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lang="EN-US">½W¬ä¸€æ?</span>ä¸ÞZº†è§„范首次公开发行股票(下称首发股票)¾|‘下投资者的自律½Ž¡ç†å·¥ä½œ,æ ÒŽ®ã€Šè¯åˆ¸å‘行与扉K”€½Ž¡ç†åŠžæ³•ã€?下称《承销办法ã€?和《首‹Æ¡å…¬å¼€å‘行股票扉K”€ä¸šåŠ¡è§„范ã€?下称《业务规范ã€?的相兌™§„å®?制定本细则ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  <span lang="EN-US">½W¬äºŒæ?</span>本细则适用äº?</p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  (一)¾|‘下投资者参与首发股¼œ¨è¯¢ä»·å’Œ¾|‘下甌™´­ä¸šåŠ¡ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  (äº?å…ähœ‰è¯åˆ¸æ‰‰K”€ä¸šåŠ¡èµ„格的证券公司开展网下投资者推荐工作ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  (ä¸?担ä“Q首发股票™å¹ç›®ä¸ÀL‰¿é”€å•†çš„证券公司(下称ä¸ÀL‰¿é”€å•?开展网下投资者选定和管理工作ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬ä¸‰æ?中国证券业协ä¼?下称协会)依据《承销办法》、《业务规范》以及本¾l†åˆ™çš„相兌™§„å®?对网下投资者实施自律管理ã€?/p> <p align="center" class="Custom_UnionStyle" style="text-align: center; word-break: break-all; overflow-x: hidden;"> <strong> ½W¬äºŒç«?¾|‘下投资者注å†?/strong></p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬å››æ?参与首发股票询ä­h和网下申购业务的投资者应在协会注册ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ¾|‘下投资者注å†?需满èƒö以下基本条äšg:</p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  (一)具备一定的证券投资¾léªŒã€‚机构投资者应当依法设立、持¾l­ç»è¥æ—¶é—´è¾¾åˆîC¸¤òq?å?以上,从事证券交易旉™—´è¾‘Öˆ°ä¸¤å¹´(å?以上;个äh投资者从事证åˆæ€º¤æ˜“时间应辑ֈ°äº”å¹´(å?以上。经行政许可从事证券、基金、期货、保险、信托等金融业务的机构投资者可不受上述限制ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  (äº?å…ähœ‰è‰¯å¥½çš„信用记录。最˜q?span lang="EN-US">12</span>个月未受到刑事处¾|šã€æœªå› é‡å¤§è¿æ³•è¿è§„è¡Œä¸ø™¢«ç›¸å…³ç›‘管部门¾l™äºˆè¡Œæ”¿å¤„罚、采取监½Ž¡æŽªæ–?但投资者能证明所受处¾|šä¸šåŠ¡ä¸Žè¯åˆ¸æŠ•èµ„业务、受托投资管理业务互盔Rš”¼›Èš„除外ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  (ä¸?具备必要的定仯‚ƒ½åŠ›ã€‚机构投资者应å…ähœ‰ç›¸åº”çš„ç ”½I¶åŠ›é‡ã€æœ‰æ•ˆçš„估值定ä»äh¨¡åž‹ã€ç§‘学的定ä­h决策制度和完善的合规风控制度ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  (å›?监管部门和协会要求的其他条äšgã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ¾|‘下投资者指定的股票配售对象不得为债券型证券投资基金或信托计划,也不得äؓ在招募说明书、投资协议等文äšg中以直接或间接方式蝲明以博取一、二¾U§å¸‚åœÞZ­hå·®äؓ目的甌™´­é¦–发股票的理财äñ”品等证券投资产品ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  股票配售对象是指¾|‘下投资者所属或直接½Ž¡ç†çš?已在协会完成注册,可参与首发股¼œ¨ç½‘下申购业务的自营投资账户或证券投资äñ”品ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬äº”æ?证券公司、基金公司、信托公司、胦务公司、保险公åæ€»¥åŠåˆæ ¼å¢ƒå¤–投资者等六类机构投资者可自行在协会注册ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬å…­æ?除本¾l†åˆ™½W¬äº”条所˜q°å…­¾cÀLœºæž„投资者外,其他机构投资者或个äh投资者可由具有证券承销业务资格的证券公司向协会推荐注册ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ¾|‘下投资者应当保证其提交的注册资料真实、准¼‹®ã€å®Œæ•´ã€‚证券公司应负责å¯ÒŽ‰€æŽ¨è¾|‘下投资者进行核æŸ?保证所推荐的网下投资者符合本¾l†åˆ™½W¬å››æ¡è§„定的基本条äšgã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬ä¸ƒæ?证券公司应当建立¾|‘下投资者适当性管理制åº?讑֮šæ˜Žç¡®çš„推荐网下投资者注册条ä»?建立审核决策机制、日常培训管理机制和定期复核机制,¼‹®ä¿¾|‘下投资者的甄选、确定和调整½W¦åˆå†…部规则和程序ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  证券公司讑֮šæŽ¨è¾|‘下投资者的条äšg,应当包括但不限于投资资金规模、投资经验、定仯‚ƒ½åŠ›ã€ä¿¡ç”¨è®°å½•ã€æŠ•èµ„偏好、风险偏好ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬å…«æ?证券公司应当每半òq´å¼€å±•ä¸€‹Æ¡ç½‘下投资者适当性自æŸ?形成自查报告。证券公司对推荐的网下投资者不½W¦åˆæœ¬ç»†åˆ™ç¬¬å››æ¡è§„定的基本条件或不具备网下投资者适当性的,应当及时向协会申è¯ähš‚停其¾|‘下投资者的资格ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬ä¹æ?向协会申è¯äh³¨å†?应当在协会网下投资者管理系¾lŸæäº¤åŸºæœ¬ä¿¡æ¯åŠç›¸å…³èµ„质证明文äšg(附表<span lang="EN-US">1</span>)ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  基本信息包括但不限于:¾|‘下投资者名¿U?姓名)、网下投资者类型、证件类型、证件号码、网下投资者联¾pÖMh、推荐证券公司联¾pÖMh(推荐¾cÀLŠ•èµ„者适用)、配售对象名¿U°ã€é…å”®å¯¹è±¡ç§¾c…R€è¯åˆ¸è̎户号码、银行è̎户名¿U°ã€é“¶è¡Œè̎户号ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ¾|‘下投资者的每个股票配售对象仅能注册两个证券账户(上æ“v、深圌™¯åˆæ€º¤æ˜“所各注册一ä¸?和一个银行è̎æˆ?用于参与首发股票¾|‘下甌™´­ä¸šåŠ¡ã€‚网下投资者注册信息发生变更时,应于三个工作日内向协会提交注册信息变更申诗÷€‚证券è̎户和银行账户一¾læ³¨å†?不得随意变更ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬åæ?协会自受理注册申è¯äh–‡ä»¶ä¹‹æ—¥è“v十个工作日内完成注册工作,½W¦åˆæ³¨å†Œæ¡äšgçš?在协会网站予以公½C?不符合注册条件的,书面说明不予注册的原因ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  受理日期自受理回执发å‡ÞZ¹‹æ—¥è“v计算ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬åä¸€æ?首发股票™å¹ç›®çš„发行äh和主扉K”€å•†å¯ä»¥è®¾¾|®ç½‘下投资者的具体条äšg,òq¶åœ¨ç›¸å…³å‘行公告中预先披霌Ӏ‚具体条件不得低于本¾l†åˆ™½W¬å››æ¡è§„定的基本条äšgã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  发行人和ä¸ÀL‰¿é”€å•†åº”要求参与该项目网下申购业务的¾|‘下投资者指定的股票配售对象,以该™å¹ç›®åˆæ­¥è¯¢ä­h开始前两个交易日äؓ基准æ—?其在™å¹ç›®å‘行上市所在证åˆæ€º¤æ˜“所基准日前二十个交易日(含基准日)的非限售股票的流通市值日均值应ä¸?span lang="EN-US">1000</span>万元(å?以上ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ä¸ÀL‰¿é”€å•†åº”在已完成协会注册的网下投资者和股票配售对象范围å†?对其是否½W¦åˆé¦–发股票™å¹ç›®çš„预先披露条件进行核æŸ?选定可参与该™å¹ç›®è¯¢ä­h和网下申购业务的¾|‘下投资者和股票配售对象,对不½W¦åˆæ¡äšgçš?应当拒绝或剔除其报ä­hã€?/p> <p align="center" class="Custom_UnionStyle" style="text-align: center; word-break: break-all; overflow-x: hidden;"> <strong> ½W¬ä¸‰ç«?¾|‘下投资者行ä¸?/strong></p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬åäºŒæ¡ ¾|‘下投资者在参与首发股票询ä­h和网下申购业务时,应审慎选择参与™å¹ç›®,认真研读招股资料,深入分析发行äºÞZ¿¡æ¯ã€ç†æ€§æŠ¥ä»—÷€åˆè§„申购ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬åä¸‰æ¡¾|‘下投资者äؓ机构çš?</p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  (一)应制定专™å¹å†…控制åº?规范其业务äh员或研究人员参与首发股票™å¹ç›®æŽ¨ä»‹‹zÕdŠ¨çš„è¡Œä¸?避免发生有悖职业道å¯d的情形ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  (äº?应坚持科学、独立、客观、审慎的原则开展首发股¼œ¨çš„研究工作,要认真研è¯Õd‘è¡Œäh招股说明书等信息,建立必要的估值定ä»äh¨¡åž‹ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  (ä¸?应徏立健全必要的投资决策机制,通过严格履行决策½E‹åº¼‹®å®šæœ€¾lˆæŠ¥ä»—÷€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  (å›?应按照公司内部业务操作流½E‹æäº¤æŠ¥ä»?òq¶å¾ç«‹æŠ¥ä»·ä¿¡æ¯å¤æ ¸æœºåˆ¶ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  (äº?应制定申购资金划付审批程åº?æ ÒŽ®ç”Œ™´­è®¡åˆ’安排­‘³é¢çš„备付资é‡?¼‹®ä¿èµ„金在规定时间内划入¾l“算银行账户ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  (å…?应针寚w¦–发股¼œ¨è¯¢ä»·å’Œ¾|‘下甌™´­ä¸šåŠ¡çš„开展情况进行合规审æŸ?对公司是否与™å¹ç›®å‘行人或ä¸ÀL‰¿é”€å•†å­˜åœ¨ã€Šæ‰¿é”€åŠžæ³•ã€‹ç¬¬åå…­æ¡æ‰€˜q°å…³è”å…³¾p…R€æŠ¥ä»·ä¸Žç”Œ™´­è¡Œäؓ是否½W¦åˆã€Šæ‰¿é”€åŠžæ³•ã€‹ã€ã€Šä¸šåŠ¡è§„范》以及公司内部制度要求等˜q›è¡Œå®¡æŸ¥ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  (ä¸?应徏立健全员工业务培训机åˆ?定期或不定期¾l„织员工开展有针对性的业务法规培训,持箋提升执业水åã^ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  (å…?