Article 3. When issuing and dealing in securities, all concerned must abide by the principles of openness and fairness. 第三条证券的发行、交易活动,必须实行公开、公平、公正的原则。
Article 4. All participants involved in issuing and dealing in securities enjoy equal legal status, and shall abide by the principles that their acts will be voluntary, reimbursable, honest, and trustworthy. 第四条证券发行、交易活动的当事人具有平等的法律地位,应当遵守自愿、有偿、诚实信用的原则。
Whether during the reporting period your institution was engaged in the business of dealing in Securities for clients other than private banking clients? 申报期内,机构有否向客户(私人银行客户除外)提供证券交易服务?
Circular of the State Council Concerning the Adjustment of the Sharing Ratio Between the Central and Local Governments of the Stamp Tax for Dealing in Securities 关于调整证券交易印花税中央与地方分享比例的通知
Insider dealing is the unfair competitive action in the securities market, which harms many investors, interests and damages the order of the securities market. 内幕交易是证券市场的不正当竞争行为,损害众多投资者利益,破坏正常的证券市场秩序。
This paper aims at an overall scheme of establishing a staff motivation mechanism of stock exchange to meet the requirements of new situations while the operating environment of dealing in securities is undergoing profound changes. 本文致力于探讨在证券行业经营环境发生深刻变化后,证券营业部如何构建适应新形势需要的员工激励机制的整体方案。
This paper promotes to reform local property rights markets, and set up over the counter market for dealing stocks of stock company of a fixed direct collection, in order to perfect levels of securities business. 本论文提出改造地方产权市场,建立场外交易市场进行定向募集公司产权交易,完善证券市场层次结构,实现产权市场与证券市场的统一。
It uses the method of case study to analysis how regulation of stamp tax on securities trading is influencing the dealing in securities of the institution investors. 三是采用事件研究方法对证券交易印花税调整对机构投资者交易行为的影响进行了分析。