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<div class="contant_model"> <div class="contant_c contant_c_clear"> <h2 class="title contant_blue">期货经营机构投资者适当性管理实施指å¼?试行)</h2> <div class="contArticle"> <span>作者:佚名</span> <span>来源:本站整ç?/span> <span>发布时间ï¼?017å¹?6æœ?9æ—?/span> <span>点击数: <script language="JavaScript" type="text/JavaScript" src="/Common/GetHits.aspx?id=8826"></script> </span> <span>ã€?a href="/User/Content/Favorite.aspx?Action=add&Id=8826">收藏</a>ã€?/span> <span>ã€?a href="/Print.aspx?id=8826">打印文章</a>ã€?/span> </span> <span><span id="content_AdminEdit"></span> <script type="text/javascript"> function CheckAdminStatus(id) { var x=new AjaxRequest('XML',''); x.para = ['itemId='+id]; x.post('admineditcheck','/ajax.aspx',function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; if(status=='OK') { var managedir = "/Common/GetContentEdit.aspx?itemId=8826" ; document.getElementById("content_AdminEdit").innerHTML = "ã€?a href='" + managedir + "' target='_blank'>进入后台编辑</a>ã€?; } }); } CheckAdminStatus(8826); </script></span> <span> <span id="content_signin"></span><span id="content_SigninAjaxStatus"></span> <script type="text/javascript"> function GetContentSigninStatus(id) { var x = new AjaxRequest('XML','content_SigninAjaxStatus'); x.para = ['itemId='+id]; x.post('GetContentSigninStatus', '/ajax.aspx', function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; document.getElementById("content_SigninAjaxStatus").style.display = "none"; switch (status) { case "NoSignin": break; case "NoLogin": break; case "AutoSignin": var time = xml.getElementsByTagName("time")[0].firstChild.data; AutoSigninContent(id,time); break; case "NormalSignin": document.getElementById("content_signin").innerHTML = "ã€?span style='cursor: pointer;' onclick=\"SigninContent('"+id+"')\" >点击签收</span>ã€?; break; case "SigninOutTime": document.getElementById("content_signin").innerHTML = "【已过签收截止时间ã€?; break; case "Signined": document.getElementById("content_signin").innerHTML = "【已签收ã€?; break; } }); } function AutoSigninContent(id,time) { var secs = time; var wait = secs * 1000; document.getElementById("content_signin").innerHTML = "【自动签收[" + secs +"]秒ã€?; for(i = 1; i <= secs; i++) { window.setTimeout("UpdateAutoSigninTime(" + i + "," + secs + ")", i * 1000); } window.setTimeout("SigninContent('"+id+"')", wait); } function UpdateAutoSigninTime(number,wait) { printnr = wait - number; document.getElementById("content_signin").innerHTML = "【自动签收[" + printnr +"]秒ã€?; } function SigninContent(id) { var x = new AjaxRequest('XML','content_SigninAjaxStatus'); x.para = ['itemId='+id]; x.post('SigninContent', '/ajax.aspx', function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; document.getElementById("content_SigninAjaxStatus").style.display = "none"; switch (status) { case "Signined": document.getElementById("content_signin").innerHTML = "【已签收ã€?; break; case "NotSignined": document.getElementById("content_signin").innerHTML = "【签收失败ã€?; break; case "SigninOutTime": document.getElementById("content_signin").innerHTML = "【已过签收截止时间ã€?; break; } } ); } GetContentSigninStatus('8826'); </script></span> </div> <div class="c_content_text"> <div class="c_content_overflow" id="fontzoom"> <p style="text-align: center;"> </p> <p style="text-align: center;"> </p> <p align="center" class="1" style="text-align:center;text-indent:30.1pt;line-height: 28.0pt;mso-line-height-rule:exactly;mso-outline-level:1;layout-grid-mode:char"><b><span lang="EN-US" style="font-size:15.0pt; mso-bidi-font-size:10.0pt;font-family:黑体"> </span></b></p> <p align="center" class="1" style="text-align:center;text-indent:30.0pt;line-height: 28.0pt;mso-line-height-rule:exactly;mso-outline-level:1;layout-grid-mode:char"><span style="font-size:15.0pt;font-family:黑体;mso-bidi-font-family:黑体;mso-bidi-font-weight: bold">第一ç«?总则<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第一条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">为了指导、督促期货经营机构有效落实适当性管理要求,维护投资者合法权益,根据《期货交易管理条例》、《证券期货投资者适当性管理办法》(以下简称《办法》)及相关法律法规,制定本指引ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第二条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">期货公司、期货公司子公司以及其他期货经营机构(以下简ç§?ldquo;经营机构”)向投资者公开销售或者非公开转让期货及其他衍生产品,或者为投资者提供证券期货相关业务服务,适用本指引ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第三条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当根据法律、行政法规、监管规定和本指引的要求,制定投资者适当性管理制度,在经营中勤勉尽责,审慎履职,向投资者销售适当的产品或者提供适当的服务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第四条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">中国期货业协会(以下简ç§?ldquo;协会”)按照《办法》、本指引及其他规定对经营机构履行适当性义务进行自律管理ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" class="1" style="text-align:center;text-indent:30.0pt;line-height: 28.0pt;mso-line-height-rule:exactly;mso-outline-level:1;layout-grid-mode:char"><span style="font-size:15.0pt;font-family:黑体;mso-bidi-font-family:黑体;mso-bidi-font-weight: bold">第二ç«?投资者分ç±?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第五条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构向投资者销售产品或者提供服务时,应当充分了解《办法》第六条规定的投资者信息,可以采用但不限于以下方式ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(一)查询、收集投资者资料;<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(二)问卷调查;<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(三)知识测试;<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(四)其他现场或非现场沟通等ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">第六条 </span></b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">投资者对其提供的信息和证明材料的真实性、准确性、完整性负责,并配合经营机构进行适当性评估、分类及匹配管理。投资者提供的信息发生重要变化,可能影响其投资者分类的,应当及时告知经营机构ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第七条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当按照《办法》要求,将投资者分为普通投资者和专业投资者,并实施差异化适当性管理ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第八条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">符合《办法》第八条(一)、(二)、(三)项条件的投资者,应当向经营机构提供营业执照、经营业务许可证、登记或备案证明、开户类型证明等身份资质证明材料。经营机构审核通过的,可将其直接认定为专业投资者,并将认定结果书面告知投资者ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第九条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">符合《办法》第八条(四)、(五)项条件的投资者划分为专业投资者时,应当遵循以下程序:<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(一)投资者提出申请,并提供以下证明材料:<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">ï¼?span lang="EN-US">.</span>机构投资者提供最近一年的财务报表、金融资产证明文件、本机构的投资经历等ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">ï¼?span lang="EN-US">.</span>自然人投资者提供近一个月本人的金融资产证明文件或近3年收入证明、投资经历或工作证明、职业资格证书等ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(二)经营机构审核通过的,认定其为专业投资者ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第十条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当将普通投资者按其风险承受能力至少划分为五类,由低至高分别为ï¼?span lang="EN-US">1</span><span style="color:black">(含风险承受能力最低类别)、C</span><span lang="EN-US">2</span>、C<span lang="EN-US">3</span>、C<span lang="EN-US">4</span>、C<span lang="EN-US">5</span>ç±»ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第十一条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构可以制作投资者风险承受能力评估问卷以了解投资者风险承受能力情况:<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(一)问卷内容应当至少包括收入来源和数额、资产状况、债务、投资知识和经验、风险偏好、诚信状况等因素ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(二)问卷问题不少于<span lang="EN-US">10</span>个;<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(三)问卷应当根据评估选项与风险承受能力的相关性,合理设定选项的分值和权重,建立评估得分与风险承受能力等级的对应关系ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 37.5pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family: 仿宋">经营机构应当根据了解的投资者信息,结合问卷评估结果,对其风险承受能力进行综合评估ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 37.5pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family: 仿宋">经营机构在投资者填写风险承受能力评估问卷时,不得进行诱导、误导、欺骗投资者,影响填写结果ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 37.65pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family:仿宋; mso-bidi-font-family:仿宋">第十二条</span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋"> 风险承受能力经评估为<span lang="EN-US">C1</span>类的自然人投资者,符合以下情形之一的,经营机构可以将其认定为风险承受能力最低类别的投资者:<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 37.5pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family: 仿宋">(一)不具有完全民事行为能力ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 37.5pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family: 仿宋">(二)没有风险容忍度或者不愿承受任何投资损失;<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 37.5pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family: 仿宋">(三)法律、行政法规规定的其他情形ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 37.65pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family:仿宋; mso-bidi-font-family:仿宋">第十三条</span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋"> 符合《办法》第十一条规定条件的普通投资者,可以申请转化为专业投资者。申请转化流程如下:<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(一)投资者填写转化申请书,确认自主承担可能产生的风险和后果,提交符合转化条件的证明材料;<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(二)经营机构对投资者提供的资料进行审核,通过追加了解投资者信息、开展投资知识测试或者模拟交易等方式对投资者进行审慎评估,确认其符合转化要求;<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(三)经营机构同意投资者转化的,应当向其说明对普通投资者和专业投资者履行适当性义务的差别,警示可能承担的投资风险;经营机构不同意投资者转化的,应当告知其评估结果及理由ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第十四条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">符合《办法》第八条第(四)(五)项规定条件的专业投资者,如需转化为普通投资者,应当书面告知经营机构。经营机构应当按照普通投资者的标准,对其履行相应的适当性评估、匹配与管理义务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第十五条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当建立投资者适当性评估数据库,收录投资者信息并及时更新。数据库中应当至少包含以下信息:<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(一)《办法》第六条所规定的投资者信息;<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(二)投资者在本经营机构从事投资活动所产生的失信行为记录;<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(三)投资者历次风险承受能力评估问卷内容、评级时间、评级结果等ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(四)投资者申请成为专业投资者或者不同类别投资者转化的申请及审核记录等ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(五)中国证监会、协会及经营机构认为必要的其它信息ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第十六条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当保障投资者评估数据库正常运行,有效满足投资者适当性管理需求ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">投资者评估数据库应纳入经营机构信息技术系统运维管理体系统一管理ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第十七条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当利用投资者评估数据库及交易行为记录等信息,持续跟踪和评估投资者风险承受能力,必要时调整其风险承受能力等级。经营机构调整投资者风险承受能力等级的,应当将风险承受能力评估结果交投资者签署确认,并以书面方式记载留存ã€?b><span lang="EN-US"><o:p></o:p></span></b></span></p> <p align="center" class="1" style="text-align:center;text-indent:30.0pt;line-height: 28.0pt;mso-line-height-rule:exactly;mso-outline-level:1;layout-grid-mode:char"><span style="font-size:15.0pt;font-family:黑体;mso-bidi-font-family:黑体;mso-bidi-font-weight: bold">第三ç«?产品(服务)分级<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">第十八条 </span></b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">协会负责制定期货行业的产品或服务风险等级名录。如产品或服务发生变化,协会应根据情况及时更新名录ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第十九条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">期货行业产品或服务的风险等级原则上由低到高划分为五级,分别为<span lang="EN-US">R1</span>ã€?span lang="EN-US">R2</span>ã€?span lang="EN-US">R3</span>ã€?span lang="EN-US">R4</span>ã€?span lang="EN-US">R5</span>级ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">经营机构评估相关产品或服务的风险等级,不得低于协会名录规定的风险等级ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">高风险等级的产品或服务可以由经营机构自主确定,但应当至少包含本指引规定的<span lang="EN-US">R5</span>风险等级的产品或服务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">第二十条 </span></b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当了解所销售产品或者所提供服务的信息,综合考虑流动性、到期时限、杠杆情况、结构复杂性、投资单位产品或者相关服务的最低金额、投资方向和投资范围、募集方式、发行人等相关主体的信用状况、同类产品或服务过往业绩等因素,根据风险特征和程度审慎评估、划分风险等级ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当制作产品或服务风险等级评估表,根据产品或服务的评估因素与风险等级的相关性,确定各项评估因素的分值和权重,建立评估分值与产品或服务风险等级的对应关系ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">涉及投资组合的产品或服务,应当按照产品或服务整体风险等级进行评估ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第二十一条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">产品或服务对投资者有准入条件要求的,经营机构应当加强要件审核,审慎向符合准入条件的投资者销售产品或者提供服务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第二十二条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构委托其他机构销售本机构发行的产品或者提供服务,应当确认受托机构具备销售相关产品的资格及落实适当性义务要求的人员、内控制度、技术设备等能力ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当制定并告知代销方所委托产品或者提供服务的适当性管理标准和要求,代销方应当严格执行,但法律、行政法规、中国证监会其他规章另有规定的除外ã€?b><span lang="EN-US"><o:p></o:p></span></b></span></p> <p align="center" class="1" style="text-align:center;text-indent:30.0pt;line-height: 28.0pt;mso-line-height-rule:exactly;mso-outline-level:1;layout-grid-mode:char"><span style="font-size:15.0pt;font-family:黑体;mso-bidi-font-family:黑体;mso-bidi-font-weight: bold">第四ç«?