应将相关业务制度汇编、工作底½E¿ç­‰å­˜æ¡£å¤‡æŸ¥ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬åå››æ¡ 协会可徏立网下投资者关联方信息查询òq›_°ä¾›ä¸»æ‰‰K”€å•†ä‹É用。网下投资者在参与首发股票™å¹ç›®çš„询价和¾|‘下甌™´­æ—?应当向协会报送《承销办法》第十六条所˜q°å…³è”方信息,当关联方信息发生变更æ—?应及时更新报送材料ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ¾|‘下投资者对其报送关联方信息的真实性、准¼‹®æ€§ã€å®Œæ•´æ€§è´Ÿè´£ã€‚网下投资者应当自觉避免参与与发行人或ä¸ÀL‰¿é”€å•†å­˜åœ¨ã€Šæ‰¿é”€åŠžæ³•ã€‹ç¬¬åå…­æ¡æ‰€˜q°å…³è”å…³¾p»é¦–发股¼œ¨é¡¹ç›®çš„询ä­h和网下申购业务ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬åäº”条 ä¸ÀL‰¿é”€å•†åº”当对¾|‘下投资者参与首发股¼œ¨é¡¹ç›®çš„å…Œ™”方信息进行核æŸ?不得向《承销办法》第十六条所˜q°å¯¹è±¡é…å”®è‚¡¼œ¨ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬åå…­æ¡ 获配首发股票的网下投资è€?应当在获配首发股¼œ¨ä¸Šå¸‚后的十五个工作日内分别ž®±å…¶èŽ·é…é¦–发股票于上市首日、第三日和第十日收盘时的股票余额情况向协会报送ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬åä¸ƒæ¡ ¾|‘下投资者应当在每年一季度前向协会填报òq´åº¦¾lŸè®¡è¡?对全òq´çš„报ä­h和网下申购业务进行æ€È»“,å¯ÒŽ˜¯å¦æŒ¾l­ç¬¦åˆç½‘下投资者条件进行说明。对于不½W¦åˆæœ¬åŠžæ³•ç¬¬å››æ¡è§„定çš?协会ž®†å–消其¾|‘下投资者资根{€?/p> <p align="center" class="Custom_UnionStyle" style="text-align: center; word-break: break-all; overflow-x: hidden;">  <strong>½W¬å››ç«?¾|‘下投资者评ä»?/strong></p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬åå…«æ¡ 协会建立¾|‘下投资者跟ítªåˆ†æžå’Œè¯„ä­h体系,对网下投资者的定ä­h能力˜q›è¡Œ¾l¼åˆè¯„ä­h(附表<span 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½W¬äºŒåæ¡ æ ÒŽ®¾|‘下投资者参与首发股¼œ¨è¯¢ä»·å’Œ¾|‘下甌™´­ä¸šåŠ¡çš„情况和¾l¼åˆè¯„分¾l“æžœ,ž®†ç½‘下投资者划分äؓ<span lang="EN-US">A</span>ã€?span lang="EN-US">B</span>ã€?span lang="EN-US">C</span>三类。其ä¸?span lang="EN-US">A</span>¾cÀLŠ•èµ„者的比例不高äº?span lang="EN-US">30%</span>,<span lang="EN-US">C</span>¾cÀLŠ•èµ„者的比例不高äº?span lang="EN-US">20%</span>ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ä¸ÀL‰¿é”€å•†åœ¨å¼€å±•æŠ•èµ„者选择和股¼œ¨é…å”®å·¥ä½œæ—¶åº”予以优先考虑<span lang="EN-US">A</span>¾cȝ½‘下投资è€?谨慎对待<span lang="EN-US">C</span>¾cÀLŠ•èµ„者ã€?span lang="EN-US">B</span>¾cȝ½‘下投资者可正常参与首发股票询ä­h和网下申购业务ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  评ä­h¾l“果在协会网站公½Cºã€?/p> <p align="center" class="Custom_UnionStyle" style="text-align: center; word-break: break-all; overflow-x: hidden;"> <strong> ½W¬äº”ç«?自律½Ž¡ç†</strong></p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬äºŒåä¸€æ?协会对网下投资者日å¸æ€¸šåŠ¡çš„开展情况进行跟ítªç›‘‹¹?òq¶ç»„¾l‡å¼€å±•ä¸å®šæœŸçŽ°åœº‹‚€æŸ?发现异常情åŞçš?ž®†é‡‡å–自律管理措施ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬äºŒåäºŒæ?ä¸ÀL‰¿é”€å•†åº”当按照《业务规范》要求在™å¹ç›®å‘行上市后十个工作日内在协会¾|‘下投资者管理系¾lŸæŠ¥é€ç½‘下投资者的˜qè§„信息,发现ä¸ÀL‰¿é”€å•†å­˜åœ¨çž’报、欺报或未及时报送等情åŞçš?协会ž®†å¯¹å…‰™‡‡å–自律惩戒措施ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬äºŒåä¸‰æ?协会建立首发股票¾|‘下投资者黑名单(下称黑名å?制度,ž®†ä¸»æ‰‰K”€å•†ã€åä¼šã€è¯åˆæ€º¤æ˜“所、监½Ž¡éƒ¨é—¨åœ¨ä¸šåŠ¡å¼€å±•å’Œç›‘测‹‚€æŸ¥ä¸­å‘现存在《业务规范》第六章所˜q°è¿è§„行为的¾|‘下投资者列入黑名单,òq¶åœ¨åä¼š¾|‘站公示ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬äºŒåå››æ?协会应当按照以下规定ž®†è¿è§„网下投资者或配售对象列入黑名å?òq¶å°†é»‘名单在中国证券业协会网站公å¸?</p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  (一)¾|‘下投资者或配售对象在一个自然年度内出现《业务规范》第四十五条和第四十六条所规定的一¿Uæƒ…形的,协会ž®†å…¶åˆ—入黑名单六个月;</p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  (äº?¾|‘下投资者或配售对象在一个自然年度内出现《业务规范》第四十五条和第四十六条所规定的单¿Uæƒ…形两‹Æ?å?以上或两¿Uæƒ…形以ä¸?协会ž®†å…¶åˆ—入黑名单十二个月ã€?span lang="EN-US"> </span></p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ¾|‘下投资者所属的配售对象在一个自然年度内首次出现《业务规范》第四十五条½W?ä¹?™å?ldquo;提供有效报ä­h但未参与甌™´­”或第四十六条½W?äº?™å?“未按时èƒö额缴付认购资é‡?rdquo;情åŞ,未造成明显不良后果,且及时整æ”?òq¶äºŽ™å¹ç›®å‘行上市后十个工作日内主动提交整æ”ÒŽŠ¥å‘Šçš„,可免予一‹Æ¡å¤„¾|šã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬äºŒåäº”æ?被列入黑名单的网下投资者或配售对象可以在中国证åˆæ€¸šåä¼š¾|‘站公布相关黑名单后的五个工作日内书面提出申诉。协会在收到甌™¯‰ææ–™åŽçš„十个工作日内˜q›è¡Œå®¡æ ¸,òq¶ä½œå‡ºå†³å®šã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬äºŒåå…­æ?¾|‘下投资者未按本¾l†åˆ™è¦æ±‚报送信息、瞒报或谎报信息、不配合协会‹‚€æŸ¥å·¥ä½œçš„,协会可视情节轻重,¾l™äºˆè­¦ç¤ºã€è´£ä»¤æ•´æ”¹ç­‰è‡ªå¾‹½Ž¡ç†æŽªæ–½ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬äºŒåä¸ƒæ?¾|‘下投资者被列入黑名单期满后,应当重新向协会申è¯äh³¨å†Œã€?span lang="EN-US"> </span></p> <p class="Custom_UnionStyle" style="text-align: justify; word-break: break-all; text-justify: inter-ideograph; overflow-x: hidden;">  ½W¬äºŒåå…«æ?¾|‘下投资者在参与首发股票询ä­h和网下申购业务时涉嫌˜qæ³•˜qè§„çš?协会ž®†ç§»äº¤ç›‘½Ž¡éƒ¨é—¨å¤„理ã€?/p> <p class="Custom_UnionStyle" style="text-align: justify; word-break: break-all; text-justify: inter-ideograph; overflow-x: hidden;">  ½W¬äºŒåä¹æ?协会定期或不定期开展对证券公司的现场检查工ä½?证券公司在网下投资者选定和推荐工作中存在˜qåæœ¬ç»†åˆ™è§„定情形的,协会ž®†ä¾ç…§ã€Šä¸­å›½è¯åˆæ€¸šåä¼šè‡ªå¾‹½Ž¡ç†æŽªæ–½å’Œçºªå¾‹å¤„分实施办法》采取自律惩戒措施ã€?/p> <p align="center" class="Custom_UnionStyle" style="text-align: center; word-break: break-all; overflow-x: hidden;"> <strong> ½W¬å…­ç«?附则</strong></p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬ä¸‰åæ¡ 本细则由中国证券业协会负责解释ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  ½W¬ä¸‰åä¸€æ?本细则自<span lang="EN-US">2017</span>òq?span lang="EN-US">12</span>æœ?span lang="EN-US">1</span>日è“v施行ã€?/p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  附表:<span lang="EN-US">1.</span>¾|‘下投资者注册文件明¾l†è¡¨</p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  <span lang="EN-US"> 2.</span>¾|‘下投资者评ä»äh ‡å‡†æ˜Ž¾l†è¡¨</p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  <span lang="EN-US"> </span></p> <p class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  </p> <p class="Custom_UnionStyle" style="layout-grid-mode: char; word-break: break-all; overflow-x: hidden;">  附表<span lang="EN-US">1</span></p> <p align="center" class="Custom_UnionStyle" style="text-align: center; layout-grid-mode: char; word-break: break-all; overflow-x: hidden;"><strong>  ¾|‘下投资者注册文件明¾l†è¡¨</strong></p> <p align="center" class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  </p> <div align="center" class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;"> <table border="0" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="width: 438.45pt; border-collapse: collapse;" width="585"> <tbody> <tr style="height: 25.5pt;"> <td colspan="4" style="border-width: 1pt; border-style: solid; border-color: windowtext black windowtext windowtext; padding: 0cm 5.4pt; width: 438.45pt; height: 25.5pt;" width="585"> <p align="left" class="MsoNormal">  <b><span style="color: black; font-family: 宋体; font-size: 12pt;">¾|‘下投资者资质证明文ä»?