†üc€å·¥ä½œç»åŽ†ç­‰ä¿¡æ¯å‘生重大变化æ—Óž¼Œè¯·åŠæ—‰™€šçŸ¥æˆ‘公司,¾lå¤æ ¸å¦‚不再½W¦åˆä¸“业投资者的甌™¯·æ¡äšgåQŒå°†ä¸å†è¢«åˆ’分äؓ专业投资者ã€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">                        </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">证券营业¾|‘点½{„¡« åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:136.5pt;mso-char-indent-count:13.0; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">òq?span lang="EN-US">   </span>æœ?span lang="EN-US">   </span>æ—?span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:1;mso-yfti-lastrow:yes;page-break-inside:avoid; height:317.75pt"> <td style="width:49.65pt;border-top:none;border-left:double windowtext 1.5pt; border-bottom:double windowtext 1.5pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:double windowtext 1.5pt;mso-border-alt:double windowtext 1.5pt; mso-border-right-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt; layout-flow:vertical-ideographic;height:317.75pt" width="66"> <p align="center" class="MsoNormal" style="margin-top:0cm;margin-right:5.65pt; margin-bottom:0cm;margin-left:5.65pt;margin-bottom:.0001pt;text-align:center; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">投资者确认栏<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:418.15pt;border-top:none;border-left:none; border-bottom:double windowtext 1.5pt;border-right:double windowtext 1.5pt; mso-border-top-alt:double windowtext 1.5pt;mso-border-left-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:317.75pt" width="558"> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">本äh<span lang="EN-US">/</span>机构自愿甌™¯·è¢«åˆ’分äؓ专业投资者,已阅è¯ÖMº†ä¸Šè¿°å‘ŠçŸ¥å†…容åQŒç¡®è®¤ç›¸å…³ç”³è¯ähæ–™çœŸå®žã€å‡†¼‹®ã€å®Œæ•ß_¼Œòq¶çŸ¥æ‚‰è´µå…¬å¸æ ÒŽ®ç”Œ™¯·ææ–™ž®†æœ¬äº?span lang="EN-US">/</span>机构划分ä¸ÞZ¸“业投资者。对于贵公司销售的产品或提供的服务åQŒæœ¬äº?span lang="EN-US">/</span>机构å…ähœ‰ä¸“业判断能力åQŒèƒ½å¤Ÿè‡ªè¡Œè¿›è¡Œä¸“业判断ã€?b><span lang="EN-US" style="color:white"><o:p></o:p></span></b></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">本äh<span lang="EN-US">/</span>机构¼‹®è®¤å·²äº†è§£è´µå…¬å¸å¯¹ä¸“业投资者和普通投资者在履行适当性义务方面的区别åQŒæœ¬äº?span lang="EN-US">/</span>机构知悉可以自愿甌™¯·æˆ–因不再½W¦åˆä¸“业投资者的条äšgåQŒè€Œä¸å†è¢«åˆ’分ä¸ÞZ¸“业投资者的规则ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt; font-family:宋体">                         <o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt; font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt; font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt; font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">            </span><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">投资者(自然人签å?span lang="EN-US">/</span>机构½{„¡« ã€æŽˆæƒä»£è¡¨äh½{‘֐åQ‰ï¼š<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">                       </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">òq?span lang="EN-US">   </span>æœ?span lang="EN-US">   </span>æ—?span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> </tbody> </table> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p> </p> <p class="MsoNormal" style="line-height:12.0pt"><b><span style="font-size:12.0pt;font-family:宋体">附äšg<span lang="EN-US">4</span>åQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="font-size:12.0pt;font-family:宋体">投资者风险承受能力评估问åøP¼ˆé€‚用于自然äh投资者)</span></b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="font-size:12.0pt;font-family:宋体">投资者姓名:<u><span lang="EN-US">                 <o:p></o:p></span></u></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="font-size:12.0pt;font-family:宋体">资金账号åQ?u><span lang="EN-US">                 <o:p></o:p></span></u></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体">本问åäh—¨åœ¨äº†è§£æ‚¨å¯æ‰¿å—的风险½E‹åº¦½{‰æƒ…况,借此协助您选择合适的产品</span><span style="font-size: 12.0pt;font-family:宋体;mso-ansi-language:EN-GB">或服务类别,以符合您的风险承受能力ã€?span lang="EN-GB"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体;mso-ansi-language:EN-GB">风险承受能力评估是本公司向投资者åï–行适当性义务的一个环节,其目的是使本公司所提供的äñ”品或服务与您的风险承受能力等¾U§ç›¸åŒšw…ã€?span lang="EN-GB"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体;mso-ansi-language:EN-GB">本公司特别提醒您åQšæœ¬å…¬å¸å‘投资者åï–行风险承受能力评估等适当性义务,òq¶ä¸èƒ½å–代您自己的投资判断,也不会降低äñ”品或服务的固有风险。同æ—Óž¼Œä¸Žäñ”品或服务相关的投资风险、åU¦è´£ä»ÖM»¥åŠè´¹ç”¨ç­‰ž®†ç”±æ‚¨è‡ªè¡Œæ‰¿æ‹…ã€?span lang="EN-GB"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体;mso-ansi-language:EN-GB">本公司提½Cºæ‚¨åQšæœ¬å…¬å¸æ ÒŽ®æ‚¨æä¾›çš„信息å¯ÒŽ‚¨˜q›è¡Œé£Žé™©æ‰¿å—能力评估åQŒåï–è¡?/span><span style="font-size:12.0pt;font-family:宋体">适当性义务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体">本公司徏议:当您的各™å¹çŠ¶å†µå‘生重大变化时åQŒéœ€å¯ÒŽ‚¨æ‰€æŠ•èµ„çš„äñ”品及时进行重新审视,以确保您的投资决定与您可承受的投资风险程度等实际情况一致ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体">本公司在此承诺,对于您在本问卷中所提供的一切信息,本公司将严格按照法律法规要求承担保密义务。除法律法规规定的有权机关依法定½E‹åº˜q›è¡ŒæŸ¥è¯¢ä»¥å¤–åQŒæœ¬å…¬å¸ä¿è¯ä¸ä¼šž®†æ¶‰åŠæ‚¨çš„ä“Q何信息提供、泄露给ä»ÖM½•½W¬ä¸‰æ–¹ï¼Œæˆ–者将相关信息用于˜qæ³•ã€ä¸å½“用途ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span style="font-size:12.0pt;font-family:宋体">一、胦务状å†?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">1ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">您的主要收入来源是:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">工资、劳务报é…?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">生äñ”¾lè¥æ‰€å¾?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">利息、股息、è{让证券等金融性资产收å…?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">出租、出售房åœîCñ”½{‰éžé‡‘融性资产收å…?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">E. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">无固定收å…?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">2ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">最˜q‘您家庭预计˜q›è¡Œè¯åˆ¸æŠ•èµ„的资金占家庭现有总资äº?span lang="EN-US">(</span>不含自住、自用房产及汽èžR½{‰å›ºå®šèµ„äº?span lang="EN-US">)</span>的比例是åQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A</span><span style="font-size:12.0pt;font-family:宋体">åQ?span lang="EN-US">70%</span>以上<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B</span><span style="font-size:12.0pt;font-family:宋体">åQ?span lang="EN-US">50%-70% <o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C</span><span style="font-size:12.0pt;font-family:宋体">åQ?span lang="EN-US">30%</span>åQ?span lang="EN-US">50%<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D</span><span style="font-size:12.0pt;font-family:宋体">åQ?span lang="EN-US">10%</span>åQ?span lang="EN-US">30%<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E</span><span style="font-size:12.0pt;font-family:宋体">åQ?span lang="EN-US">10%</span>以下<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">3ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">您是否有ž®šæœªæ¸…偿的数额较大的债务åQŒå¦‚有,其性质是:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">没有<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">有,住房抉|Š¼è´äh¬¾½{‰é•¿æœŸå®šé¢å€ºåŠ¡<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">有,信用卡欠‹Æ¾ã€æ¶ˆè´¹ä¿¡è´ïL­‰çŸ­æœŸä¿¡ç”¨å€ºåŠ¡<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">有,亲朋之间借款<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">4ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">您可用于投资的资产数额(包括金融资äñ”和不动äñ”åQ‰äؓåQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. </span><span style="font-size:12.0pt;font-family:宋体">不超˜q?span lang="EN-US">50</span>万元人民å¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. 50</span><span style="font-size:12.0pt;font-family:宋体">ä¸?span lang="EN-US">-300</span>万元åQˆä¸å«ï¼‰äººæ°‘å¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. 300</span><span style="font-size:12.0pt;font-family:宋体">ä¸?span lang="EN-US">-1000</span>万元åQˆä¸å«ï¼‰äººæ°‘å¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. 1000</span><span style="font-size:12.0pt;font-family:宋体">万元人民币以ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">二ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">投资知识<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">5ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">以下描述中何¿Uç¬¦åˆæ‚¨çš„实际情况:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A.</span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">现在或此前曾从事金融、经‹¹Žæˆ–财会½{‰ä¸Žé‡‘融产品投资相关的工作超˜q‡ä¸¤òq?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B.