B · Normal
[Exclusive | The latest round of fund investment advisory qualification defense starts this week, with dozens of securities firms conducting it in batches] On October 19th, the latest round of fund investment advisory qualification application and review process entered a critical node. The reporter learned the latest that since the declaration window closed at the end of August, securities firms have successively received notices from regulators to conduct fund investment advisory defenses. The defenses will be conducted in batches starting this week, with approximately dozens of responding securities firms. According to the process, the supervisor will first review the application materials, and then organize the securities dealers to respond. The integrity of the materials, adequacy of business preparation and compliance records are the focus of the review. During the defense session, attention will not only be paid to whether the system text is complete, but also the business model, system capabilities, staffing, risk control and customer service arrangements. As of now, there are about 60 pilot fund investment advisory institutions, including 29 securities firms. (Reporter Wang Chen)
Brokerage news 🕐 2026-10-19 11:03

Related telegraphs

Comments

0/500
Captcha (click to refresh)
No comments yet