适当性匹配与管理<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第二十三条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构按照“适当的产品销售给适当的投资è€?rdquo; 的原则销售产品或者提供服务,应当遵守下列匹配要求ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(一)投资期限、投资品种、期望收益等符合投资者的投资目标ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(二)产品或服务的风险等级符合投资者的风险承受能力等级ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(三)中国证监会、协会和经营机构规定的其他匹配要求ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第二十四条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋;mso-bidi-font-weight:bold">普通投资者风</span><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">险承受能力等级与产品或服务风险等级的匹配,应当按照以下标准确定:<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(一<span lang="EN-US">)C1</span>类投资者(含风险承受能力最低类别)可购买或接受<span lang="EN-US">R1</span>风险等级的产品或服务ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(二<span lang="EN-US">)C2</span>类投资者可购买或接å?span lang="EN-US">R1</span>ã€?span lang="EN-US">R2</span>风险等级的产品或服务ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(三<span lang="EN-US">)C3</span>类投资者可购买或接å?span lang="EN-US">R1</span>ã€?span lang="EN-US">R2</span>ã€?span lang="EN-US">R3</span>风险等级的产品或服务ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(四<span lang="EN-US">)C4</span>类投资者可购买或接å?span lang="EN-US">R1</span>ã€?span lang="EN-US">R2</span>ã€?span lang="EN-US">R3</span>ã€?span lang="EN-US">R4</span>风险等级的产品或服务ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(五<span lang="EN-US">)C5</span>类投资者可购买或接å?span lang="EN-US">R1</span>ã€?span lang="EN-US">R2</span>ã€?span lang="EN-US">R3</span>ã€?span lang="EN-US">R4</span>ã€?span lang="EN-US">R5</span>风险等级的产品或服务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">风险承受能力最低类别的投资者只可购买或接受<span lang="EN-US">R1</span>风险等级的产品或服务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">专业投资者可购买或接受所有风险等级的产品或服务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">第二十五条 </span></b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">投资者主动要求购买风险等级高于其风险承受能力的产品或者接受相关服务的,经营机构在确认其不属于风险承受能力最低类别投资者后,应当要求投资者签署特别风险警示书,确认其已知悉产品或服务的风险特征、风险高于投资者承受能力的事实及可能引起的后果ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第二十六条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构向普通投资者销售产品或者提供服务前,应当按照《办法》第二十三条的规定告知可能的风险事项及明确的适当性匹配意见ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第二十七条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当告知投资者,应综合考虑自身风险承受能力与经营机构的适当性匹配意见,独立做出投资决策并承担投资风险;经营机构提出的适当性匹配意见不表明其对产品或服务的风险和收益做出实质性判断或者保证,其履行投资者适当性职责不能取代投资者的投资判断,不会降低产品或服务的固有风险,也不会影响其依法应当承担的投资风险、履约责任以及费用ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第二十八条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构向普通投资者销售或者提供高风险等级的产品或服务时,应当履行以下适当性义务:<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(一)追加了解投资者的相关信息ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(二)向投资者提供特别风险警示书,揭示该产品或服务的高风险特征,由投资者签字确认;<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(三)给予投资者至å°?span lang="EN-US">24</span>小时的冷静期或至少增加一次回访告知特别风险ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第二十九条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当根据投资者和产品或服务的信息变化情况,主动调整投资者分类、产品或服务分级以及适当性匹配意见,并告知投资者ã€?b><span lang="EN-US"><o:p></o:p></span></b></span></p> <p align="center" class="1" style="text-align:center;text-indent:30.0pt;line-height: 28.0pt;mso-line-height-rule:exactly;mso-outline-level:1;layout-grid-mode:char"><span style="font-size:15.0pt;font-family:黑体;mso-bidi-font-family:黑体;mso-bidi-font-weight: bold">第五ç«?经营机构的适当性内控管ç?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第三十条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当制定投资者适当性管理的内部制度,包括但不限于以下内容:<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(一)了解投资者的标准、方法和流程ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(二)投资者分类的依据、方法和流程ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(三)了解产品或服务的标准、方法和流程ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(四)产品或服务分级的依据、方法和流程ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(五)适当性匹配的标准、方法和流程ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(六)执行投资者适当性管理内部制度的保障措施ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第三十一条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构通过现场方式向普通投资者履行本指引第十三条、第二十六条、第二十八条和第二十九条规定的告知、警示程序的,应当全过程录音或者录像;通过互联网等非现场方式履行告知、警示程序的,经营机构应当完善配套留痕安排,由普通投资者通过符合法律、行政法规要求的电子方式进行确认ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第三十二条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当建立投资者适当性评估与销售隔离机制,销售人员不得参与投资者的分类评估、产品与服务的分级评估,以及投资者与产品或服务的匹配ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第三十三条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当建立健全回访制度,由从事销售推介业务以外的人员,以电话、电邮、信函、短信等适当方式,每年抽取一定比例进行适当性回访。对于下列普通投资者,经营机构应当进行回访ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(一)生活来源主要依靠积蓄或社会保障的;<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(二)购买或接受高风险产品或服务的; <span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(三)中国证监会、协会和经营机构认为必要的其他投资者ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 37.65pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">第三十四条 </span></b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">回访的内容包括但不限于:<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="margin-left: 0cm; text-indent: 30pt; line-height: 28pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size: 15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(一ï¼?/span><!--[endif]--><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">受访人是否为投资者本人或者本机构ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(二)受访人是否亲自填写了相关信息表格、问卷,并按要求签字或者盖章;<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(三)受访人此前提供的信息是否发生重要变化;<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(四)受访人是否已知晓风险揭示或者警示的内容ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(五)受访人是否已知晓风险承受能力应当与所购买的产品或服务相匹配;<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(六)受访人是否已知晓可能承担的费用及相关投资损失;<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">(七)经营机构及其从业人员是否存在《办法》第二十二条禁止的行为;<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋;color:black">(八)中国证监会、协会和经营机构认为必要的其他内容ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第三十五条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当每年至少开展一次适当性培训,提高相关岗位从业人员的适当性管理知识与技能,不断提升适当性执业规范水平ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第三十六条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当明确专门部门对适当性管理工作开展情况进行监督检查,至少每半年开展一次适当性自查,并于每年的三月底及九月底前形成半年度自查报告,报告内容包括但不限于适当性制度建设、适当性评估与匹配、数据库管理、培训记录、资料保管、投诉处理、存在问题与整改措施等情况ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">经营机构发现违反适当性管理要求的,应当按照相关要求及时处理并主动报告ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第三十七条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当将相关岗位从业人员的适当性工作履职情况、投诉情况等纳入监督问责机制,确保从业人员切实履行适当性义务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">经营机构不得采取可能鼓励其从业人员向投资者销售不适当产品或提供不适当服务的考核、激励机制或措施ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第三十八条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构可以向投资者披露本机构的适当性管理制度,协会鼓励经营机构通过网站、经营场所等披露投资者分类政策、产品或服务分级政策和自查报告等ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第三十九条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当妥善保存与履行投资者适当性管理职责有关的信息和资料,包括但不限于匹配方案、告知警示资料、录音录像资料、自查报告等,保存期限不得少äº?span lang="EN-US">20</span>å¹´ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第四十条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构及其从业人员应当对在履行投资者适当性工作职责过程中获取的投资者信息、投资者风险承受能力评估结果等信息和资料严格保密,防止信息和资料被泄露或者被不当利用ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第四十一条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构应当将适当性纠纷处理纳入本机构的投诉管理办法,明确纠纷的处理机制。投资者提出调解的,经营机构应当积极配合,优先通过协商解决争议ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" class="1" style="text-align:center;text-indent:30.0pt;line-height: 28.0pt;mso-line-height-rule:exactly;mso-outline-level:1;layout-grid-mode:char"><span style="font-size:15.0pt;font-family:黑体;mso-bidi-font-family:黑体;mso-bidi-font-weight: bold">第六ç«?自律管理<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第四十二条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">协会可采取现场或者非现场检查等方式,对经营机构建立和执行投资者适当性制度的情况进行定期或者不定期检查ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第四十三条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构及其从业人员应当积极配合协会检查工作,不得拒绝、拖延提供有关资料,或者提供不真实、不准确、不完整的资料ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第四十四条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">经营机构及其从业人员履行投资者适当性职责时违反本指引的,协会将依据自律规则规定采取自律惩戒措施ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">经营机构与投资者之间发生适当性纠纷,可以向协会申请调解ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" class="1" style="text-align:center;text-indent:30.0pt;line-height: 28.0pt;mso-line-height-rule:exactly;mso-outline-level:1;layout-grid-mode:char"><span style="font-size:15.0pt;font-family:黑体;mso-bidi-font-family:黑体;mso-bidi-font-weight: bold">第七ç«?附则<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第四十五条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">本指引所称书面形式包括纸质或者电子形式ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">第四十六条 </span></b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">经营机构履行投资者适当性义务时,可以根据实际情况对附件的内容加以调整和补充,但不得低于本指引及附件规定的标准ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">第四十七条 </span></b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">除境外期货经营机构转委托代理开展特定品种交易的情形外,经营机构向境外投资者销售产品或者提供服务,应当遵守本指引规定ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">第四十八条 </span></b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">经理事会同意,协会发布产品或服务风险等级名录ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:30.75pt;line-height:28.0pt;mso-line-height-rule: exactly;layout-grid-mode:char;mso-layout-grid-align:none;text-autospace:none"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第四十九条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">本指引所规定条款与其它证券期货自律规则条款内容发生竞合的,在不与《办法》内容、原则、精神、内在逻辑及证监会相关解释相违背的情况下,适用较为严格的规定条款ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">第五十条 </span></b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">本指引经协会第四届理事会第十四次会议(临时)审议通过ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="1" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">第五十一条 </span></b><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">本指引的解释权归协会理事会ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 30.1pt; line-height: 28pt;"><b><span style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">第五十二条 </span></b><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">本指引自<span lang="EN-US">2017</span>å¹?span lang="EN-US">7</span>æœ?span lang="EN-US">1</span>日起施行ã€?span lang="EN-US">2012</span>å¹?span lang="EN-US">9</span>æœ?span lang="EN-US">27</span>日发布ã€?span lang="EN-US">2015</span>å¹?span lang="EN-US">4</span>æœ?span lang="EN-US">3</span>日修订发布的《期货公司资产管理业务投资者适当性评估程序》,<span lang="EN-US">2010</span>å¹?span lang="EN-US">2</span>æœ?span lang="EN-US">9</span>日发布ã€?span lang="EN-US">2013</span>å¹?span lang="EN-US">9</span>æœ?span lang="EN-US">3</span>日修订发布的《期货公司执行金融期货投资者适当性制度管理规则(修订)》同时废止ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 30pt; line-height: 28pt;"><span lang="EN-US" style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋"> </span></p> <p align="left" class="MsoNormal" style="text-indent: 30pt; line-height: 28pt;"><span style="font-size:15.0pt; font-family:仿宋;mso-bidi-font-family:仿宋">附件ï¼?span lang="EN-US">1.</span>产品或服务风险等级名å½?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 30.3pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family: 仿宋">   <span lang="EN-US">2.</span>投资者基本信息表(自然人、机构)<span lang="EN-US">    <o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 30.3pt; line-height: 28pt;"><span lang="EN-US" style="font-size:15.0pt;font-family: 仿宋;mso-bidi-font-family:仿宋">      3.</span><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family:仿宋">专业投资者申请书<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 30.3pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family: 仿宋">   <span lang="EN-US">4.