/span></b></p> </td> </tr> <tr style="height: 19.85pt;"> <td colspan="4" style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor windowtext windowtext; padding: 0cm 5.4pt; width: 438.45pt; height: 19.85pt;" width="585"> <p align="left" class="MsoNormal">  <b><span style="color: black; font-family: 宋体; font-size: 12pt;">机构投资者  </span></b></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor black windowtext windowtext; padding: 0cm 5.4pt; width: 29.2pt; height: 14.25pt;" width="39"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">1</span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 409.25pt; height: 14.25pt;" width="546"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">工商营业执照副本复印ä»?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor black windowtext windowtext; padding: 0cm 5.4pt; width: 29.2pt; height: 14.25pt;" width="39"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">2</span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 409.25pt; height: 14.25pt;" width="546"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">¾lè¥é‡‘融业务许可证复åîCšg<span lang="EN-US">/</span>¿Uå‹ŸåŸºé‡‘½Ž¡ç†äººå¤‡æ¡ˆè¯æ˜Žå¤åîCšg½{?span lang="EN-US">(</span>如有)<span lang="EN-US">/</span>期货资äñ”½Ž¡ç†å­å…¬å¸ç™»è®°è¯æ˜Žå¤åîCšg½{?如有)</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor black windowtext windowtext; padding: 0cm 5.4pt; width: 29.2pt; height: 14.25pt;" width="39"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">3</span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 409.25pt; height: 14.25pt;" width="546"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">自有资金具备<span lang="EN-US">A</span>股投资资格的证明文äšg或可开展客戯‚µ„产管理业务的资格证明文äšg(机构)</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor black windowtext windowtext; padding: 0cm 5.4pt; width: 29.2pt; height: 14.25pt;" width="39"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">4</span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 409.25pt; height: 14.25pt;" width="546"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">½W¦åˆæœ¬åŠžæ³•ç¬¬å››æ¡åŸºæœ¬æ¡äšg要求的承诺函</span></p> </td> </tr> <tr style="height: 28.5pt;"> <td style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor black windowtext windowtext; padding: 0cm 5.4pt; width: 29.2pt; height: 28.5pt;" width="39"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">5</span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 409.25pt; height: 28.5pt;" width="546"> <p class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">公司内部制度(包括询ä­h和网下申购业务流½E?/span><span style="color: black; font-family: "Arial","sans-serif"; font-size: 10pt;"> </span><span style="color: black; font-family: 宋体; font-size: 10pt;">、参与推介活动的专项内控机制</span><span style="color: black; font-family: "Arial","sans-serif"; font-size: 10pt;"> </span><span style="color: black; font-family: 宋体; font-size: 10pt;">、报价决½{–机åˆ?/span><span style="color: black; font-family: "Arial","sans-serif"; font-size: 10pt;"> </span><span style="color: black; font-family: 宋体; font-size: 10pt;">、估值定ä»äh¨¡åž?/span><span style="color: black; font-family: "Arial","sans-serif"; font-size: 10pt;"> </span><span style="color: black; font-family: 宋体; font-size: 10pt;">、申购资金划付审批程åº?/span><span style="color: black; font-family: "Arial","sans-serif"; font-size: 10pt;"> </span><span style="color: black; font-family: 宋体; font-size: 10pt;">、合规风控制åº?/span><span style="color: black; font-family: "Arial","sans-serif"; font-size: 10pt;"> </span><span style="color: black; font-family: 宋体; font-size: 10pt;">、员工培训制åº?/span><span style="color: black; font-family: "Arial","sans-serif"; font-size: 10pt;"> </span><span style="color: black; font-family: 宋体; font-size: 10pt;">、询价和¾|‘下甌™´­ä¸šåŠ¡å·¥ä½œåº•ç¨¿å­˜æ¡£åˆ¶åº¦½{?</span></p> </td> </tr> <tr style="height: 19.85pt;"> <td colspan="4" style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor black windowtext windowtext; padding: 0cm 5.4pt; width: 438.45pt; height: 19.85pt;" width="585"> <p align="left" class="MsoNormal">  <b><span style="color: black; font-family: 宋体; font-size: 12pt;">个äh投资è€?/span></b></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor black windowtext windowtext; padding: 0cm 5.4pt; width: 29.2pt; height: 14.25pt;" width="39"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">1</span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 409.25pt; height: 14.25pt;" width="546"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">íw«ä†¾è¯å¤åîCšg</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor black windowtext windowtext; padding: 0cm 5.4pt; width: 29.2pt; height: 14.25pt;" width="39"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">2</span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 409.25pt; height: 14.25pt;" width="546"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">½W¦åˆæœ¬åŠžæ³•ç¬¬å››æ¡åŸºæœ¬æ¡äšg要求的承诺函</span></p> </td> </tr> <tr style="height: 25.5pt;"> <td colspan="4" style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor black windowtext windowtext; padding: 0cm 5.4pt; width: 438.45pt; height: 25.5pt;" width="585"> <p align="left" class="MsoNormal">  <b><span style="color: black; font-family: 宋体; font-size: 12pt;">股票配售对象资质证明文äšg</span></b></p> </td> </tr> <tr style="height: 14.25pt;"> <td rowspan="5" style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor windowtext black; padding: 0cm 5.4pt; width: 29.2pt; height: 14.25pt;" width="39"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">1</span></p> </td> <td rowspan="5" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black black currentColor; padding: 0cm 5.4pt; width: 5cm; height: 14.25pt;" width="189"> <p align="left" class="MsoNormal"> <span style="color: black; font-family: 宋体; font-size: 10pt;">公募证券投资基金产品</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">1</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">基金募集讄¡«‹çš„批复复åîCšg</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">2</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">基金备案¼‹®è®¤å‡½å¤åîCšg</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">3</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">验资报告复印ä»?