</span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">已取得金融、经‹¹Žæˆ–财会½{‰ä¸Žé‡‘融产品投资相关专业学士以上学位<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C.</span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">取得证券从业资格、基金从业资根{€æœŸè´§ä»Žä¸šèµ„æ ¹{€æ³¨å†Œä¼šè®¡å¸ˆè¯ä¹¦åQ?span lang="EN-US">CPA</span>åQ‰æˆ–注册金融分析师证书(<span lang="EN-US">CFA</span>åQ‰ä¸­çš„一™å¹åŠä»¥ä¸Š<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D.</span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">我不½W¦åˆä»¥ä¸Šä»ÖM½•ä¸€™åҎ˜q?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">三ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">投资¾léªŒ<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">6ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">您的投资¾léªŒå¯ä»¥è¢«æ¦‚括äؓåQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A</span><span style="font-size:12.0pt;font-family:宋体">åQŽæœ‰é™ï¼šé™¤é“¶è¡Œæ´»æœŸè̎户和定期存款外,我基本没有其他投资经éª?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B</span><span style="font-size:12.0pt;font-family:宋体">åQŽä¸€èˆ¬ï¼šé™¤é“¶è¡Œæ´»æœŸè̎户和定期存款外,我购买过基金、保险等理胦产品åQŒä½†˜q˜éœ€è¦è¿›ä¸€æ­¥çš„指导<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C</span><span style="font-size:12.0pt;font-family:宋体">åQŽä¸°å¯Œï¼šæˆ‘是一位有¾léªŒçš„投资者,参与˜q‡è‚¡¼œ¨ã€åŸºé‡‘等产品的交易,òq¶å€‘֐‘于自己做出投资决½{?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D</span><span style="font-size:12.0pt;font-family:宋体">åQŽéžå¸æ€¸°å¯Œï¼šæˆ‘是一位非常有¾léªŒçš„投资者,参与˜q‡æƒè¯ã€æœŸè´§æˆ–创业板等产品的交æ˜?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">7ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">有一位投资者一个月内做äº?span lang="EN-US">15</span>½W”交易(同一品种买卖各一‹Æ¡ç®—一½W”)åQŒæ‚¨è®¤äؓ˜q™æ ·çš„交易频率:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. </span><span style="font-size:12.0pt;font-family:宋体">太高äº?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. </span><span style="font-size:12.0pt;font-family:宋体">偏高<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. </span><span style="font-size:12.0pt;font-family:宋体">正常<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">偏低<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">8ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">˜q‡åŽ»ä¸€òq´æ—¶é—´å†…åQŒæ‚¨è´­ä¹°çš„不同äñ”品或接受的不同服务(含同一¾cÕdž‹çš„不同äñ”品或服务åQ‰çš„数量是:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">5</span><span style="font-size:12.0pt; font-family:宋体">个以ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">6</span><span style="font-size:12.0pt; font-family:宋体">è‡?span lang="EN-US">10</span>ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">11</span><span style="font-size:12.0pt; font-family:宋体">è‡?span lang="EN-US">15</span>ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">16</span><span style="font-size:12.0pt; font-family:宋体">个以ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">9ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">以下金融产品或服务,您投资经验在两年以上的有åQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">银行存款½{?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">债券、货币市场基金、债券型基金或其它固定收益¾cÖMñ”品等<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">股票、æ؜合型基金、偏股型基金、股¼œ¨åž‹åŸºé‡‘½{‰æƒç›Šç±»æŠ•èµ„品种½{?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">期货、期权、融资融åˆ?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">E. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">复杂金融产品、其他äñ”品或服务<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="font-size:12.0pt;font-family:宋体">åQˆæ³¨åQšæœ¬é¢˜å¯å¤šé€‰ï¼Œä½†è¯„分以其中最高分值选项为准。)<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">10ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">如果您曾¾lä»Žäº‹è¿‡é‡‘融市场投资åQŒåœ¨äº¤æ˜“较äؓ‹z»è·ƒçš„月份,òq›_‡æœˆäº¤æ˜“额大概是多ž®‘:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. 10</span><span style="font-size:12.0pt;font-family:宋体">万元以内<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. 10</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-30</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. 30</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-100</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. 100</span><span style="font-size:12.0pt;font-family:宋体">万元以上<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E. </span><span style="font-size:12.0pt;font-family:宋体">从未从事˜q‡é‡‘融市场投èµ?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span style="font-size:12.0pt;font-family:宋体">四、投资目æ ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">11ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">您用于证券投资的大部分资金不会用作其它用途的旉™—´ŒDµäؓåQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A</span><span style="font-size:12.0pt;font-family:宋体">åQ?span lang="EN-US">0</span>åˆ?span lang="EN-US">1</span>òq?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B</span><span style="font-size:12.0pt;font-family:宋体">åQ?span lang="EN-US">1</span>åˆ?span lang="EN-US">5</span>òq?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C</span><span style="font-size:12.0pt;font-family:宋体">åQŽæ— ç‰¹åˆ«è¦æ±‚<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">12ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">您打½Ž—重ç‚ÒŽŠ•èµ„于哪些¿Uç±»çš„投资品¿Uï¼Ÿ<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A.  </span><span style="font-size:12.0pt; font-family:宋体">债券、货币市场基金、债券基金½{‰å›ºå®šæ”¶ç›Šç±»æŠ•èµ„品种<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B.  </span><span style="font-size:12.0pt; font-family:宋体">股票、æ؜合型基金、偏股型基金、股¼œ¨åž‹åŸºé‡‘½{‰æƒç›Šç±»æŠ•èµ„品种<b><span lang="EN-US"><o:p></o:p></span></b></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold">C.<b> </b></span><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span><span style="font-size:12.0pt; font-family:宋体">期货、期权、融资融券等<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D.  </span><span style="font-size:12.0pt; font-family:宋体">高风险金融äñ”品或服务<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E.  </span><span style="font-size:12.0pt; font-family:宋体">其他产品或服åŠ?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="font-size:12.0pt;font-family:宋体">åQˆæ³¨åQšæœ¬é¢˜å¯å¤šé€‰ï¼Œä½†è¯„分以其中最高分值选项为准。)<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">13ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">假设有两¿Uä¸åŒçš„投资åQšæŠ•èµ?span lang="EN-US">A</span>期望获得<span lang="EN-US">5%</span>的收益,有可能承担非常小的损失;投资<span lang="EN-US">B</span>期望获得<span lang="EN-US">20%</span>的收益,但有可能面äÍ<span lang="EN-US">25%</span>甚至更高的亏损。您ž®†æ‚¨çš„投资资产分配äؓåQ?<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A</span><span style="font-size:12.0pt;font-family:宋体">åQŽå…¨éƒ¨æŠ•èµ„于<span lang="EN-US">A<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B</span><span style="font-size:12.0pt;font-family:宋体">åQŽå¤§éƒ¨åˆ†æŠ•èµ„äº?span lang="EN-US">A<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C</span><span style="font-size:12.0pt;font-family:宋体">åQŽä¸¤¿UæŠ•èµ„各一å?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D</span><span style="font-size:12.0pt;font-family:宋体">åQŽå¤§éƒ¨åˆ†æŠ•èµ„äº?span lang="EN-US">B<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E</span><span style="font-size:12.0pt;font-family:宋体">åQŽå…¨éƒ¨æŠ•èµ„于<span lang="EN-US">B<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">14ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">当您˜q›è¡ŒæŠ•èµ„æ—Óž¼Œæ‚¨çš„期望收益是:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A</span><span style="font-size:12.0pt;font-family:宋体">åQŽå°½å¯èƒ½ä¿è¯æœ¬é‡‘安全åQŒä¸åœ¨ä¹Žæ”¶ç›ŠçŽ‡æ¯”较低<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B</span><span style="font-size:12.0pt;font-family:宋体">åQŽäñ”生一定的收益åQŒå¯ä»¥æ‰¿æ‹…一定的投资风险<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C</span><span style="font-size:12.0pt;font-family:宋体">åQŽäñ”生较多的收益åQŒå¯ä»¥æ‰¿æ‹…较大的投资风险<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D</span><span style="font-size:12.0pt;font-family:宋体">åQŽå®žçŽ°èµ„产大òq…增长,愿意承担很大的投资风é™?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span style="font-size:12.0pt;font-family:宋体">五、风险偏å¥?