</span>专业投资者告知及确认ä¹?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 30.3pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family: 仿宋">   <span lang="EN-US">5.</span>普通投资者转化为专业投资者申请书<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 30.3pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family: 仿宋">   <span lang="EN-US">6.</span>专业投资者转化为普通投资者确认书<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 30.3pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family: 仿宋">   <span lang="EN-US">7.</span>普通投资者风险承受能力评估问卷说明及参考问题(自然人、机构)<span lang="EN-US"> <o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 30.3pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family: 仿宋">   <span lang="EN-US">8.</span>普通投资者适当性匹配意见告知书<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 30.3pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family: 仿宋">  <span lang="EN-US">  9.</span>普通投资者购买高于自身风险承受能力产品或    服务风险警示ä¹?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 30.3pt; line-height: 28pt;"><span style="font-size:15.0pt;font-family:仿宋;mso-bidi-font-family: 仿宋">   <span lang="EN-US">10.</span>普通投资者购买高风险等级产品或服务风险警     示书<span lang="EN-US"><o:p></o:p></span></span></p> <p style="text-align: center;"> </p> <p align="left" class="MsoNormal" style="line-height: 28pt;"><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312">附件<span lang="EN-US">1</span></span><b><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; mso-outline-level:2"><b><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">产品或服务风险等级名å½?/span></b><b><span lang="EN-US" style="font-size:15.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%;font-family:宋体">为有效指导期货经营机构对产品及服务进行风险分级,依据《证券期货投资者适当性管理办法》第三十六条规定,制定本名录ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%;font-family:宋体">期货经营机构可以参考本名录细化产品及服务的风险等级评价标准,期货经营机构评估相关产品及服务的风险等级不得低于本名录规定的风险等级ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%;font-family:宋体">本名录不代表协会对相关产品及服务的风险和收益做出实质性的判断或保证ã€?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:5.4pt;border-collapse:collapse;mso-table-layout-alt:fixed; border:none;mso-border-alt:solid black .5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:.5pt solid black;mso-border-insidev:.5pt solid black"> <tbody> <tr style="height:30.75pt"> <td colspan="2" style="width:428.3pt;border:solid black 1.0pt; mso-border-alt:solid black .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:30.75pt" width="571"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%"><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman";mso-font-kerning:0pt">产品或服务风险等级名å½?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%;mso-font-kerning:0pt"><o:p></o:p></span></b></p> </td> </tr> <tr style="height:30.8pt"> <td style="width:67.55pt;border:solid black 1.0pt;border-top:none; mso-border-top-alt:solid black .5pt;mso-border-alt:solid black .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:30.8pt" width="90"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%"><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman";mso-font-kerning:0pt">风险等级</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%;mso-font-kerning:0pt"><o:p></o:p></span></b></p> </td> <td style="width:360.75pt;border-top:none;border-left:none; border-bottom:solid black 1.0pt;border-right:solid black 1.0pt;mso-border-top-alt: solid black .5pt;mso-border-left-alt:solid black .5pt;mso-border-alt:solid black .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:30.8pt" width="481"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%"><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman";mso-font-kerning:0pt">标的</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%;mso-font-kerning:0pt"><o:p></o:p></span></b></p> </td> </tr> <tr style="height:37.55pt"> <td style="width:67.55pt;border:solid black 1.0pt;border-top:none; mso-border-top-alt:solid black .5pt;mso-border-alt:solid black .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:37.55pt" width="90"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;mso-font-kerning:0pt">R1 <o:p></o:p></span></p> </td> <td style="width:360.75pt;border-top:none;border-left:none; border-bottom:solid black 1.0pt;border-right:solid black 1.0pt;mso-border-top-alt: solid black .5pt;mso-border-left-alt:solid black .5pt;mso-border-alt:solid black .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:37.55pt" width="481"> <p align="left" class="MsoNormal" style="line-height: 150%;"><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:宋体;mso-bidi-font-family:宋体">资管产品备案机构风险等级名录</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;font-family:宋体;mso-bidi-font-family:宋体;mso-font-kerning:0pt">R1</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:宋体;mso-bidi-font-family:宋体">等级的产品及服务<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="height:35.25pt"> <td style="width:67.55pt;border:solid black 1.0pt;border-top:none; mso-border-top-alt:solid black .5pt;mso-border-alt:solid black .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:35.25pt" width="90"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;mso-font-kerning:0pt">R2<o:p></o:p></span></p> </td> <td style="width:360.75pt;border-top:none;border-left:none; border-bottom:solid black 1.0pt;border-right:solid black 1.0pt;mso-border-top-alt: solid black .5pt;mso-border-left-alt:solid black .5pt;mso-border-alt:solid black .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:35.25pt" width="481"> <p align="left" class="MsoNormal" style="line-height: 150%;"><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:宋体;mso-bidi-font-family:宋体">资管产品备案机构风险等级名录</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;font-family:宋体;mso-bidi-font-family:宋体;mso-font-kerning:0pt">R2</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:宋体;mso-bidi-font-family:宋体">等级的产品及服务<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="height:49.85pt"> <td style="width:67.55pt;border:solid black 1.0pt;border-top:none; mso-border-top-alt:solid black .5pt;mso-border-alt:solid black .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:49.85pt" width="90"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;mso-font-kerning:0pt">R3 <o:p></o:p></span></p> </td> <td style="width:360.75pt;border-top:none;border-left:none; border-bottom:solid black 1.0pt;border-right:solid black 1.0pt;mso-border-top-alt: solid black .5pt;mso-border-left-alt:solid black .5pt;mso-border-alt:solid black .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:49.85pt" width="481"> <p align="left" class="MsoNormal" style="line-height: 150%;"><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:宋体;mso-bidi-font-family:宋体">包括但不限于商品期货(除特定品种以外)及相关服务、资管产品备案机构风险等级名å½?span lang="EN-US">R3</span>等级的产品及服务<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="height:49.85pt"> <td style="width:67.55pt;border:solid black 1.0pt;border-top:none; mso-border-top-alt:solid black .5pt;mso-border-alt:solid black .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:49.85pt" width="90"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;mso-font-kerning:0pt">R4<o:p></o:p></span></p> </td> <td style="width:360.75pt;border-top:none;border-left:none; border-bottom:solid black 1.0pt;border-right:solid black 1.0pt;mso-border-top-alt: solid black .5pt;mso-border-left-alt:solid black .5pt;mso-border-alt:solid black .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:49.85pt" width="481"> <p align="left" class="MsoNormal" style="line-height: 150%;"><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:宋体;mso-bidi-font-family:宋体">包括但不限于金融期货、期权、特定品种、承担有限风险敞口的场外衍生产品及相关服务、资管产品备案机构风险等级名å½?span lang="EN-US">R4</span>等级的产品及服务<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-lastrow:yes;height:49.85pt"> <td style="width:67.55pt;border:solid black 1.0pt;border-top:none; mso-border-top-alt:solid black .5pt;mso-border-alt:solid black .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:49.85pt" width="90"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;mso-font-kerning:0pt">R5<o:p></o:p></span></p> </td> <td style="width:360.75pt;border-top:none;border-left:none; border-bottom:solid black 1.0pt;border-right:solid black 1.0pt;mso-border-top-alt: solid black .5pt;mso-border-left-alt:solid black .5pt;mso-border-alt:solid black .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:49.85pt" width="481"> <p align="left" class="MsoNormal" style="line-height: 150%;"><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:宋体;mso-bidi-font-family:宋体">包括但不限于承担无限风险敞口的场外衍生产品及相关服务、资管产品备案机构风险等级名å½?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;font-family:宋体;mso-bidi-font-family:宋体;mso-font-kerning:0pt">R5</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:宋体;mso-bidi-font-family:宋体">等级的产品及服务<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> </tbody> </table> <p align="left" class="MsoNormal"><span lang="EN-US"> </span></p> <p align="left" class="MsoNormal" style="line-height: 150%;"><span style="font-size:12.0pt;line-height:150%;font-family:宋体">注:<span lang="EN-US">1.</span></span><span lang="EN-US" style="font-size:12.0pt;line-height:150%;font-family:宋体;mso-bidi-font-family: 宋体;mso-font-kerning:0pt"> </span><span style="font-size:12.0pt;line-height: 150%;font-family:宋体;mso-bidi-font-family:宋体;mso-font-kerning:0pt">期货公司风险管理子公司开展风险管理服务业务的,应当根据业务涉及的产品及服务标的来划分风险等级ï¼?/span><span style="font-size:12.0pt;line-height:150%;font-family:宋体"> <span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">2.</span><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体;mso-font-kerning: 0pt"> </span><span style="font-size:12.0pt;font-family:宋体">期货经营机构资产管理计划的分级参考监管部门及相关产品备案机构标准ï¼?/span><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体; mso-font-kerning:0pt"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体;mso-font-kerning: 0pt">3.</span><span style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family: 宋体;mso-font-kerning:0pt">期货经营机构从事证券交易所股票期权业务的适当性管ç?/span><span style="font-size:12.0pt;font-family:宋体">参考监管部门及相关产品备案机构标准ã€?/span><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体; mso-font-kerning:0pt"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:宋体"> </span></p> <p align="left" class="MsoNormal"><span lang="EN-US"> </span></p> <p align="left" class="MsoNormal" style="line-height: 150%;"><span lang="EN-US" style="font-size:10.0pt; line-height:150%"> </span></p> <p style="text-align: center;"> </p> <p align="left" class="MsoNormal"><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312">附件<span lang="EN-US">2</span>     </span><b><span style="font-size:15.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">投资者基本信息表(自然人ï¼?