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">4</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">基金合同复印ä»?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">5</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">上æ“v、深圛_¸‚åœø™¯åˆ¸è̎户卡复印ä»?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td rowspan="3" style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor windowtext black; padding: 0cm 5.4pt; width: 29.2pt; height: 14.25pt;" width="39"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">2</span></p> </td> <td rowspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black black currentColor; padding: 0cm 5.4pt; width: 5cm; height: 14.25pt;" width="189"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">全国½C¾ä¼šä¿éšœåŸºé‡‘</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">1</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">½C¾ä¿åŸºé‡‘¾l„合资äñ”规模说明å‡?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">2</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">½C¾ä¿åŸºé‡‘¾l„合投资½Ž¡ç†åˆåŒå¤å°ä»?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">3</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">上æ“v、深圛_¸‚åœø™¯åˆ¸è̎户卡复印ä»?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td rowspan="4" style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor windowtext black; padding: 0cm 5.4pt; width: 29.2pt; height: 14.25pt;" width="39"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">3</span></p> </td> <td rowspan="4" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black black currentColor; padding: 0cm 5.4pt; width: 5cm; height: 14.25pt;" width="189"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">基本养老保险基é‡?/span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">1</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">基本养老保险基金投资组合设立确认函</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">2</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">可用于投资权益类证券的资金规模说明函</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">3</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">上æ“v、深圛_¸‚åœø™¯åˆ¸è̎户卡复印ä»?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">4</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">基本养老保险基金投资管理合同复åîCšg</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td rowspan="4" style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor windowtext black; padding: 0cm 5.4pt; width: 29.2pt; height: 14.25pt;" width="39"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">4</span></p> </td> <td rowspan="4" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black black currentColor; padding: 0cm 5.4pt; width: 5cm; height: 14.25pt;" width="189"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">企业òq´é‡‘基金</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">1</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">企业òq´é‡‘¼‹®è®¤å‡½å¤åîCšg</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">2</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">企业òq´é‡‘¾l„合的资产规模说明函</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">3</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">上æ“v、深圛_¸‚åœø™¯åˆ¸è̎户卡复印ä»?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">4</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">企业òq´é‡‘计划投资½Ž¡ç†åˆåŒ</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td rowspan="4" style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor windowtext black; padding: 0cm 5.4pt; width: 29.2pt; height: 14.25pt;" width="39"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">5</span></p> </td> <td rowspan="4" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black black currentColor; padding: 0cm 5.4pt; width: 5cm; height: 14.25pt;" width="189"> <p align="left" class="MsoNormal"> <span style="color: black; font-family: 宋体; font-size: 10pt;">保险资金证券投资账户</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">1</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">保险产品的批复或备案回执复印ä»?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">2</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">可用于投资权益类证券的资金规模说明函</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">3</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">上æ“v、深圛_¸‚åœø™¯åˆ¸è̎户卡复印ä»?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">4</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">属于受托代理投资业务çš?应提交委托代理合同复åîCšg</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td rowspan="2" style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor windowtext black; padding: 0cm 5.4pt; width: 29.2pt; height: 14.25pt;" width="39"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">6</span></p> </td> <td rowspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black black currentColor; padding: 0cm 5.4pt; width: 5cm; height: 14.25pt;" width="189"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">合格境外机构投资者管理的证券投资账户(<span lang="EN-US">QFII\RQFII</span>)</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">1</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">A</span><span style="color: black; font-family: 宋体; font-size: 10pt;">股投资额度的说明å‡?