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7月29日,中国证券业协会发布《场外证券业务备案管理办法》。按照规定,在《办法》实施前已开展相关场外证券业务的机构,应当按照中证机构间报价系统股份公司的要求,自《办法》实施之日起一个月内补办首次备案手续。《办法》规定,场外证券业务是指在上海、深圳证券交易所、期货交易所和全国中小企业股份转让系统以外开展的证券业务,包括但不限于场外证券销售与推荐;场外证券资产融资业务;场外证券业务的技术系统、登记、托管与结算、
July 29, China Securities Association released the “OTC securities business record management approach.” According to regulations, institutions that have carried out the relevant OTC securities business before the implementation of the Measures should make up the first filing procedures within one month from the date of implementation of the Measures according to the requirements of the China Securities Institutional Inter-quotation System and Stock Company. The Measures stipulate that the OTC securities business refers to the securities business carried out outside the share transfer system of Shanghai, Shenzhen Stock Exchange, Futures Exchange and the National SMEs, including but not limited to the sales and recommendation of over-the-counter securities; the OTC securities assets Financing business; technical system of OTC securities business, registration, custody and settlement,