/span></b><b><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt">    <o:p></o:p></span></b></p> <table align="left" border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="border-collapse:collapse;mso-table-layout-alt:fixed;border:none; mso-border-alt:solid windowtext .5pt;mso-table-lspace:9.0pt;margin-left:6.75pt; mso-table-rspace:9.0pt;margin-right:6.75pt;mso-table-anchor-vertical:paragraph; mso-table-anchor-horizontal:margin;mso-table-left:-6.75pt;mso-table-top:7.9pt; mso-padding-alt:0cm 5.4pt 0cm 5.4pt;mso-border-insideh:.5pt solid windowtext; mso-border-insidev:.5pt solid windowtext"> <tbody> <tr style="height:18.7pt;mso-height-rule:exactly"> <td style="width:37.3pt;border:solid windowtext 1.0pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:18.7pt;mso-height-rule: exactly" width="50"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">姓名</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="2" style="width:63.9pt;border:solid windowtext 1.0pt; border-left:none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:18.7pt;mso-height-rule: exactly" width="85"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly; mso-element:frame;mso-element-frame-hspace:9.0pt;mso-element-wrap:around; mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal:margin; mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span></p> </td> <td style="width:49.7pt;border:solid windowtext 1.0pt;border-left: none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:18.7pt;mso-height-rule:exactly" width="66"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">性别</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td style="width:71.05pt;border:solid windowtext 1.0pt;border-left: none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:18.7pt;mso-height-rule:exactly" width="95"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly; mso-element:frame;mso-element-frame-hspace:9.0pt;mso-element-wrap:around; mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal:margin; mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">男□</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">   </span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">女□</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="2" style="width:56.9pt;border:solid windowtext 1.0pt; border-left:none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:18.7pt;mso-height-rule: exactly" width="76"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">出生年月</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="2" style="width:50.05pt;border:solid windowtext 1.0pt; border-left:none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:18.7pt;mso-height-rule: exactly" width="67"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">  </span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">å¹?/span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">æœ?/span><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt"> <span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:85.3pt;border:solid windowtext 1.0pt; border-left:none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:18.7pt;mso-height-rule: exactly" width="114"> <p align="center" class="MsoNormal" style="margin-left:-12.5pt;mso-para-margin-left: -1.19gd;text-align:center;text-indent:12.4pt;mso-char-indent-count:1.38; line-height:12.0pt;mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace: 9.0pt;mso-element-wrap:around;mso-element-anchor-vertical:paragraph; mso-element-anchor-horizontal:margin;mso-element-left:-6.7pt;mso-element-top: 7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">国家</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt">/</span><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">地区</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td style="width:34.0pt;border:solid windowtext 1.0pt;border-left: none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:18.7pt;mso-height-rule:exactly" width="45"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span></p> </td> </tr> <tr style="height:31.2pt;mso-height-rule:exactly"> <td style="width:37.3pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:31.2pt;mso-height-rule:exactly" width="50"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">证件类型</span><sup><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">*<o:p></o:p></span></sup></p> </td> <td colspan="2" style="width:63.9pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:31.2pt; mso-height-rule:exactly" width="85"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly; mso-element:frame;mso-element-frame-hspace:9.0pt;mso-element-wrap:around; mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal:margin; mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span></p> </td> <td style="width:49.7pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:31.2pt;mso-height-rule: exactly" width="66"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">证件号码</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="3" style="width:127.95pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:31.2pt; mso-height-rule:exactly" width="171"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span></p> </td> <td colspan="2" style="width:50.05pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:31.2pt; mso-height-rule:exactly" width="67"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">有效期限</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="3" style="width:119.3pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:31.2pt; mso-height-rule:exactly" width="159"> <p class="MsoNormal" style="text-indent:9.0pt;mso-char-indent-count:1.0; line-height:12.0pt;mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace: 9.0pt;mso-element-wrap:around;mso-element-anchor-vertical:paragraph; mso-element-anchor-horizontal:margin;mso-element-left:-6.7pt;mso-element-top: 7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">å¹?/span><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt; font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">æœ?/span><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt; font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">日至</span><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt; font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">å¹?/span><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt; font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">æœ?/span><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt; font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">æ—?/span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> </tr> <tr style="height:23.7pt;mso-height-rule:exactly"> <td style="width:37.3pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:23.7pt;mso-height-rule:exactly" width="50"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">联系电话</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="7" style="width:277.05pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:23.7pt; mso-height-rule:exactly" width="369"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly; mso-element:frame;mso-element-frame-hspace:9.0pt;mso-element-wrap:around; mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal:margin; mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">区号</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">     </span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">电话</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">                  </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">手机</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="2" style="width:49.75pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:23.7pt; mso-height-rule:exactly" width="66"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">传真号码</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="2" style="width:84.1pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:23.7pt; mso-height-rule:exactly" width="112"> <p align="left" class="MsoNormal"><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span></p> <p align="left" class="MsoNormal"><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span></p> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly; mso-element:frame;mso-element-frame-hspace:9.0pt;mso-element-wrap:around; mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal:margin; mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span></p> </td> </tr> <tr style="height:21.7pt;mso-height-rule:exactly"> <td style="width:37.3pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:21.7pt;mso-height-rule:exactly" width="50"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">E-MAIL<o:p></o:p></span></p> </td> <td colspan="7" style="width:277.05pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.7pt; mso-height-rule:exactly" width="369"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly; mso-element:frame;mso-element-frame-hspace:9.0pt;mso-element-wrap:around; mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal:margin; mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span></p> </td> <td colspan="2" style="width:49.75pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.7pt; mso-height-rule:exactly" width="66"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">邮政编码</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="2" style="width:84.1pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.7pt; mso-height-rule:exactly" width="112"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span></p> </td> </tr> <tr style="height:34.5pt;mso-height-rule:exactly"> <td style="width:37.3pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:34.5pt;mso-height-rule:exactly" width="50"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">有效联系地址</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="11" style="width:410.9pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:34.5pt; mso-height-rule:exactly" width="548"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly; mso-element:frame;mso-element-frame-hspace:9.0pt;mso-element-wrap:around; mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal:margin; mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span></p> </td> </tr> <tr style="height:88.35pt;mso-height-rule:exactly"> <td style="width:37.3pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:88.35pt;mso-height-rule:exactly" width="50"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">职业</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="11" style="width:410.9pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:88.35pt; mso-height-rule:exactly" width="548"> <p class="MsoNormal" style="line-height:150%;mso-element:frame;mso-element-frame-hspace: 9.0pt;mso-element-wrap:around;mso-element-anchor-vertical:paragraph; mso-element-anchor-horizontal:margin;mso-element-left:-6.7pt;mso-element-top: 7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">政府机关□ 邮电通讯□ 计算机、网络□ 商贸□ 金融□ 税务□ 咨询□ 社会服务â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:150%;mso-element:frame;mso-element-frame-hspace: 9.0pt;mso-element-wrap:around;mso-element-anchor-vertical:paragraph; mso-element-anchor-horizontal:margin;mso-element-left:-6.7pt;mso-element-top: 7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">旅游□ 医疗□ 房地产□ 交通运输□ 法律、司法□ 文体□ 媒体、广告□ 科教â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:150%;mso-element:frame;mso-element-frame-hspace: 9.0pt;mso-element-wrap:around;mso-element-anchor-vertical:paragraph; mso-element-anchor-horizontal:margin;mso-element-left:-6.7pt;mso-element-top: 7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">农林牧渔□ 制造业□ 学生□ 待业□ 退休□ 私营企业主□</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:150%;mso-element:frame;mso-element-frame-hspace: 9.0pt;mso-element-wrap:around;mso-element-anchor-vertical:paragraph; mso-element-anchor-horizontal:margin;mso-element-left:-6.7pt;mso-element-top: 7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">如所从事行业未在上述选项中请具体填写<u>      </u></span><u><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></u></p> </td> </tr> <tr style="height:93.85pt;mso-height-rule:exactly"> <td style="width:37.3pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:93.85pt;mso-height-rule:exactly" width="50"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">诚信记录</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="11" style="width:410.9pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:93.85pt; mso-height-rule:exactly" width="548"> <p class="MsoNormal" style="line-height:150%;mso-element:frame;mso-element-frame-hspace: 9.0pt;mso-element-wrap:around;mso-element-anchor-vertical:paragraph; mso-element-anchor-horizontal:margin;mso-element-left:-6.7pt;mso-element-top: 7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">是否有来源于以下机构的不良诚信记录?