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">2</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">上æ“v、深圛_¸‚åœø™¯åˆ¸è̎户卡复印ä»?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td rowspan="5" style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor windowtext black; padding: 0cm 5.4pt; width: 29.2pt; height: 14.25pt;" width="39"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">7</span></p> </td> <td rowspan="5" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black black currentColor; padding: 0cm 5.4pt; width: 5cm; height: 14.25pt;" width="189"> <p align="left" class="MsoNormal"> <span style="color: black; font-family: 宋体; font-size: 10pt;">保险机构资äñ”½Ž¡ç†äº§å“</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">1</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">保险资äñ”½Ž¡ç†äº§å“è®„¡«‹çš„批复或备案回执复印ä»?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">2</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">最˜q‘一个月末托½Ž¡äh出具的资产估å€?span lang="EN-US">1000</span>万以上的报告</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">3</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">上æ“v、深圛_¸‚åœø™¯åˆ¸è̎户卡复印ä»?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">4</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">资äñ”½Ž¡ç†äº§å“åˆåŒå¤å°ä»?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">5</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">持有<span lang="EN-US">5%(</span>å?以上产品份额的投资者情况说æ˜?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td rowspan="5" style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor windowtext black; padding: 0cm 5.4pt; width: 29.2pt; height: 14.25pt;" width="39"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">8</span></p> </td> <td rowspan="5" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black black currentColor; padding: 0cm 5.4pt; width: 5cm; height: 14.25pt;" width="189"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">¿Uå‹Ÿè¯åˆ¸æŠ•èµ„基金产品(包括证券公司资äñ”½Ž¡ç†è®¡åˆ’、基金公åæ€¸“æˆïL†è´¢äñ”品、期货公司资产管理计划、私募证券投资基金、私募股权投资基金、创业投资基金、其他私募投资基é‡?</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">1</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">¿Uå‹ŸæŠ•èµ„基金备案证明材料</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">2</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">最˜q‘一个月末托½Ž¡äh出具的资产估å€?span lang="EN-US">1000</span>万以上的报告</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">3</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">产品合同复印ä»?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">4</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">上æ“v、深圛_¸‚åœø™¯åˆ¸è̎户卡复印ä»?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">5</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">持有<span lang="EN-US">5%(</span>å?以上产品份额的投资者情况说æ˜?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td rowspan="3" style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor windowtext black; padding: 0cm 5.4pt; width: 29.2pt; height: 14.25pt;" width="39"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">9</span></p> </td> <td rowspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black black currentColor; padding: 0cm 5.4pt; width: 5cm; height: 14.25pt;" width="189"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">各类机构投资者的自营账户</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">1</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">首次交易日期查询记录(中国登记¾l“算公司)</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">2</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">上æ“v、深圛_¸‚åœø™¯åˆ¸è̎户卡复印ä»?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">3</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">最˜q‘一个月末沪æ·Þp¯åˆ¸è̎戯‚µ„äº?span lang="EN-US">1000</span>万以上对账单</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td rowspan="3" style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor windowtext black; padding: 0cm 5.4pt; width: 29.2pt; height: 14.25pt;" width="39"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">10</span></p> </td> <td rowspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black black currentColor; padding: 0cm 5.4pt; width: 5cm; height: 14.25pt;" width="189"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">个äh投资者自有资金投资è̎æˆ?/span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">1</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">首次交易日期查询记录(中国登记¾l“算公司)</span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">2</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">上æ“v、深圛_¸‚åœø™¯åˆ¸è̎户卡复印ä»?/span></p> </td> </tr> <tr style="height: 14.25pt;"> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 1cm; height: 14.25pt;" width="38"> <p align="center" class="MsoNormal" style="text-align: center;">  <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">3</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 239.15pt; height: 14.25pt;" width="319"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">最˜q‘一个月末沪æ·Þp¯åˆ¸è̎戯‚µ„äº?span lang="EN-US">1000</span>万以上对账单</span></p> </td> </tr> </tbody> </table> </div> <p align="center" class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;">  </p> <p align="center" class="Custom_UnionStyle" style="word-break: break-all; overflow-x: hidden;"> </p> <table border="0" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="border-collapse: collapse;" width="623"> <tbody> <tr style="height: 14.35pt;"> <td colspan="2" style="padding: 0cm 5.4pt; width: 47.85pt; height: 14.35pt;" width="64"> <p><span lang="EN-US" style="color: black; font-family: "Times New Roman","serif"; font-size: 10.5pt;"><span style="font-family: 宋体; font-size: 12pt;">附表<span lang="EN-US">2</span></span></span></p> </td> <td style="padding: 0cm 5.4pt; width: 74.4pt; height: 14.35pt;" width="99"> </td> <td colspan="2" style="padding: 0cm 5.4pt; width: 