论文部分内容阅读
各有关证券经营机构:我会《关于加强证券经营机构股票承销业务监管工作的通知》(证监机构字[1999]54号)规定:“证券公司以包销方式承销股票,单项包销金额不得超过净资本的百分之三十,并且不得超过人民币三亿元。”这对于有效防范证券经营机构承销风险起到了十分重要的作用。但是随着证券市场的发展和证券公司风险管理机制的改善,该规定有必要作进一步完善。为
Relevant securities business institutions: I will “strengthen the supervision and management of stock underwriting business of securities institutions,” (Zheng Jian Ji Zi [1999] No. 54) states: “Securities companies underwriting securities by way of underwriting, the amount of individual underwriting shall not exceed the net 30% of the capital, and can not exceed 300 million yuan. ”This is for the effective prevention of underwriting risks of securities firms played a very important role. However, with the development of the securities market and the improvement of the risk management mechanism of securities companies, the regulation is necessary to be further improved. for