</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:150%;mso-element:frame;mso-element-frame-hspace: 9.0pt;mso-element-wrap:around;mso-element-anchor-vertical:paragraph; mso-element-anchor-horizontal:margin;mso-element-left:-6.7pt;mso-element-top: 7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">中国人民银行征信中心□ 最高人民法院失信被执行人名单□ 工商行政管理机构â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:150%;mso-element:frame;mso-element-frame-hspace: 9.0pt;mso-element-wrap:around;mso-element-anchor-vertical:paragraph; mso-element-anchor-horizontal:margin;mso-element-left:-6.7pt;mso-element-top: 7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">税务管理机构□ 监管机构、自律组织□ 投资者在期货经营机构从事投资活动时产生的违约失信行为记录□过度维权等不当行为信息□ 其他组织<u>       </u>无不良诚信记录□</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> </td> </tr> <tr style="height:22.25pt;mso-height-rule:exactly"> <td colspan="2" style="width:87.1pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:22.25pt;mso-height-rule:exactly" width="116"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">是否存在实际控制关系</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="4" style="width:142.25pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:22.25pt; mso-height-rule:exactly" width="190"> <p align="left" class="MsoNormal" style="margin-left: 7.5pt; line-height: 12pt;"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">是□</span><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt; font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">否□</span><u><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></u></p> </td> <td colspan="3" style="width:99.55pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:22.25pt; mso-height-rule:exactly" width="133"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">交易的实际受益人</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="3" style="width:119.3pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:22.25pt; mso-height-rule:exactly" width="159"> <p class="MsoNormal" style="text-indent:9.0pt;mso-char-indent-count:1.0; line-height:12.0pt;mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace: 9.0pt;mso-element-wrap:around;mso-element-anchor-vertical:paragraph; mso-element-anchor-horizontal:margin;mso-element-left:-6.7pt;mso-element-top: 7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">本人â–?/span><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt; font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">其他â–?/span><u><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></u></p> </td> </tr> <tr style="height:19.45pt"> <td colspan="2" style="width:87.1pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:19.45pt" width="116"> <p class="MsoNormal" style="line-height:150%;mso-element:frame;mso-element-frame-hspace: 9.0pt;mso-element-wrap:around;mso-element-anchor-vertical:paragraph; mso-element-anchor-horizontal:margin;mso-element-left:-6.7pt;mso-element-top: 7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">参与期货的主要交易类åž?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> </td> <td colspan="10" style="width:361.1pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:19.45pt" width="481"> <p class="MsoNormal" style="text-indent:4.5pt;mso-char-indent-count:.5; line-height:150%;mso-element:frame;mso-element-frame-hspace:9.0pt;mso-element-wrap: around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">投机□套利□套保â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> </td> </tr> <tr style="height:24.0pt"> <td rowspan="3" style="width:37.3pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:24.0pt" width="50"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly;mso-element:frame;mso-element-frame-hspace:9.0pt; mso-element-wrap:around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">投资目标</span><span lang="EN-US" style="font-size:7.5pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td style="width:49.8pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:24.0pt" width="66"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly; mso-element:frame;mso-element-frame-hspace:9.0pt;mso-element-wrap:around; mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal:margin; mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">投资期限</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="10" style="width:361.1pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:24.0pt" width="481"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly; mso-element:frame;mso-element-frame-hspace:9.0pt;mso-element-wrap:around; mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal:margin; mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">0</span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">å¹?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">-1</span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">年□</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">    1</span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">å¹?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">-5</span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">年□</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">    5</span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">年以上□</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> </tr> <tr style="height:20.8pt"> <td style="width:49.8pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.8pt" width="66"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly; mso-element:frame;mso-element-frame-hspace:9.0pt;mso-element-wrap:around; mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal:margin; mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">投资品种</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="10" style="width:361.1pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.8pt" width="481"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly; mso-element:frame;mso-element-frame-hspace:9.0pt;mso-element-wrap:around; mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal:margin; mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">期货□ 期权â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">    </span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">资管产品â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">    </span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">其他â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> </tr> <tr style="height:20.45pt"> <td style="width:49.8pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.45pt" width="66"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly; mso-element:frame;mso-element-frame-hspace:9.0pt;mso-element-wrap:around; mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal:margin; mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">期望收益</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="10" style="width:361.1pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.45pt" width="481"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly; mso-element:frame;mso-element-frame-hspace:9.0pt;mso-element-wrap:around; mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal:margin; mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">稳健â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">    </span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">成长â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">    </span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">激进□</span><b><span lang="EN-US" style="font-size:10.0pt"><o:p></o:p></span></b></p> </td> </tr> <tr style="height:152.75pt"> <td colspan="12" style="width:448.2pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:152.75pt" width="598"> <p class="MsoNormal" style="line-height:150%;mso-element:frame;mso-element-frame-hspace: 9.0pt;mso-element-wrap:around;mso-element-anchor-vertical:paragraph; mso-element-anchor-horizontal:margin;mso-element-left:-6.7pt;mso-element-top: 7.9pt;mso-height-rule:exactly"><b><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">声明ï¼?/span></b><b><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p class="MsoNormal" style="line-height:150%;mso-element:frame;mso-element-frame-hspace: 9.0pt;mso-element-wrap:around;mso-element-anchor-vertical:paragraph; mso-element-anchor-horizontal:margin;mso-element-left:-6.7pt;mso-element-top: 7.9pt;mso-height-rule:exactly"><b><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%">1</span></b><b><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.本人承诺以上填写内容和授权事项均属实,如因以上提供的信息不真实、不准确、不完整的而产生的风险和后果,全部由本人承担;如上述内容发生变更将及时通知贵公司,如因未能及时完成告知由此产生的后果将由本人承担ã€?/span></b><b><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p class="MsoNormal" style="line-height:150%;mso-element:frame;mso-element-frame-hspace: 9.0pt;mso-element-wrap:around;mso-element-anchor-vertical:paragraph; mso-element-anchor-horizontal:margin;mso-element-left:-6.7pt;mso-element-top: 7.9pt;mso-height-rule:exactly"><b><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%">2</span></b><b><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.本人有能力承担因参与期货交易而产生的风险,并保证参与交易资金来源的合法性和所提供资料的真实性ã€?/span></b><b><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p class="MsoNormal" style="line-height:150%;mso-element:frame;mso-element-frame-hspace: 9.0pt;mso-element-wrap:around;mso-element-anchor-vertical:paragraph; mso-element-anchor-horizontal:margin;mso-element-left:-6.7pt;mso-element-top: 7.9pt;mso-height-rule:exactly"><b><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">承诺遵守期货交易所的各项业务规则,自愿承担期货交易结果ã€?/span></b><b><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="margin-right:18.0pt;text-align:center; line-height:150%;mso-element:frame;mso-element-frame-hspace:9.0pt;mso-element-wrap: around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">投资者(签章):</span><span lang="EN-US"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="margin-right:18.0pt;text-align:center; text-indent:15.8pt;mso-char-indent-count:1.5;line-height:12.0pt;mso-line-height-rule: exactly;mso-element:frame;mso-element-frame-hspace:9.0pt;mso-element-wrap: around;mso-element-anchor-vertical:paragraph;mso-element-anchor-horizontal: margin;mso-element-left:-6.7pt;mso-element-top:7.9pt;mso-height-rule:exactly"><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman""> 日期ï¼?/span><span lang="EN-US">    </span></b><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">å¹?/span><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">æœ?/span><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">æ—?/span> </b><b><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> </td> </tr> <tr style="mso-yfti-lastrow:yes;height:22.15pt"> <td colspan="12" style="width:448.2pt;border:none;mso-border-top-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:22.15pt" width="598"> <p class="MsoNormal" style="line-height:150%;mso-element:frame;mso-element-frame-hspace: 9.0pt;mso-element-wrap:around;mso-element-anchor-vertical:paragraph; mso-element-anchor-horizontal:margin;mso-element-left:-6.7pt;mso-element-top: 7.9pt;mso-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt;line-height:150%">*</span><span style="font-size: 9.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">证件类型,指合法有效的身份证明文件ã€?/span><b><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> </td> </tr> <!--[if !supportMisalignedColumns]--> <tr height="0"> <td style="border:none" width="56"> </td> <td style="border:none" width="66"> </td> <td style="border:none" width="19"> </td> <td style="border:none" width="66"> </td> <td style="border:none" width="95"> </td> <td style="border:none" width="10"> </td> <td style="border:none" width="66"> </td> <td style="border:none" width="47"> </td> <td style="border:none" width="19"> </td> <td style="border:none" width="47"> </td> <td style="border:none" width="67"> </td> <td style="border:none" width="45"> </td> </tr> <!--[endif]--> </tbody> </table> <p align="center" class="MsoNormal" style="text-align:center;mso-line-height-alt: 12.0pt;mso-outline-level:2"><b><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">投资者基本信息表(机构)</span></b><b><span lang="EN-US" style="font-size:18.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-1.7pt;border-collapse:collapse;mso-table-layout-alt:fixed; border:none;mso-border-alt:solid windowtext .5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:.5pt solid windowtext;mso-border-insidev:.5pt solid windowtext"> <tbody> <tr style="height:20.9pt;mso-height-rule:exactly"> <td style="width:63.8pt;border:solid windowtext 1.0pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt;mso-height-rule: exactly" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">单位全称</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="4" style="width:134.85pt;border:solid windowtext 1.0pt; border-left:none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt;mso-height-rule: exactly" width="180"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"> </span></p> </td> <td colspan="4" style="width:90.3pt;border:solid windowtext 1.0pt; border-left:none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt;mso-height-rule: exactly" width="120"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">单位性质、资è´?