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">15ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">您认ä¸ø™‡ªå·Þpƒ½æ‰¿å—的最大投资损失是多少åQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. </span><span style="font-size:12.0pt;font-family:宋体">不能承受ä»ÖM½•æŸå¤±<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. </span><span style="font-size:12.0pt;font-family:宋体">一定的投资损失<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. </span><span style="font-size:12.0pt;font-family:宋体">较大的投资损å¤?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">损失可能­‘…过本金<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">16</span></b><b><span style="font-size:12.0pt;font-family:宋体">、您打算ž®†è‡ªå·Þqš„投资回报主要用于åQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">改善生活<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">个体生äñ”¾lè¥æˆ–证券投资以外的投资行äؓ<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">履行扶养、抚å…ÀLˆ–赡养义务<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">本äh养老或åŒÈ–—<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">E. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">偿付债务<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span style="font-size:12.0pt;font-family:宋体">六、其他信æ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="text-indent:30.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span lang="EN-US" style="font-size:15.0pt;mso-fareast-font-family:æ–ÒŽ­£ä»¿å®‹½Ž€ä½?> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">17</span></b><b><span style="font-size:12.0pt;font-family:宋体">、您的年龄是åQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. 18-30</span><span style="font-size:12.0pt;font-family:宋体">å²?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. 31-40</span><span style="font-size:12.0pt;font-family:宋体">å²?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. 41-50</span><span style="font-size:12.0pt;font-family:宋体">å²?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D 51-60</span><span style="font-size:12.0pt;font-family:宋体">å²?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E. </span><span style="font-size:12.0pt;font-family:宋体">­‘…过<span lang="EN-US">60</span>å²?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 26.25pt; text-indent: -26.25pt; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">18ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">今后五年旉™—´å†…,您的父母、配偶以及未成年子女½{‰éœ€è´Ÿæ³•å®šæŠšå……R€æ‰¶å…Õd’Œèµ¡å…»ä¹‰åŠ¡çš„ähæ•îCؓåQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">1-2</span><span style="font-size:12.0pt; font-family:宋体">äº?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">3-4</span><span style="font-size:12.0pt; font-family:宋体">äº?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">5</span><span style="font-size:12.0pt; font-family:宋体">äºÞZ»¥ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 26.25pt; text-indent: -26.25pt; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">19ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">您的最高学历是åQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">高中或以ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">大学专科<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">大学本科<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">¼‹•å£«åŠä»¥ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 26.25pt; text-indent: -26.25pt; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">20ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">您家庭的ž®×ƒ¸šçŠ¶å†µæ˜¯ï¼š<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. </span><span style="font-size:12.0pt;font-family:宋体">您与配偶均有½E›_®šæ”¶å…¥çš„å·¥ä½?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. </span><span style="font-size:12.0pt;font-family:宋体">您与配偶其中一人有½E›_®šæ”¶å…¥çš„å·¥ä½?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. </span><span style="font-size:12.0pt;font-family:宋体">您与配偶均没有稳定收入的工作或者已退ä¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">未婚åQŒä½†æœ‰ç¨³å®šæ”¶å…¥çš„工作<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E. </span><span style="font-size:12.0pt;font-family:宋体">未婚åQŒç›®å‰æš‚无稳定收入的工作<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><b><u><span style="font-size:12.0pt;font-family:宋体">投资者签¾|²ç¡®è®?span lang="EN-US"><o:p></o:p></span></span></u></b></p> <p class="MsoNormal" style="text-indent:23.6pt;mso-char-indent-count:1.96; line-height:12.0pt"><b><span style="font-size:12.0pt;font-family:宋体">本äh已经了解òq¶æ„¿æ„éµå®ˆå›½å®¶æœ‰å…Œ™¯åˆ¸å¸‚场管理的法律、法规、规章及相关业务规则åQŒæœ¬äººåœ¨æ­¤éƒ‘重承è¯ÞZ»¥ä¸Šå¡«å†™çš„内容真实、准¼‹®ã€å®Œæ•´åƈ对其负责。若本äh提供的信息发生ä“Q何重大变化,本ähž®†åŠæ—¶ä¹¦é¢é€šçŸ¥è´µå…¬å¸ã€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="line-height:12.0pt"><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="line-height:12.0pt"><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="line-height:12.0pt"><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">                                         </span></b><b><span style="font-size:12.0pt;font-family:宋体">投资者(½{‘֐åQ‰ï¼š<span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="line-height:12.0pt"><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">                                         </span></b><b><span style="font-size:12.0pt;font-family:宋体">½{„¡Öv日期åQ?</span></b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"><o:p></o:p></span></p> <p> </p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="font-size:12.0pt;font-family:宋体">投资者风险承受能力评估问åøP¼ˆé€‚用于机构投资者)</span></b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="font-size:12.0pt;font-family:宋体">投资者名¿UŽÍ¼š<u><span lang="EN-US">                  <o:p></o:p></span></u></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="font-size:12.0pt;font-family:宋体">资金账号åQ?u><span lang="EN-US">                  <o:p></o:p></span></u></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体">本问åäh—¨åœ¨äº†è§£è´µå•ä½å¯æ‰¿å—的风险½E‹åº¦½{‰æƒ…况,借此协助贵单位选择合适的产品</span><span style="font-size:12.0pt;font-family:宋体;mso-ansi-language:EN-GB">或服务类别,以符合贵单位的风险承受能力ã€?span lang="EN-GB"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体;mso-ansi-language:EN-GB">风险承受能力评估是本公司向投资者åï–行适当性义务的一个环节,其目的是使本公司所提供的äñ”品或服务与贵单位的风险承受能力等¾U§ç›¸åŒšw…ã€?span lang="EN-GB"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体;mso-ansi-language:EN-GB">本公司特别提醒贵单位åQšæœ¬å…¬å¸å‘投资者åï–行风险承受能力评估等适当性义务,òq¶ä¸èƒ½å–代贵单位自己的投资判断,也不会降低äñ”品或服务的固有风险。同æ—Óž¼Œä¸Žäñ”品或服务相关的投资风险、åU¦è´£ä»ÖM»¥åŠè´¹ç”¨ç­‰ž®†ç”±è´µå•ä½è‡ªè¡Œæ‰¿æ‹…ã€?span lang="EN-GB"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体;mso-ansi-language:EN-GB">本公司提½Cø™´µå•ä½åQšæœ¬å…¬å¸æ ÒŽ®è´µå•ä½æä¾›çš„信息对贵单位˜q›è¡Œé£Žé™©æ‰¿å—能力评估åQŒåï–è¡?/span><span style="font-size:12.0pt;font-family:宋体">适当性义务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体">本公司徏议:当贵单位的各™å¹çŠ¶å†µå‘生重大变化时åQŒéœ€å¯¹è´µå•ä½æ‰€æŠ•èµ„çš„äñ”品及时进行重新审视,以确保贵单位的投资决定与贵单位可承受的投资风险程度等实际情况一致ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体">本公司在此承诺,对于贵单位在本问卷中所提供的一切信息,本公司将严格按照法律法规要求承担保密义务。除法律法规规定的有权机关依法定½E‹åº˜q›è¡ŒæŸ¥è¯¢ä»¥å¤–åQŒæœ¬å…¬å¸ä¿è¯ä¸ä¼šž®†æ¶‰åŠè´µå•ä½çš„ä“Q何信息提供、泄露给ä»ÖM½•½W¬ä¸‰æ–¹ï¼Œæˆ–者将相关信息用于˜qæ³•ã€ä¸å½“用途ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">1ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位的性质åQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">国有企事业单ä½?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">非上市民营企ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">外资企业<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">上市公司<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">2ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位的净资äñ”规模为:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. 500</span><span style="font-size:12.0pt;font-family:宋体">万元以下<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. 500</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-2000</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. 2000</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-1</span>亿元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">­‘…过<span lang="EN-US">1</span>亿元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">3ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位年营业收入为:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. 500</span><span style="font-size:12.0pt;font-family:宋体">万元以下<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. 500</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-2000</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. 