98.25pt; height: 14.35pt;" width="131"> </td> <td colspan="2" style="padding: 0cm 5.4pt; width: 85.65pt; height: 14.35pt;" width="114"> </td> <td colspan="2" style="padding: 0cm 5.4pt; width: 68.7pt; height: 14.35pt;" width="92"> </td> <td colspan="3" style="padding: 0cm 5.4pt; width: 80.7pt; height: 14.35pt;" width="108"> </td> <td colspan="2" style="padding: 0cm 5.4pt; width: 11.8pt; height: 14.35pt;" width="16"> </td> </tr> <tr style="height: 17pt;"> <td colspan="13" style="border-width: medium medium 1pt; border-style: none none solid; border-color: currentColor currentColor windowtext; padding: 0cm 5.4pt; width: 461.55pt; height: 17pt;" width="615"> <p align="center" class="MsoNormal" style="text-align: center;">  <b><span style="color: black; font-family: 华文中宋; font-size: 14pt;">¾|‘下投资者评ä»äh ‡å‡†æ˜Ž¾l†è¡¨</span></b></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 19.85pt;"> <td colspan="4" style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor windowtext windowtext; padding: 0cm 5.4pt; width: 163.9pt; height: 19.85pt;" width="219"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 12pt;"> <b>评ä­h事项 </b></span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 3cm; height: 19.85pt;" width="113"> <p align="center" class="MsoNormal" style="text-align: center;"> <b><span style="color: black; font-family: 宋体; font-size: 12pt;">获取信息方式</span></b></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 99.2pt; height: 19.85pt;" width="132"> <p align="center" class="MsoNormal" style="text-align: center;"><b><span style="color: black; font-family: 宋体; font-size: 12pt;">加分</span></b></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 92.15pt; height: 19.85pt;" width="123"> <p align="center" class="MsoNormal" style="text-align: center;"><b><span style="color: black; font-family: 宋体; font-size: 12pt;">减分</span></b></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 21.25pt; height: 19.85pt;" width="28"> <p align="center" class="MsoNormal" style="text-align: center;">  <b><span style="color: black; font-family: 宋体; font-size: 12pt;">备注</span></b></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 19.85pt;"> <td rowspan="8" style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor windowtext windowtext; padding: 0cm 5.4pt; width: 22.15pt; height: 19.85pt;" width="30"> <p align="center" class="MsoNormal" style="text-align: center;">  <span style="color: black; font-family: 宋体; font-size: 10pt;">机制完备æ€?/span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 5cm; height: 19.85pt;" width="189"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">询ä­h和网下申购业务流½E?/span></p> </td> <td colspan="2" rowspan="8" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext black currentColor; padding: 0cm 5.4pt; width: 3cm; height: 19.85pt;" width="113"> <p align="center" class="MsoNormal" style="text-align: center;"><span style="color: black; font-family: 宋体; font-size: 10pt;">查阅注册文äšg、现场检查情å†?/span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 99.2pt; height: 19.85pt;" width="132"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;"> </span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 92.15pt; height: 19.85pt;" width="123"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">未制定。减<span lang="EN-US">1</span>分ã€?/span></p> </td> <td colspan="2" rowspan="8" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 21.25pt; height: 19.85pt;" width="28"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 12pt;">个äh投资者此™å¹ä¸é€‚用</span></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 19.85pt;"> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 5cm; height: 19.85pt;" width="189"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">参与推介‹zÕdŠ¨çš„专™å¹å†…控机åˆ?/span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 99.2pt; height: 19.85pt;" width="132"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;"> </span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 92.15pt; height: 19.85pt;" width="123"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">未制定。减<span lang="EN-US">1</span>分ã€?/span></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 19.85pt;"> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 5cm; height: 19.85pt;" width="189"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">报ä­h决策机制</span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 99.2pt; height: 19.85pt;" width="132"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;"> </span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 92.15pt; height: 19.85pt;" width="123"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">未制定。减<span lang="EN-US">1</span>分ã€?/span></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 19.85pt;"> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 5cm; height: 19.85pt;" width="189"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">估值定ä»äh¨¡åž?/span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 99.2pt; height: 19.85pt;" width="132"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;"> </span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 92.15pt; height: 19.85pt;" width="123"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">未制定。减<span lang="EN-US">1</span>分ã€?/span></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 19.85pt;"> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 5cm; height: 19.85pt;" width="189"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">甌™´­èµ„金划付审批½E‹åº</span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 99.2pt; height: 19.85pt;" width="132"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;"> </span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 92.15pt; height: 19.85pt;" width="123"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">未制定。减<span lang="EN-US">1</span>分ã€?