/span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="5" style="width:150.5pt;border:solid windowtext 1.0pt; border-left:none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt;mso-height-rule: exactly" width="201"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"> </span></p> </td> </tr> <tr style="height:26.1pt;mso-height-rule:exactly"> <td style="width:63.8pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:26.1pt;mso-height-rule:exactly" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">营业执照</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">登记证号</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="13" style="width:375.65pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:26.1pt; mso-height-rule:exactly" width="501"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"> </span></p> </td> </tr> <tr style="height:20.9pt;mso-height-rule:exactly"> <td style="width:63.8pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt;mso-height-rule:exactly" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">经营范围</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="13" style="width:375.65pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="501"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"> </span></p> </td> </tr> <tr style="height:20.9pt;mso-height-rule:exactly"> <td style="width:63.8pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt;mso-height-rule:exactly" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">实际受益äº?/span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="4" style="width:134.85pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="180"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"> </span></p> </td> <td colspan="6" style="width:127.8pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="170"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">控股股东或实际控制人</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="3" style="width:113.0pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="151"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"> </span></p> </td> </tr> <tr style="height:64.55pt;mso-height-rule:exactly"> <td style="width:63.8pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:64.55pt;mso-height-rule:exactly" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">投资者类åž?/span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="13" style="width:375.65pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:64.55pt; mso-height-rule:exactly" width="501"> <p align="left" class="MsoNormal"><span style="font-size: 9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">工业â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">  </span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">农业â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">  </span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">商业贸易â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">  </span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">多元化集团公司□</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">  </span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">房地产□</span><span style="font-size: 9.0pt;mso-bidi-font-size:10.0pt"> </span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">投资、咨询公司□</span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">财务公司â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> <p align="left" class="MsoNormal"><span style="font-size: 9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">信托â–?/span><span style="font-size: 9.0pt;mso-bidi-font-size:10.0pt"> </span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">保险公司â–?/span><span style="font-size: 9.0pt;mso-bidi-font-size:10.0pt"> </span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">证券集合理财â–?/span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">证券自营â–?/span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">基金专户理财â–?/span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">封闭式基金□</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">  QFII</span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> <p align="left" class="MsoNormal"><span style="font-size: 9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">保本基金â–?/span><span style="font-size: 9.0pt;mso-bidi-font-size:10.0pt"> </span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">证券定向理财â–?/span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">开放式基金(不包括</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">ETF</span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">)□</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">  ETF</span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">â–?/span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">企业年金â–?/span><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt; font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">社保基金□银行自营□</span><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt; font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">银行理财â–?/span><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt; font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">其他<u>    </u></span><span lang="EN-US" style="font-size: 9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> </tr> <tr style="height:89.5pt;mso-height-rule:exactly"> <td style="width:63.8pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:89.5pt;mso-height-rule:exactly" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">诚信纪录</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="13" style="width:375.65pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:89.5pt; mso-height-rule:exactly" width="501"> <p class="MsoNormal" style="line-height:150%"><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">是否有来源于以下机构的不良诚信记录?</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:150%"><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">中国人民银行征信中心□ 最高人民法院失信被执行人名单□ 工商行政管理机构â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:150%"><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">税务管理机构□ 监管机构、自律组织□ 投资者在期货经营机构从事投资活动时产生的违约失信行为记录□过度维权等不当行为信息□ 其他组织<u>       </u>无不良诚信记录□</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> </td> </tr> <tr style="height:20.9pt;mso-height-rule:exactly"> <td style="width:63.8pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt;mso-height-rule:exactly" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">法定代表äº?/span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="3" style="width:74.75pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="100"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"> </span></p> </td> <td colspan="2" style="width:63.7pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">证件类型</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td style="width:70.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt;mso-height-rule: exactly" width="94"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"> </span></p> </td> <td colspan="3" style="width:52.25pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="70"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">证件号码</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="4" style="width:114.35pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="152"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"> </span></p> </td> </tr> <tr style="height:20.9pt;mso-height-rule:exactly"> <td style="width:63.8pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt;mso-height-rule:exactly" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">传真号码</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="3" style="width:74.75pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="100"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"> </span></p> </td> <td colspan="2" style="width:63.7pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">联系电话</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="8" style="width:237.2pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="316"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">区号电话手机</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> </tr> <tr style="height:20.9pt;mso-height-rule:exactly"> <td style="width:63.8pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt;mso-height-rule:exactly" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">经办äº?/span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="3" style="width:74.75pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="100"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"> </span></p> </td> <td colspan="2" style="width:63.7pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">证件类型</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="2" style="width:71.75pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="96"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"> </span></p> </td> <td colspan="4" style="width:52.85pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="70"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">证件号码</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="2" style="width:112.6pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="150"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"> </span></p> </td> </tr> <tr style="height:20.9pt;mso-height-rule:exactly"> <td style="width:63.8pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt;mso-height-rule:exactly" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">传真号码</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="3" style="width:74.75pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="100"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><u><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"> </span></u></p> </td> <td colspan="2" style="width:63.7pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">联系电话</span><u><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></u></p> </td> <td colspan="8" style="width:237.2pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="316"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">区号电话手机</span><u><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></u></p> </td> </tr> <tr style="height:20.9pt;mso-height-rule:exactly"> <td style="width:63.8pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt;mso-height-rule:exactly" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">注册地址</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="13" style="width:375.65pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="501"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly"><u><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span></u></p> </td> </tr> <tr style="height:20.9pt;mso-height-rule:exactly"> <td style="width:63.8pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt;mso-height-rule:exactly" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">办公地址</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="13" style="width:375.65pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="501"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly"><u><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span></u></p> </td> </tr> <tr style="height:25.3pt;mso-height-rule:exactly"> <td colspan="3" style="width:134.8pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:25.3pt;mso-height-rule:exactly" width="180"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">所属行业是否与期货交易品种有关</span><span lang="EN-US" style="font-size: 9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="3" style="width:67.45pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:25.3pt; mso-height-rule:exactly" width="90"> <p align="center" class="MsoNormal" style="text-align:center;text-indent:4.5pt; mso-char-indent-count:.5;line-height:12.0pt;mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">有□</span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">无□</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="7" style="width:129.85pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:25.3pt; mso-height-rule:exactly" width="173"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">参与期货的主要交易类åž?