2000</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-1</span>亿元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">­‘…过<span lang="EN-US">1</span>亿元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">4ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位证券è̎戯‚µ„产äؓåQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. 300</span><span style="font-size:12.0pt;font-family:宋体">万元以内<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. 300</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-1000</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. 1000</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-3000</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">­‘…过<span lang="EN-US">3000</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">5ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位是否有ž®šæœªæ¸…偿的数额较大的债务åQŸå¦‚有,主要是:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. </span><span style="font-size:12.0pt;font-family:宋体">银行è´äh¬¾<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. </span><span style="font-size:12.0pt;font-family:宋体">公司债券或企业债券<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. </span><span style="font-size:12.0pt;font-family:宋体">通过担保公司½{‰ä¸­ä»‹æœºæž„募集的借款<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">民间借贷<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E. </span><span style="font-size:12.0pt;font-family:宋体">没有数额较大的债务<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">6ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">对于金融产品投资工作åQŒè´µå•ä½æ‰“算配置怎样的äh员力量:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">一名兼职äh员(包括负责äºø™‡ªè¡Œå†³½{–)<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">一名专职ähå‘?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">多名å…ÆDŒæˆ–专职äh员,ç›æ€º’之间分工不明¼‹?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">多名å…ÆDŒæˆ–专职äh员,ç›æ€º’之间有明¼‹®åˆ†å·?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">7ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位所配置的负责金融äñ”品投资工作的人员是否½W¦åˆä»¥ä¸‹æƒ…况åQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">现在或此前曾从事金融、经‹¹Žæˆ–财会½{‰ä¸Žé‡‘融产品投资相关的工作超˜q‡ä¸¤òq?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">已取得金融、经‹¹Žæˆ–财会½{‰ä¸Žé‡‘融产品投资相关专业学士以上学位<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">取得证券从业资格、期货从业资根{€æ³¨å†Œä¼šè®¡å¸ˆè¯ä¹¦åQ?span lang="EN-US">CPA</span>åQ‰æˆ–注册金融分析师证书(<span lang="EN-US">CFA</span>åQ‰ä¸­çš„一™å¹åŠä»¥ä¸Š<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">本单位所配置的äh员不½W¦åˆä»¥ä¸Šä»ÖM½•ä¸€™åҎ˜q?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">8ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位是否徏立了金融产品投资相关的管理制度:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">没有。因ä¸ø™¦ä¿è¯æ“ä½œçš„灵‹zÀL€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">已徏立。包括了分工和授权的要求åQŒä½†æœªåŒ…括投资风险控制的规则<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">已徏立。包括了分工与授权、风险控制等一¾pÕdˆ—与金融äñ”品投资有关的规则<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">9ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位的投资¾léªŒå¯ä»¥è¢«æ¦‚括äؓåQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A</span><span style="font-size:12.0pt;font-family:宋体">åQŽæœ‰é™ï¼šé™¤é“¶è¡Œæ´»æœŸè̎户和定期存款外,基本没有其他投资¾léªŒ<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B</span><span style="font-size:12.0pt;font-family:宋体">åQŽä¸€èˆ¬ï¼šé™¤é“¶è¡Œæ´»æœŸè̎户和定期存款外,购买˜q‡åŸºé‡‘、保险等理胦产品åQŒä½†˜q˜éœ€è¦è¿›ä¸€æ­¥çš„指导<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C</span><span style="font-size:12.0pt;font-family:宋体">åQŽä¸°å¯Œï¼šæœ¬å•ä½å…·æœ‰ç›¸å½“投资经验,参与˜q‡è‚¡¼œ¨ã€åŸºé‡‘等产品的交易,òq¶å€‘֐‘于自己做出投资决½{?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D</span><span style="font-size:12.0pt;font-family:宋体">åQŽéžå¸æ€¸°å¯Œï¼šæœ¬å•ä½å¯¹äºŽæŠ•èµ„非常有¾léªŒåQŒå‚与过权证、期货或创业板等产品的交æ˜?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">10ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">有一位投资者一个月内做äº?span lang="EN-US">15</span>½W”交易(同一品种买卖各一‹Æ¡ç®—一½W”)åQŒè´µå•ä½è®¤äؓ˜q™æ ·çš„交易频率:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. </span><span style="font-size:12.0pt;font-family:宋体">太高äº?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. </span><span style="font-size:12.0pt;font-family:宋体">偏高<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. </span><span style="font-size:12.0pt;font-family:宋体">正常<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">偏低<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">11ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">˜q‡åŽ»ä¸€òq´æ—¶é—´å†…åQŒè´µå•ä½è´­ä¹°çš„不同äñ”品或接受的不同服务(含同一¾cÕdž‹çš„不同äñ”品或服务åQ‰çš„数量是:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">5</span><span style="font-size:12.0pt; font-family:宋体">个以ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">6</span><span style="font-size:12.0pt; font-family:宋体">è‡?span lang="EN-US">10</span>ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">11</span><span style="font-size:12.0pt; font-family:宋体">è‡?span lang="EN-US">15</span>ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">16</span><span style="font-size:12.0pt; font-family:宋体">个以ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">12ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">以下金融产品或服务,贵单位投资经验在两年以上的有åQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. </span><span style="font-size:12.0pt;font-family:宋体">银行存款½{?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. </span><span style="font-size:12.0pt;font-family:宋体">债券、货币市场基金、债券型基金或其它固定收益¾cÖMñ”品等<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C .</span><span style="font-size:12.0pt;font-family:宋体">股票、æ؜合型基金、偏股型基金、股¼œ¨åž‹åŸºé‡‘½{‰æƒç›Šç±»æŠ•èµ„品种<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">期货、期权、融资融券等<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E. </span><span style="font-size:12.0pt;font-family:宋体">复杂金融产品、其他äñ”品或服务<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="font-size:12.0pt;font-family:宋体">åQˆæ³¨åQšæœ¬é¢˜å¯å¤šé€‰ï¼Œä½†è¯„分以其中最高分值选项为准。)<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">13ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">如果贵单位曾¾lä»Žäº‹è¿‡é‡‘融市场投资åQŒåœ¨äº¤æ˜“较äؓ‹z»è·ƒçš„月份,òq›_‡æœˆäº¤æ˜“额大概是多ž®‘:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. 100</span><span style="font-size:12.0pt;font-family:宋体">万元以内<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. 100</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-300</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. 300</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-1000</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. 1000</span><span style="font-size:12.0pt;font-family:宋体">万元以上<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E. </span><span style="font-size:12.0pt;font-family:宋体">从未投资˜q‡é‡‘融äñ”å“?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">14ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位用于证券投资的大部分资金不会用作其它用途的旉™—´ŒDµäؓåQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A</span><span style="font-size:12.0pt;font-family:宋体">åQ?span lang="EN-US">0</span>åˆ?span lang="EN-US">1</span>òq?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B</span><span style="font-size:12.0pt;font-family:宋体">åQ?span lang="EN-US">1</span>åˆ?span lang="EN-US">5</span>òq?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C</span><span style="font-size:12.0pt;font-family:宋体">åQŽæ— ç‰¹åˆ«è¦æ±‚<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">15ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位进行投资时的期望收益是åQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A</span><span style="font-size:12.0pt;font-family:宋体">åQŽå°½å¯èƒ½ä¿è¯æœ¬é‡‘安全åQŒä¸åœ¨ä¹Žæ”¶ç›ŠçŽ‡æ¯”较低<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B</span><span style="font-size:12.0pt;font-family:宋体">åQŽäñ”生一定的收益åQŒå¯ä»¥æ‰¿æ‹…一定的投资风险<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C</span><span style="font-size:12.0pt;font-family:宋体">åQŽäñ”生较多的收益åQŒå¯ä»¥æ‰¿æ‹…较大的投资风险<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D</span><span style="font-size:12.0pt;font-family:宋体">åQŽå®žçŽ°èµ„产大òq…增长,愿意承担很大的投资风é™?