/span></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 19.85pt;"> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 5cm; height: 19.85pt;" width="189"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">合规风控制度</span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 99.2pt; height: 19.85pt;" width="132"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;"> </span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 92.15pt; height: 19.85pt;" width="123"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">未制定。减<span lang="EN-US">1</span>分ã€?/span></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 19.85pt;"> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 5cm; height: 19.85pt;" width="189"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">员工培训制度</span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 99.2pt; height: 19.85pt;" width="132"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;"> </span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 92.15pt; height: 19.85pt;" width="123"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">未制定。减<span lang="EN-US">1</span>分ã€?/span></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 19.85pt;"> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 5cm; height: 19.85pt;" width="189"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">询ä­h和网下申购业务工作底½E?/span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 99.2pt; height: 19.85pt;" width="132"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;"> </span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 92.15pt; height: 19.85pt;" width="123"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">未留存。减<span lang="EN-US">1</span>分ã€?/span></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 39.7pt;"> <td rowspan="3" style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor windowtext windowtext; padding: 0cm 5.4pt; width: 22.15pt; height: 39.7pt;" width="30"> <p align="center" class="MsoNormal" style="text-align: center;">  <span style="color: black; font-family: 宋体; font-size: 10pt;">报ä­h合理æ€?/span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 5cm; height: 39.7pt;" width="189"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">报ä­h˜q›å…¥æŠ¥ä­h中位æ•îC»¥ä¸Šã€ä»¥ä¸‹å„<span lang="EN-US">10%</span>区间å†?/span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 3cm; height: 39.7pt;" width="113"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">ä¸ÀL‰¿é”€å•†æäº¤æŠ¥ä»·ä¿¡æ¯è¡¨</span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 99.2pt; height: 39.7pt;" width="132"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">每一‹Æ¡åŠ <span lang="EN-US">0.5</span>分ã€?/span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 92.15pt; height: 39.7pt;" width="123"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;"> </span></p> </td> <td colspan="2" rowspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 21.25pt; height: 39.7pt;" width="28"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 12pt;"> </span></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 39.7pt;"> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 5cm; height: 39.7pt;" width="189"> <p align="left" class="MsoNormal">  <span style="font-family: 宋体; font-size: 10pt;">报ä­h偏离所有报ä»ïLš„全权òq›_‡å€¼å‘ä¸?span lang="EN-US">50%</span>(å?</span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 3cm; height: 39.7pt;" width="113"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">ä¸ÀL‰¿é”€å•†æäº¤æŠ¥ä»·ä¿¡æ¯è¡¨</span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 99.2pt; height: 39.7pt;" width="132"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;"> </span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 92.15pt; height: 39.7pt;" width="123"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">每一‹Æ¡å‡<span lang="EN-US">0.5</span>分ã€?/span></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 39.7pt;"> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 5cm; height: 39.7pt;" width="189"> <p align="left" class="MsoNormal"><span style="font-family: 宋体; font-size: 10pt;">报ä­h偏离所有报ä»ïLš„全权òq›_‡å€¼å‘ä¸?span lang="EN-US">80%</span>(å?</span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 3cm; height: 39.7pt;" width="113"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">ä¸ÀL‰¿é”€å•†æäº¤æŠ¥ä»·ä¿¡æ¯è¡¨</span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 99.2pt; height: 39.7pt;" width="132"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;"> </span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 92.15pt; height: 39.7pt;" width="123"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">每一‹Æ¡å‡<span lang="EN-US">0.25</span>分ã€?/span></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 25.5pt;"> <td rowspan="7" style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor windowtext windowtext; padding: 0cm 5.4pt; width: 22.15pt; height: 25.5pt;" width="30"> <p align="center" class="MsoNormal" style="text-align: center;">  <span style="color: black; font-family: 宋体; font-size: 10pt;">展业合规æ€?/span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 5cm; height: 25.5pt;" width="189"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">警示</span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 3cm; height: 25.5pt;" width="113"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">协会自有信息</span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 99.2pt; height: 25.5pt;" width="132"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;"> </span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 92.15pt; height: 25.5pt;" width="123"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">每一‹Æ¡å‡<span lang="EN-US">1</span>分ã€?