/span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td style="width:107.35pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:25.3pt; mso-height-rule:exactly" width="143"> <p align="center" class="MsoNormal" style="text-align:center;text-indent:4.5pt; mso-char-indent-count:.5;line-height:12.0pt;mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">投机â–?/span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">套利â–?/span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">套保â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> </tr> <tr style="height:20.9pt;mso-height-rule:exactly"> <td style="width:63.8pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt;mso-height-rule:exactly" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">资金来源</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="5" style="width:138.45pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="185"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">自有□其他□</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="7" style="width:129.85pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="173"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">是否存在实际控制关系</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td style="width:107.35pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.9pt; mso-height-rule:exactly" width="143"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">是□</span><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt"> </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt; font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">否□</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> </tr> <tr style="height:13.2pt;mso-height-rule:exactly"> <td rowspan="3" style="width:63.8pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:13.2pt;mso-height-rule:exactly" width="85"> <p align="center" class="MsoNormal" style="text-align:center;line-height:20.0pt; mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">投资目标</span><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> <p align="center" class="MsoNormal" style="margin-right:18.0pt;text-align:center; text-indent:234.0pt;mso-char-indent-count:26.0;line-height:12.0pt;mso-line-height-rule: exactly"><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"> </span></p> </td> <td style="width:49.65pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:13.2pt; mso-height-rule:exactly" width="66"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">投资期限</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="12" style="width:326.0pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:13.2pt; mso-height-rule:exactly" width="435"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly"><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">0</span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">å¹?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">-1</span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">年□</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">    1</span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">å¹?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">-5</span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">年□</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">    5</span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">年以上□</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> </tr> <tr style="height:14.85pt;mso-height-rule:exactly"> <td style="width:49.65pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:14.85pt; mso-height-rule:exactly" width="66"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">投资品种</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="12" style="width:326.0pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:14.85pt; mso-height-rule:exactly" width="435"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">期货期权â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">    </span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">资管产品â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">     </span><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">其他â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> </tr> <tr style="height:22.75pt;mso-height-rule:exactly"> <td style="width:49.65pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:22.75pt; mso-height-rule:exactly" width="66"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">期望收益</span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> </td> <td colspan="12" style="width:326.0pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:22.75pt; mso-height-rule:exactly" width="435"> <p class="MsoNormal" style="line-height:12.0pt;mso-line-height-rule:exactly"><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">稳健â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">    </span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">成长â–?/span><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt">    </span><span style="font-size:9.0pt; mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">激进□</span><b><span lang="EN-US" style="font-size:10.0pt"><o:p></o:p></span></b></p> </td> </tr> <tr style="mso-yfti-lastrow:yes;height:183.35pt;mso-height-rule:exactly"> <td colspan="14" style="width:439.45pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:183.35pt;mso-height-rule:exactly" valign="top" width="586"> <p align="left" class="MsoNormal" style="line-height: 20pt;"><b><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">声明ï¼?/span></b><b><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <p class="MsoNormal" style="line-height:150%"><b><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt; line-height:150%">1</span></b><b><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.本机构承诺以上填写内容和授权事项均属实,如因以上提供的信息不真实、不准确、不完整的而产生的风险和后果,全部由本机构承担;如上述内容发生变更将及时通知贵公司,如因未能及时完成告知由此产生的后果将由本机构承担ã€?/span></b><b><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p class="MsoNormal" style="line-height:150%"><b><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt; line-height:150%">2</span></b><b><span style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.本机构有能力承担因参与期货交易而产生的风险,并保证参与交易资金来源的合法性和所提供资料的真实性。承诺遵守期货交易所的各项业务规则,自愿承担期货交易结果ã€?/span></b><span lang="EN-US" style="font-size:9.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="right" class="MsoNormal" style="text-align:right"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">法定代表人(负责人)</span><span lang="EN-US">/</span></b><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">或开户代理人(签章)ï¼?/span><span lang="EN-US"><o:p></o:p></span></b></p> <p class="MsoNormal" style="margin-right:39.0pt;text-indent:200.3pt;mso-char-indent-count: 19.0;word-break:break-all"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">单位盖章ï¼?/span><span lang="EN-US"><o:p></o:p></span></b></p> <p class="MsoNormal" style="margin-right:39.0pt;text-indent:200.3pt;mso-char-indent-count: 19.0;word-break:break-all"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">日期ï¼?/span><span lang="EN-US">    </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">å¹?/span><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">æœ?/span><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">æ—?/span><span lang="EN-US"><o:p></o:p></span></b></p> </td> </tr> <!--[if !supportMisalignedColumns]--> <tr height="0"> <td style="border:none" width="85"> </td> <td style="border:none" width="66"> </td> <td style="border:none" width="28"> </td> <td style="border:none" width="5"> </td> <td style="border:none" width="80"> </td> <td style="border:none" width="5"> </td> <td style="border:none" width="94"> </td> <td style="border:none" width="2"> </td> <td style="border:none" width="20"> </td> <td style="border:none" width="48"> </td> <td style="border:none" width="2"> </td> <td style="border:none" width="1"> </td> <td style="border:none" width="7"> </td> <td style="border:none" width="143"> </td> </tr> <!--[endif]--> </tbody> </table> <p style="text-align: center;"> </p> <p align="left" class="MsoNormal"><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312">附件<span lang="EN-US">3</span></span><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;font-family:宋体"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;mso-line-height-alt: 12.0pt;mso-outline-level:2"><b><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">专业投资者申请书</span></b><b><span lang="EN-US" style="font-size:15.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-1.7pt;border-collapse:collapse;mso-table-layout-alt:fixed; border:none;mso-border-alt:solid windowtext .5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:.5pt solid windowtext;mso-border-insidev:.5pt solid windowtext"> <tbody> <tr style="height:27.35pt"> <td rowspan="3" style="width:35.45pt;border:solid windowtext 1.0pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:27.35pt" width="47"> <p align="center" class="MsoNormal" style="text-align:center;line-height:115%; layout-grid-mode:char"><span style="font-size:14.0pt;mso-bidi-font-size:10.0pt; line-height:115%;font-family:宋体">投资者申请栏<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:99.25pt;border:solid windowtext 1.0pt; border-left:none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:27.35pt" width="132"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">投资者姓å?span lang="EN-US">/</span>名称<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:4.0cm;border:solid windowtext 1.0pt;border-left: none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:27.35pt" width="151"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td style="width:99.2pt;border:solid windowtext 1.0pt;border-left: none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:27.35pt" width="132"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">金融账号<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:99.25pt;border:solid windowtext 1.0pt; border-left:none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:27.35pt" width="132"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr style="height:24.45pt"> <td colspan="2" style="width:99.25pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:24.45pt" width="132"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">身份证明文件类别<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:4.0cm;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:24.45pt" width="151"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> <td style="width:99.2pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:24.45pt" width="132"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">身份证明文件号码</span><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"><o:p></o:p></span></p> </td> <td colspan="2" style="width:99.25pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:24.45pt" width="132"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> </td> </tr> <tr style="height:126.9pt"> <td colspan="6" style="width:411.1pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:126.9pt" valign="top" width="548"> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><b><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">本人(机构)自愿申请成为专业投资者,已按要求提供财产状况、投资经历、从业经历等相关证明材料,承诺所提供材料真实、准确、完整,并符合下述相应类别的各项要求ã€?/span></b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">特此申请ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt; font-family:宋体">                                     <b>   </b></span><b><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">投资者(签章):<span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">                      <o:p></o:p></span></b></p> <p class="MsoNormal" style="text-indent:231.9pt;mso-char-indent-count:22.0; line-height:12.0pt;layout-grid-mode:char"><b><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">日期ï¼?span lang="EN-US">  </span>å¹?span lang="EN-US">   </span>æœ?span lang="EN-US">   </span>æ—?