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">16ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位打½Ž—重ç‚ÒŽŠ•èµ„于哪些¿Uç±»çš„投资品¿Uï¼Ÿ<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">债券、货币市场基金、债券基金½{‰å›ºå®šæ”¶ç›Šç±»æŠ•èµ„品种<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">股票、æ؜合型基金、偏股型基金、股¼œ¨åž‹åŸºé‡‘½{‰æƒç›Šç±»æŠ•èµ„品种<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">期货、期权、融资融券等<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">复杂金融产品或服åŠ?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">E. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">其他产品或服åŠ?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="font-size:12.0pt;font-family:宋体">åQˆæ³¨åQšæœ¬é¢˜å¯å¤šé€‰ï¼Œä½†è¯„分以其中最高分值选项为准。)<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">17ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位认ä¸ø™‡ªå·Þpƒ½æ‰¿å—的最大投资损失是多少åQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. </span><span style="font-size:12.0pt;font-family:宋体">不能承受ä»ÖM½•æŸå¤±<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. </span><span style="font-size:12.0pt;font-family:宋体">一定的投资损失<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. </span><span style="font-size:12.0pt;font-family:宋体">较大的投资损å¤?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">损失可能­‘…过本金<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">18ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">假设有两¿Uä¸åŒçš„投资åQšæŠ•èµ?span lang="EN-US">A</span>期望获得<span lang="EN-US">5%</span>的收益,有可能承担非常小的损失;投资<span lang="EN-US">B</span>期望获得<span lang="EN-US">20%</span>的收益,但有可能面äÍ<span lang="EN-US">25%</span>甚至更高的亏损。您ž®†æ‚¨çš„投资资产分配äؓåQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A</span><span style="font-size:12.0pt;font-family:宋体">åQŽå…¨éƒ¨æŠ•èµ„于<span lang="EN-US">A<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B</span><span style="font-size:12.0pt;font-family:宋体">åQŽå¤§éƒ¨åˆ†æŠ•èµ„äº?span lang="EN-US">A<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C</span><span style="font-size:12.0pt;font-family:宋体">åQŽä¸¤¿UæŠ•èµ„各一å?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D</span><span style="font-size:12.0pt;font-family:宋体">åQŽå¤§éƒ¨åˆ†æŠ•èµ„äº?span lang="EN-US">B<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E</span><span style="font-size:12.0pt;font-family:宋体">åQŽå…¨éƒ¨æŠ•èµ„于<span lang="EN-US">B<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">19ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位参与金融äñ”品投资的主要目的是什么:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">闲置资金保值增å€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">获取主营业务以外的投资收ç›?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">现货套期保倹{€å¯¹å†²ä¸»è¥ä¸šåŠ¡é£Žé™?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">减持已持有的股票<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><u><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></u></p> <p class="MsoNormal" style="line-height:12.0pt"><b><u><span style="font-size:12.0pt;font-family:宋体">投资者签¾|²ç¡®è®?span lang="EN-US"><o:p></o:p></span></span></u></b></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p class="MsoNormal" style="text-indent:23.6pt;mso-char-indent-count:1.96; line-height:12.0pt"><b><span style="font-size:12.0pt;font-family:宋体">本机构已¾läº†è§£åƈ愿意遵守国家有关证券市场½Ž¡ç†çš„法律、法规、规章及相关业务规则åQŒæœ¬æœºæž„在此郑重承诺以上填写的内容真实、准¼‹®ã€å®Œæ•´åƈ对其负责。若本机构提供的信息发生ä»ÖM½•é‡å¤§å˜åŒ–åQŒæœ¬æœºæž„ž®†åŠæ—¶ä¹¦é¢é€šçŸ¥è´µå…¬å¸ã€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold">                                         </span><span style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold">投资者(盖章åQ‰ï¼š<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold">                                         </span><span style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold">½{„¡Öv日期åQ?</span><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold">问卷及评估方法说明:<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 24pt; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体; mso-bidi-font-weight:bold">1ã€?/span><!--[endif]--><span style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold">证券¾lè¥æœºæž„可在本问卷基¼‹€ä¸Šå¢žåŠ æœ¬å…¬å¸è®¤äؓ较重要的问题åQŒæˆ–å¯ÒŽœ¬é—®å·çŽ°æœ‰é—®é¢˜åŠç­”案的表述方式或内容进行调æ•ß_¼Œä»¥æ›´å…¨é¢åœîCº†è§£æŠ•èµ„者风险承受能力情å†üc€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 24pt; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体; mso-bidi-font-weight:bold">2ã€?/span><!--[endif]--><span style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold">证券¾lè¥æœºæž„˜q›è¡Œè¯„ä¼°æ—Óž¼Œåº”根据评估选项与风险承受能力的相关性,¼‹®å®šé€‰é¡¹çš„分值和权重åQŒåŒæ—¶å¾ç«‹è¯„估分å€ég¸Žé£Žé™©æ‰¿å—能力½{‰çñ”的对应关¾p…R€‚äؓ全面¾l¼åˆè€ƒè™‘投资者风险承受能力,分å€ÆD®¾¾|®åº”整体均衡åQŒä½†å¯¹äºŽç‰¹åˆ«é‡è¦çš„问题,分å€ÆD®¾¾|®å¯è€ƒè™‘有所偏重ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 24pt; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体; mso-bidi-font-weight:bold">3ã€?/span><!--[endif]--><span style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold">证券¾lè¥æœºæž„æ ÒŽ®è¯„分情况讄¡½®æŠ•èµ„者风险承受能力等¾U§ï¼Œ½{‰çñ”应与问卷‹¹‹è¯„分数ŒDµä¸€ä¸€å¯¹åº”。投资者风险承受能力等¾U§åˆ’分与本公åæ€ñ”品风险等¾U§åˆ’分应当一致ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">注:机构投资者包括法人和其他¾l„织ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p> </p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char;mso-layout-grid-align: none"><b><span lang="EN-US" style="font-size: 12.0pt;font-family:宋体"> </span></b><b><span style="font-size:12.0pt;font-family: 宋体">附äšg<span lang="EN-US">5</span>åQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-8.8pt;border-collapse:collapse;mso-table-layout-alt:fixed; border:none;mso-border-alt:solid windowtext .5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:.5pt solid windowtext;mso-border-insidev:.5pt solid windowtext" width="595"> <tbody> <tr style="mso-yfti-irow:0;mso-yfti-firstrow:yes;height:28.1pt"> <td colspan="2" style="width:446.55pt;border:solid windowtext 1.0pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:28.1pt" valign="top" width="595"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">投资者风险承受能力评估结果告知书åQˆä¸€å¼ä¸¤ä»½ï¼‰</span></b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"><o:p></o:p></span></p> </td> </tr> <tr style="mso-yfti-irow:1;height:23.05pt"> <td colspan="2" style="width:446.55pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:23.05pt" width="595"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">提示åQšæœ¬è¡¨ç”±è¯åˆ¸¾lè¥æœºæž„填写åQŒè¯åˆ¸ç»è¥æœºæž„和投资者双方各自留存ã€?span lang="EN-US"><o:p></o:p></span></span></b></p> </td> </tr> <tr style="mso-yfti-irow:2;height:299.2pt"> <td style="width:42.55pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:299.2pt" width="57"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">æŠ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">èµ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">è€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">ç•?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">å­?/span></b><span lang="EN-US" style="mso-bidi-font-size:10.5pt; font-family:宋体"><o:p></o:p></span></p> </td> <td style="width:404.0pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:299.2pt" valign="top" width="539"> <p class="MsoNormal" style="line-height:12.0pt;vertical-align:baseline"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">ž®Šæ•¬çš„投资者(姓名<span lang="EN-US">/</span>名称åQ?span lang="EN-US">__________ </span>资金账号åQ?span lang="EN-US">____________________</span>åQ‰ï¼š<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:20.15pt;mso-char-indent-count:1.92; line-height:12.0pt;vertical-align:baseline"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">æ ÒŽ®æ‚¨å¡«å†™çš„《投资者风险承受能力问南÷€‹ï¼Œæœ¬å…¬å¸å¯¹æ‚¨çš„风险承受能力˜q›è¡Œäº†ç»¼åˆè¯„伎ͼŒçŽ°å¾—到评估结果如下:<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;vertical-align:baseline"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">您的风险承受能力为:<span lang="EN-US">______________________</span>åQˆæ ¹æ®å…¬å”R£Žé™©æ‰¿å—能力等¾U§åˆ’分填写,例如åQšâ–¡<span lang="EN-US">C1</span>åQˆå«é£Žé™©æ‰¿å—能力最低类别的投资者)â–?span lang="EN-US">C1(</span>不含风险承受能力最低类别的投资è€?span lang="EN-US">) </span>â–?span lang="EN-US">C2</span>â–?span lang="EN-US">C3</span>â–?span lang="EN-US">C4</span>â–?span lang="EN-US">C5</span>åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:20.25pt;mso-char-indent-count:1.92; line-height:12.0pt;vertical-align:baseline"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">本公司在此郑重提醒,本公司向您销售的产品或提供的服务ž®†ä»¥æ‚¨çš„风险承受能力½{‰çñ”为基¼‹€åQŒè‹¥æ‚¨æä¾›çš„信息发生ä»ÖM½•é‡å¤§å˜åŒ–åQŒæ‚¨éƒ½åº”当及时书面通知本公司。