/span></p> </td> <td colspan="2" rowspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 21.25pt; height: 25.5pt;" width="28"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 12pt;"> </span></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 25.5pt;"> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 5cm; height: 25.5pt;" width="189"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">è´£ä×o整改</span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 3cm; height: 25.5pt;" width="113"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">协会自有信息</span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 99.2pt; height: 25.5pt;" width="132"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;"> </span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 92.15pt; height: 25.5pt;" width="123"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">每一‹Æ¡å‡<span lang="EN-US">2</span>分ã€?/span></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 7.5pt;"> <td colspan="3" rowspan="5" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor black windowtext currentColor; padding: 0cm 5.4pt; width: 5cm; height: 7.5pt;" width="189"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;">黑名å?/span></p> </td> <td colspan="2" rowspan="5" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 3cm; height: 7.5pt;" width="113"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">协会自有信息</span></p> </td> <td colspan="2" rowspan="5" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 99.2pt; height: 7.5pt;" width="132"> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 49.6pt; height: 7.5pt;" width="66"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">配售对象数量</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 42.55pt; height: 7.5pt;" width="57"> <p align="left" class="MsoNormal"> <span style="color: black; font-family: 宋体; font-size: 10pt;">减分</span></p> </td> <td colspan="2" rowspan="5" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 21.25pt; height: 7.5pt;" width="28"> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 7.35pt;"> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 49.6pt; height: 7.35pt;" width="66"> <p align="left" class="MsoNormal"><span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">1-3</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 42.55pt; height: 7.35pt;" width="57"> <p align="left" class="MsoNormal"> <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">5</span></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 7.35pt;"> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 49.6pt; height: 7.35pt;" width="66"> <p align="left" class="MsoNormal"><span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">4-10</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 42.55pt; height: 7.35pt;" width="57"> <p align="left" class="MsoNormal"> <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">3</span></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 7.35pt;"> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 49.6pt; height: 7.35pt;" width="66"> <p align="left" class="MsoNormal"><span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">11-50</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 42.55pt; height: 7.35pt;" width="57"> <p align="left" class="MsoNormal"> <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">2</span></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 7.35pt;"> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 49.6pt; height: 7.35pt;" width="66"> <p align="left" class="MsoNormal"><span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">50</span><span style="color: black; font-family: 宋体; font-size: 10pt;">以上</span></p> </td> <td style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 42.55pt; height: 7.35pt;" width="57"> <p align="left" class="MsoNormal"> <span lang="EN-US" style="color: black; font-family: 宋体; font-size: 10pt;">1</span></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 113.9pt;"> <td style="border-width: medium 1pt 1pt; border-style: none solid solid; border-color: currentColor windowtext windowtext; padding: 0cm 5.4pt; width: 22.15pt; height: 113.9pt;" width="30"> <p align="center" class="MsoNormal" style="text-align: center;">  <span style="color: black; font-family: 宋体; font-size: 10pt;">投资理性度</span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 5cm; height: 113.9pt;" width="189"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">获配股票上市后的交易情况</span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 3cm; height: 113.9pt;" width="113"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">¾|‘下投资者提交信æ?/span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 99.2pt; height: 113.9pt;" width="132"> <p align="left" class="MsoNormal"><span style="color: black; font-family: 宋体; font-size: 10pt;">单只获配股票上市交易后第<span lang="EN-US">3</span>个交易日收盘时股¼œ¨æ•°é‡è¶…˜q‡èŽ·é…é‡<span lang="EN-US">80%</span>,或第<span lang="EN-US">10</span>个交易日收盘时股¼œ¨æ•°é‡è¶…˜q‡èŽ·é…é‡<span lang="EN-US">50%</span>。加<span lang="EN-US">0.5</span>分ã€?/span></p> </td> <td colspan="3" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 92.15pt; height: 113.9pt;" width="123"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 10pt;"> </span></p> </td> <td colspan="2" style="border-width: medium 1pt 1pt medium; border-style: none solid solid none; border-color: currentColor windowtext windowtext currentColor; padding: 0cm 5.4pt; width: 21.25pt; height: 113.9pt;" width="28"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体; font-size: 12pt;"> </span></p> </td> <td style="padding: 0cm; border: currentColor;" width="8"> </td> </tr> <tr style="height: 14.35pt;"> <td colspan="13" style="padding: 0cm 5.4pt; width: 461.55pt; height: 14.35pt;" width="615"> <p align="left" class="MsoNormal">  <span style="color: black; font-family: 宋体;">æ³?评ä­h期间在协会注册的¾|‘下投资者基准分ä¸?span 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