本公司å»ø™®®æ‚¨å®¡æ…Žè¯„判自íw«é£Žé™©æ‰¿å—能力、结合自íw«æŠ•èµ„行为,作出审慎的投资判断ã€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="text-indent:20.25pt;mso-char-indent-count:1.92; line-height:12.0pt;vertical-align:baseline"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">如您在审慎考虑后同意本公司的评估结果,误‚®¤çœŸé˜…è¯ÖM¸‹åˆ—内容,òq¶ç­¾å­—以½CºåŒæ„?/span></b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt;vertical-align:baseline"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt;vertical-align:baseline"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">                                             XX</span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">公司<span lang="EN-US">XX</span>营业¾|‘点<span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="margin-right:21.0pt;text-align:center; line-height:12.0pt;vertical-align:baseline"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">                               </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">½{„¡Öv日期åQ?span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:3;mso-yfti-lastrow:yes;height:296.65pt"> <td style="width:42.55pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:296.65pt" width="57"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">è¯?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">åˆ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">¾l?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">è?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">æœ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">æž?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">ç•?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">å­?/span></b><span lang="EN-US" style="mso-bidi-font-size:10.5pt; font-family:宋体"><o:p></o:p></span></p> </td> <td style="width:404.0pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:296.65pt" valign="top" width="539"> <p class="MsoNormal" style="line-height:12.0pt;vertical-align:baseline"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">XX</span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">公司<span lang="EN-US">**</span>营业¾|‘点åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt;vertical-align:baseline"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">    </span><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">本ähåQˆæœºæž„)在贵公司的提醒下åQŒå·²¾lå®¡æ…Žè€ƒè™‘自èín的风险承受能力在此确认:<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;line-height:12.0pt;vertical-align: baseline"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">本ähåQˆæœºæž„)的风险承受能力äؓåQ?span lang="EN-US">__________________</span>åQˆæ ¹æ®å…¬å”R£Žé™©æ‰¿å—能力等¾U§åˆ’分填写,例如åQšâ–¡<span lang="EN-US">C1</span>åQˆå«é£Žé™©æ‰¿å—能力最低类别的投资者)â–?span lang="EN-US">C1(</span>不含风险承受能力最低类别的投资è€?span lang="EN-US">) </span>â–?span lang="EN-US">C2</span>â–?span lang="EN-US">C3</span>â–?span lang="EN-US">C4</span>â–?span lang="EN-US">C5</span>åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;line-height:12.0pt;vertical-align: baseline"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt;vertical-align:baseline"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">    </span><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">本ähåQˆæœºæž„)¾lè´µå…¬å¸æé†’åQŒå·²å……分知晓贵公司向本ähåQˆæœºæž„)销售的产品或提供的服务ž®†ä»¥æœ¬ähåQˆæœºæž„)此次¼‹®è®¤çš„风险承受能力等¾U§äؓ基础。若本ähåQˆæœºæž„)提供的信息发生ä“Q何重大变化,本ähåQˆæœºæž„)都会及时书面通知贵公司。本¼‹®è®¤ä¹¦ç³»æœ¬ähåQˆæœºæž„)独立、自丅R€çœŸå®žçš„意思表½Cºï¼Œç‰ÒŽ­¤¼‹®è®¤ã€?/span></b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:12.0pt;vertical-align:baseline"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt;vertical-align:baseline"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">                               </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">投资者确认签章:<span lang="EN-US">            <o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:20.15pt;mso-char-indent-count:1.92; line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt; font-family:宋体">                           </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">½{„¡Öv日期åQ?span lang="EN-US">   <o:p></o:p></span></span></p> </td> </tr> </tbody> </table> <p class="MsoNormal"><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></b></p> <p class="MsoNormal"><b><span style="font-size:12.0pt;font-family:宋体">附äšg<span lang="EN-US">6</span>åQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="margin-bottom:12.0pt;text-align:center; line-height:150%;layout-grid-mode:char;mso-layout-grid-align:none"><b><span style="mso-bidi-font-size:10.5pt; line-height:150%;font-family:宋体;color:black">《äñ”品或服务风险½{‰çñ”名录ã€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%;layout-grid-mode:char;mso-layout-grid-align:none"><span style="mso-bidi-font-size:10.5pt;line-height:150%;font-family:宋体;color:black">为有效指引证券经营机构对产品或服务进行风险分¾U§ï¼Œä¾æ®ã€Šè¯åˆ¸æœŸè´§æŠ•èµ„者适当性管理办法》第三十六条制定本名录ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%;layout-grid-mode:char;mso-layout-grid-align:none"><span style="mso-bidi-font-size:10.5pt;line-height:150%;font-family:宋体;color:black">证券¾lè¥æœºæž„应参考本名录òq¶ä¾æ®ã€ŠåŠžæ³•ã€‹ç¬¬åå…­æ¡ã€ç¬¬åä¸ƒæ¡è§„定细化本机构的äñ”品或服务风险½{‰çñ”评ä­h标准åQŒç§‘学有效评ä¼îCñ”品或服务的风险等¾U§ï¼Œòq¶æ ¹æ®æ³•å¾‹æ³•è§„、监½Ž¡è§„定以及信用风险、市场风险、操作风险、流动性风险等斚w¢çš„变化及时调整äñ”品或服务的风险等¾U§ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%;layout-grid-mode:char;mso-layout-grid-align:none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family:宋体; color:black"> </span></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-8.8pt;border-collapse:collapse;mso-table-layout-alt:fixed; border:none;mso-border-alt:solid windowtext .5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:.5pt solid windowtext;mso-border-insidev:.5pt solid windowtext" width="595"> <tbody> <tr style="mso-yfti-irow:0;mso-yfti-firstrow:yes;height:13.75pt"> <td style="width:106.35pt;border:solid windowtext 1.0pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:13.75pt" valign="top" width="142"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; layout-grid-mode:char;mso-layout-grid-align:none"><b><span style="mso-bidi-font-size: 10.5pt;line-height:150%;font-family:宋体;color:black">风险½{‰çñ”</span></b><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;mso-bidi-font-family:Calibri;color:black"><o:p></o:p></span></b></p> </td> <td style="width:12.0cm;border:solid windowtext 1.0pt; border-left:none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:13.75pt" valign="top" width="454"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; layout-grid-mode:char;mso-layout-grid-align:none"><b><span style="mso-bidi-font-size: 10.5pt;line-height:150%;font-family:宋体;color:black">特征描述<span lang="EN-US"><o:p></o:p></span></span></b></p> </td> </tr> <tr style="mso-yfti-irow:1;height:18.95pt"> <td style="width:106.35pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:18.95pt" valign="top" width="142"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; layout-grid-mode:char;mso-layout-grid-align:none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family:宋体;color:black">R1</span><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;mso-bidi-font-family:Calibri;color:black"><o:p></o:p></span></p> </td> <td style="width:12.0cm;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:18.95pt" valign="top" width="454"> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;color:black">¾l“æž„½Ž€å•ï¼Œå®ÒŽ˜“理解åQŒæµåŠ¨æ€§é«˜åQŒæœ¬é‡‘遭受损å¤Þqš„可能性极ä½?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%; font-family:宋体;color:black"> </span></p> </td> </tr> <tr style="mso-yfti-irow:2;height:41.3pt"> <td style="width:106.35pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:41.3pt" valign="top" width="142"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; layout-grid-mode:char;mso-layout-grid-align:none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family:宋体;color:black">R2</span><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;mso-bidi-font-family:Calibri;color:black"><o:p></o:p></span></p> </td> <td style="width:12.0cm;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:41.3pt" valign="top" width="454"> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;color:black">¾l“æž„½Ž€å•ï¼Œå®ÒŽ˜“理解åQŒæµåŠ¨æ€§è¾ƒé«˜ï¼Œæœ¬é‡‘遭受损失的可能性较ä½?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%; font-family:宋体;color:black"> </span></p> </td> </tr> <tr style="mso-yfti-irow:3;height:41.3pt"> <td style="width:106.35pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:41.3pt" valign="top" width="142"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; layout-grid-mode:char;mso-layout-grid-align:none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family:宋体;color:black">R3</span><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;mso-bidi-font-family:Calibri;color:black"><o:p></o:p></span></p> </td> <td style="width:12.0cm;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:41.3pt" valign="top" width="454"> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;color:black">¾l“构较复杂,‹¹åŠ¨æ€§è¾ƒé«˜ï¼Œæœ¬é‡‘安全å…ähœ‰ä¸€å®šçš„不确定性,在特ŒDŠæƒ…况下可能损失全部本金</span><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%; font-family:宋体"> </span></p> </td> </tr> <tr style="mso-yfti-irow:4;height:55.05pt"> <td style="width:106.35pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:55.05pt" valign="top" width="142"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; layout-grid-mode:char;mso-layout-grid-align:none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family:宋体;color:black">R4</span><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;mso-bidi-font-family:Calibri;color:black"><o:p></o:p></span></p> </td> <td style="width:12.0cm;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:55.05pt" valign="top" width="454"> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;color:black">¾l“构复杂åQŒæµåŠ¨æ€§è¾ƒä½Žï¼Œæœ¬é‡‘安全面äÍ较大的不¼‹®å®šæ€§ï¼Œå¯èƒ½æŸå¤±å…¨éƒ¨æœ¬é‡‘</span><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family:宋体"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%; font-family:宋体"> </span></p> </td> </tr> <tr style="mso-yfti-irow:5;mso-yfti-lastrow:yes;height:37.2pt"> <td style="width:106.35pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:37.2pt" valign="top" width="142"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; layout-grid-mode:char;mso-layout-grid-align:none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family:宋体;color:black">R5</span><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;mso-bidi-font-family:Calibri;color:black"><o:p></o:p></span></p> </td> <td style="width:12.0cm;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:37.2pt" valign="top" width="454"> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;color:black">¾l“构复杂åQŒä¸æ˜“理解,不易估倹{€æµåŠ¨æ€§ä½Žã€é€æ˜Žåº¦è¾ƒä½Žï¼Œæœ¬é‡‘安全面äÍ极大的不¼‹®å®šæ€§ï¼Œç”šè‡³æŸå¤±å¯èƒ½­‘…过本金<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%; font-family:宋体;color:black"> </span></p> </td> </tr> </tbody> </table> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal"><span lang="EN-US"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span style="font-size:12.0pt;font-family: 宋体">附äšg<span lang="EN-US">7</span>åQ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="font-size:12.0pt;font-family: 宋体">适当性匹配意见及投资者确认书åQˆä¸€å¼ä¸¤ä»½ï¼‰<span lang="EN-US"><o:p></o:p></span></span></b></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-8.8pt;border-collapse:collapse;mso-table-layout-alt:fixed; border:none;mso-border-alt:solid windowtext .5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:.5pt solid windowtext;mso-border-insidev:.5pt solid windowtext" width="595"> <tbody> <tr style="mso-yfti-irow:0;mso-yfti-firstrow:yes;page-break-inside:avoid; height:2.0cm"> <td style="width:63.85pt;border:solid windowtext 1.0pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;layout-flow: vertical-ideographic;height:2.0cm" valign="top" width="85"> <p class="MsoNormal" style="margin-top:0cm;margin-right:5.65pt;margin-bottom: 0cm;margin-left:5.65pt;margin-bottom:.0001pt;line-height:12.0pt;layout-grid-mode: char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="margin-top:0cm;margin-right:5.65pt;margin-bottom: 0cm;margin-left:5.65pt;margin-bottom:.0001pt;mso-para-margin-top:0cm; mso-para-margin-right:5.65pt;mso-para-margin-bottom:0cm;mso-para-margin-left: .54gd;mso-para-margin-bottom:.0001pt;text-indent:46.5pt;mso-char-indent-count: 4.41;line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">   </span></b><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">适当性匹配意è§?span lang="EN-US"><o:p></o:p></span></span></b></p> </td> <td style="width:382.7pt;border:solid windowtext 1.0pt; border-left:none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:2.0cm" valign="top" width="510"> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">ž®Šæ•¬çš„投资者(姓名<span lang="EN-US">/</span>名称åQ?span lang="EN-US">__________ </span>资金账号åQ?span lang="EN-US">____________________</span>åQ‰ï¼š<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;vertical-align:baseline"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;vertical-align:baseline"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">您的风险承受能力½{‰çñ”为:åQˆä¾‹å¦‚:â–?span lang="EN-US">C1</span>¾U§â–¡<span lang="EN-US">C2</span>¾U§â–¡<span lang="EN-US">C3</span>¾U§â–¡<span lang="EN-US">C4</span>¾U§â–¡<span lang="EN-US">C5</span>¾U§ï¼‰åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.75pt;line-height:12.0pt;layout-grid-mode: char"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">您拟投资的äñ”å“?u><span lang="EN-US">             </span></u>或拟接受的服åŠ?u><span lang="EN-US">             </span></u>åQ?u><span lang="EN-US"><o:p></o:p></span></u></span></p> <p class="MsoNormal" style="text-indent:21.75pt;line-height:12.0pt;layout-grid-mode: char"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">风险½{‰çñ”为:åQˆä¾‹å¦‚:â–?<span lang="EN-US">R1 </span>â–?span lang="EN-US">R2 </span>â–?span lang="EN-US">R3 </span>â–?span lang="EN-US">R4 </span>â–?<span lang="EN-US">R5</span>åQ‰ï¼›<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0"><a name="_GoBack"></a><span lang="EN-US"> </span></p> <p class="MsoNormal"><span lang="EN-US">  <o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:21.75pt;line-height:12.0pt;layout-grid-mode: char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">本营业网点已¾lå‘您充分揭½CÞZº†è¯¥é‡‘融äñ”品或服务的风险。您的风险承受能力等¾U§ä¸Žè¯¥é‡‘融äñ”品或服务风险½{‰çñ”相匹配。本适当性评估意见供您决½{–参考,òq¶ä¸ä»£è¡¨æœ¬è¥ä¸šç½‘点对上述产品或服务的风险或收益作出实质性判断和保证ã€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">本营业网点就上述适当性评估意见与您进行确认,òq¶å¾è®®æ‚¨å®¡æ…Žè€ƒå¯Ÿè¯¥äñ”品或服务的特征及风险åQŒè¿›è¡Œå……分风险评伎ͼŒè‡ªè¡Œåšå‡ºæŠ•èµ„军_®šã€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">                           </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">营业¾|‘点<span lang="EN-US">/</span>公司盖章åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">                            </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">æ—?span lang="EN-US">    </span>期:<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr style="mso-yfti-irow:1;mso-yfti-lastrow:yes;page-break-inside:avoid; height:194.2pt"> <td style="width:63.85pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;layout-flow:vertical-ideographic;height:194.2pt" valign="top" width="85"> <p class="MsoNormal" style="margin-top:0cm;margin-right:5.65pt;margin-bottom: 0cm;margin-left:5.65pt;margin-bottom:.0001pt;line-height:12.0pt;layout-grid-mode: char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="margin-top:0cm;margin-right:5.65pt;margin-bottom: 0cm;margin-left:5.65pt;margin-bottom:.0001pt;mso-para-margin-top:0cm; mso-para-margin-right:5.65pt;mso-para-margin-bottom:0cm;mso-para-margin-left: .54gd;mso-para-margin-bottom:.0001pt;text-indent:51.65pt;mso-char-indent-count: 4.9;line-height:12.0pt;layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">投资者确è®?span lang="EN-US"><o:p></o:p></span></span></b></p> </td> <td style="width:382.7pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:194.2pt" valign="top" width="510"> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">XXXX</span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">证券¾lè¥æœºæž„<span lang="EN-US">XX</span>营业¾|‘点åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">本äh<span lang="EN-US">/</span>本机构已认真阅读了贵营业¾|‘点关于<u><span lang="EN-US">      </span></u>产品æˆ?u><span lang="EN-US">      </span></u>服务的风险揭½CÞZ¹¦åQŒåƈ已充分了解该产品或服务的特征和风险,½{„¡Öv了风险揭½CÞZ¹¦ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:20.6pt;mso-char-indent-count:1.96; line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">本äh<span lang="EN-US">/</span>本机构在此确认自íw«é£Žé™©æ‰¿å—能力等¾U§ä¸Žè¯¥é‡‘融äñ”品或服务风险½{‰çñ”相匹配ã€?b><span lang="EN-US"><o:p></o:p></span></b></span></p> <p class="MsoNormal" style="text-indent:20.65pt;mso-char-indent-count:1.96; line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="text-indent:20.65pt;mso-char-indent-count:1.96; line-height:12.0pt;layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">本äh<span lang="EN-US">/</span>本机构投资该™å¹äñ”品或接受该项服务的决定,¾pÀLœ¬äº?span lang="EN-US">/</span>本机构独立、自丅R€çœŸå®žçš„意思表½Cºï¼Œä¸Žè´µè¥ä¸š¾|‘点及相关从业äh员无兟ë€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="text-indent:20.65pt;mso-char-indent-count:1.96; line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">                            </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">投资者签名或盖章åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:147.0pt;mso-char-indent-count:14.0; line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">æ—?span lang="EN-US">    </span>期:<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:147.0pt;mso-char-indent-count:14.0; line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体"> </span></p> </td> </tr> </tbody> </table> <p> </p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span style="font-size:12.0pt;font-family: 宋体">附äšg<span lang="EN-US">8</span></span></b><span style="font-size:12.0pt; font-family:宋体">åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="font-size:12.0pt;font-family: 宋体">产品或服务风险警½CºåŠæŠ•èµ„者确认书åQˆä¸€å¼ä¸¤ä»½ï¼‰<span lang="EN-US"><o:p></o:p></span></span></b></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-8.8pt;border-collapse:collapse;mso-table-layout-alt:fixed; border:none;mso-border-alt:solid windowtext .5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:.5pt solid windowtext;mso-border-insidev:.5pt solid windowtext" width="595"> <tbody> <tr> <td style="width:63.85pt;border:solid windowtext 1.0pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="85"> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt; font-family:宋体"> </span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">é£?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">é™?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">½{?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">¾U?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">ä¸?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">åŒ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">é…?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">è­?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">½C?/span></b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"><o:p></o:p></span></p> </td> <td style="width:382.7pt;border:solid windowtext 1.0pt; border-left:none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="510"> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">ž®Šæ•¬çš„投资者(姓名<span lang="EN-US">/</span>名称åQ?span lang="EN-US">__________ </span>资金账号åQ?span lang="EN-US">____________________</span>åQ‰ï¼š<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:24.0pt;line-height:12.0pt;layout-grid-mode: char"><br /> <span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">    </span><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">您拟投资的金融äñ”å“?u><span lang="EN-US">                 </span></u>或金融服务,<u><span lang="EN-US">                 </span></u>光™£Žé™©ç­‰¾U§äؓ<u><span lang="EN-US">            </span></u>åQŒé«˜äºŽæ‚¨çš„风险承受能力等¾U§ã€?b>购买该äñ”品或接受该服务,可能å¯ÆD‡´æ‚¨äñ”生损失ã€?span lang="EN-US"><o:p></o:p></span></b></span></p> <p class="MsoNormal" style="text-indent:24.0pt;line-height:12.0pt;layout-grid-mode: char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">我营业网点就上述情况向您提出警示åQŒåƈå»ø™®®æ‚¨å…³æ³¨è¯¥äº§å“æˆ–服务的特征及风险,审慎作出投资决策ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">若您¾lå®¡æ…Žè€ƒè™‘后,仍坚持购买该产品或接受该服务åQŒè¯·½{„¡Öv下附投资¼‹®è®¤ä¹¦ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">                       </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">营业¾|‘点<span lang="EN-US">/</span>公司盖章åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">                            </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">æ—?span lang="EN-US">    </span>期:<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:1;mso-yfti-lastrow:yes;height:10.0cm"> <td style="width:63.85pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:10.0cm" valign="top" width="85"> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体"> </span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">æŠ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">èµ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">è€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">¼‹?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">è®?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">ä¹?/span></b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"><o:p></o:p></span></p> </td> <td style="width:382.7pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:10.0cm" valign="top" width="510"> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">XXXX</span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">证券¾lè¥æœºæž„<span lang="EN-US">XX</span>营业¾|‘点åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">本äh<span lang="EN-US">/</span>本机构已认真阅读了贵营业¾|‘点关于<u><span lang="EN-US">          </span></u>产品æˆ?u><span lang="EN-US">         </span></u>服务的相兌™­¦½Cºï¼Œòq¶å·²å……分了解该äñ”品或服务的特征和风险åQŒå……分知悉上˜qîC¸åŒšw…æƒ…况ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">本äh<span lang="EN-US">/</span>本机构经审慎考虑后,仍坚持购买该产品或接受该服务åQŒåƈ愿意承担由此可能产生的损失和其他后果。购买该产品或接受该服务的决定,¾pÀLœ¬äº?span lang="EN-US">/</span>本机构独立、自丅R€çœŸå®žçš„意思表½Cºï¼Œä¸Žè´µè¥ä¸š¾|‘点及相关从业äh员无兟ë€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">                            </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">投资者签名或盖章åQ?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:147.0pt;mso-char-indent-count:14.0; line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">æ—?span lang="EN-US">    </span>期:<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> </tbody> </table> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p> </p> <p class="MsoNormal"><span lang="EN-US" style="color:red"> </span></p> </div> </div> <div class="contArticle_bot_Artpage"> <span id="pe100_page_contentpage" class="pagecss"></span> </div> <div class="c_contant_end"></div> </div> </div> <!--ä¸ÖM½“中部¾l“束--> </div> </div> <div class="footer_bg"> <div class="layout"> <!--¾|‘站底部--> <div class="footer"> <div class="copyright">甘肃省证券期货业协会/甘肃省上市公司协ä¼?ä¸ÕdŠž 《甘肃证券市场》期刊发行部 甘肃证券期货业协会|甘肃上市公司协会¾|‘ç«™ 版权所æœ?/div> <div class="copyright"><script src="/Analytics/CounterLink.aspx?Style=all"></script></div> <div class="copyright"> 协会地址åQšå…°å·žå¸‚城关区张掖èµ\延寿å·?号基隆大厦Aåº?å±?01å®?电话/传真åQ?+86)0931-8478467 邮编730000 ¾|‘站备案åøP¼šé™‡ICPå¤?0200071å?/div> </div> </div></div> <a href="http://www.mfcyj.co/"><span class="STYLE1">¸£Àû²ÊƱ˫ɫÇò×ßÊÆͼ</span></a> <script>(function(){ var src = (document.location.protocol == "http:") ? "http://js.passport.qihucdn.com/11.0.1.js?9ed1f3a8f9c3ff069b7b95c01474c743":"https://jspassport.ssl.qhimg.com/11.0.1.js?9ed1f3a8f9c3ff069b7b95c01474c743"; document.write('<script src="' + src + '" id="sozz"><\/script>'); })(); </script> <script> (function(){ var bp = document.createElement('script'); var curProtocol = window.location.protocol.split(':')[0]; if (curProtocol === 'https') { bp.src = 'https://zz.bdstatic.com/linksubmit/push.js'; } else { bp.src = 'http://push.zhanzhang.baidu.com/push.js'; } var s = document.getElementsByTagName("script")[0]; s.parentNode.insertBefore(bp, s); })(); </script> </body> </html>