/span></b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"><o:p></o:p></span></p> </td> </tr> <tr style="height:21.65pt"> <td rowspan="7" style="width:35.45pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:21.65pt" width="47"> <p align="center" class="MsoNormal" style="text-align:center;line-height:115%; layout-grid-mode:char"><span style="font-size:14.0pt;mso-bidi-font-size:10.0pt; line-height:115%;font-family:宋体">经营机构复核æ ?/span><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:115%;font-family:宋体"><o:p></o:p></span></p> </td> <td style="width:2.0cm;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.65pt" width="76"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">类型<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:269.35pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.65pt" width="359"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">复核内容<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:3.0cm;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.65pt" width="113"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><span style="mso-bidi-font-size:10.5pt;font-family: 宋体">是否符合<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="height:22.25pt"> <td rowspan="3" style="width:2.0cm;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:22.25pt" width="76"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">机构<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:269.35pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:22.25pt" width="359"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">最è¿?span lang="EN-US">1</span>年末净资产不低äº?span lang="EN-US">2000</span>万元人民å¸?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:3.0cm;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:22.25pt" width="113"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="height:20.55pt"> <td colspan="4" style="width:269.35pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.55pt" width="359"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">最è¿?span lang="EN-US">1</span>年末金融资产不低äº?span lang="EN-US">1000</span>万元人民å¸?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:3.0cm;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.55pt" width="113"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="height:33.2pt"> <td colspan="4" style="width:269.35pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:33.2pt" width="359"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">具有<span lang="EN-US">2</span>年及以上从事证券、基金、期货、黄金、外汇等投资经历<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:3.0cm;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:33.2pt" width="113"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="height:45.45pt"> <td rowspan="2" style="width:2.0cm;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:45.45pt" width="76"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">自然äº?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:269.35pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:45.45pt" width="359"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">金融类资产不低于<span lang="EN-US">500</span>万元人民币,或者最è¿?span lang="EN-US">3</span>年个人年均收入不低于<span lang="EN-US">50</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:3.0cm;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:45.45pt" width="113"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="height:83.8pt"> <td colspan="4" style="width:269.35pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:83.8pt" width="359"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">具有<span lang="EN-US">2</span>年及以上从事证券、基金、期货、黄金、外汇等投资经历,或者具æœ?span lang="EN-US">2</span>年以上金融产品设计、投资、风险管理及相关工作经历,或者属于《办法》第八条第一项规定的专业投资者的高级管理人员、获得职业资格认证的从事金融相关业务的注册会计师和律å¸?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:3.0cm;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:83.8pt" width="113"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-lastrow:yes;height:137.6pt"> <td colspan="6" style="width:411.1pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:137.6pt" valign="top" width="548"> <p align="left" class="MsoNormal" style="line-height: 15pt;"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">初审人评估意见:</span></b><b><span lang="EN-US"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="text-align:center"><b><span lang="EN-US"> </span></b></p> <p align="center" class="MsoNormal" style="text-align:center"><b><span lang="EN-US"> </span></b></p> <p align="left" class="MsoNormal"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">复核人评估意见:</span></b><b><span lang="EN-US"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="text-align:center"><span lang="EN-US"> </span></p> <p align="center" class="MsoNormal" style="text-align:center"><span lang="EN-US"> </span></p> <p align="left" class="MsoNormal"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">初审人:</span></b><b><span lang="EN-US">                                    </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">复核人:</span></b><b><span lang="EN-US"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="text-align:center"><b><span lang="EN-US"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman"">日 期:</span></b><b><span lang="EN-US">     </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">å¹?/span></b><b><span lang="EN-US">   </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">æœ?/span></b><b><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">æ—?/span></b><b><span lang="EN-US">                    </span></b><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman"">日 期:</span></b><b><span lang="EN-US">    </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">å¹?/span></b><b><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">æœ?/span></b><b><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">æ—?/span></b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"><o:p></o:p></span></p> </td> </tr> <!--[if !supportMisalignedColumns]--> <tr height="0"> <td style="border:none" width="47"> </td> <td style="border:none" width="76"> </td> <td style="border:none" width="57"> </td> <td style="border:none" width="151"> </td> <td style="border:none" width="132"> </td> <td style="border:none" width="19"> </td> <td style="border:none" width="113"> </td> </tr> <!--[endif]--> </tbody> </table> <p align="left" class="MsoNormal"><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size: 10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312"> </span></p> <p align="left" class="MsoNormal"><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size: 10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312"> </span></p> <p class="MsoNormal"><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312">附件ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;mso-line-height-alt: 12.0pt;mso-outline-level:2"><b><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">专业投资者告知及确认ä¹?/span></b><b><span lang="EN-US" style="font-size:15.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-1.7pt;border-collapse:collapse;mso-table-layout-alt:fixed; border:none;mso-border-alt:solid windowtext .5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:.5pt solid windowtext;mso-border-insidev:.5pt solid windowtext"> <tbody> <tr style="page-break-inside:avoid;height:297.05pt"> <td style="width:35.45pt;border:solid windowtext 1.0pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:297.05pt" width="47"> <p align="center" class="MsoNormal" style="text-align:center;line-height:115%; layout-grid-mode:char"><span style="font-size:14.0pt;mso-bidi-font-size:10.0pt; line-height:115%;font-family:宋体">经营机构告知æ ?/span><span lang="EN-US" style="font-size:11.0pt;mso-bidi-font-size:10.0pt;line-height:115%; font-family:宋体"><o:p></o:p></span></p> </td> <td style="width:404.0pt;border:solid windowtext 1.0pt;border-left: none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:297.05pt" width="539"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; layout-grid-mode:char"><span lang="EN-US" style="font-size:11.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="line-height: 150%;"><b><span style="font-size:11.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:宋体">尊敬的投资è€?/span></b><span style="font-size:11.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体">(投资者姓å?span lang="EN-US">/</span>名称:        ,身份证明文件号码:          ):<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 22pt; line-height: 150%;"><span style="font-size:11.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:宋体">根据您的申请及财产状况、投资经验等相关证明材料<span lang="EN-US">,</span>经审慎评估,您被认定为专业投资者。现将有关事项告知如下:<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 150%;"><b><span style="font-size:11.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:宋体">  一、经营机构在向专业投资者销售产品或提供服务时,对专业投资者履行的适当性职责区别于普通投资者,普通投资者在信息告知、风险警示、适当性匹配等方面享有特别保护ã€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 21.65pt; line-height: 150%;"><b><span style="font-size:11.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体">二ã€?/span></b><b><span style="font-family:宋体">专业投资者具备必要的投资知识和经验,自行做出投资决定并自主承担投资风险ã€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 21.65pt; line-height: 150%;"><b><span style="font-size:11.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体">三、当您提供的财产状况、交易情况、工作经历等信息发生重大变化时,请及时通知我公司,经复核如不再符合专业投资者的申请条件,将不再被认定为专业投资者ã€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; layout-grid-mode:char"><span lang="EN-US" style="font-family:宋体"> </span></p> <p align="center" class="MsoNormal" style="margin-right:21.0pt;text-align:center; line-height:150%;layout-grid-mode:char"><b><span lang="EN-US" style="font-family:宋体">   XX</span></b><b><span style="font-family:宋体">公司(签章)ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="margin-right:21.0pt;text-align:center; line-height:150%;layout-grid-mode:char"><b><span lang="EN-US" style="font-family:宋体"> </span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; layout-grid-mode:char"><b><span lang="EN-US" style="font-family:宋体"> </span></b><b><span style="font-family:宋体">日期ï¼?span lang="EN-US">   </span>å¹?span lang="EN-US">  </span>æœ?span lang="EN-US">  </span>æ—?/span></b><span lang="EN-US" style="font-family:宋体"><o:p></o:p></span></p> </td> </tr> <tr style="mso-yfti-lastrow:yes;page-break-inside:avoid;height:269.65pt"> <td style="width:35.45pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:269.65pt" width="47"> <p align="center" class="MsoNormal" style="text-align:center;text-indent:28.0pt; mso-char-indent-count:2.0;line-height:115%;layout-grid-mode:char"><span style="font-size:14.0pt;mso-bidi-font-size:10.0pt;line-height:115%; font-family:宋体">å®?span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:115%; layout-grid-mode:char"><span style="font-size:14.0pt;mso-bidi-font-size:10.0pt; line-height:115%;font-family:宋体">投资者确认栏</span><b><span lang="EN-US" style="font-family:宋体"><o:p></o:p></span></b></p> </td> <td style="width:404.0pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:269.65pt" valign="top" width="539"> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char"><b><span lang="EN-US" style="font-family:宋体"> </span></b></p> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char"><b><span style="font-family:宋体">投资者确认:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%;layout-grid-mode:char"><span style="font-family:宋体">本人</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">(机构)</span><span style="font-family:宋体">自愿申请被认定为专业投资者,已阅读了上述告知内容,确认相关申请资料真实、准确、完整,并知悉贵公司根据申请资料将本äº?/span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">(机构)</span><span style="font-family:宋体">认定为专业投资者。对于贵公司销售的产品或者提供的服务,本äº?/span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">(机构)</span><span style="font-family:宋体">具有必要的投资知识和经验,能够自行进行专业判断,并自主承担投资风险ã€?b><span lang="EN-US"><o:p></o:p></span></b></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%;layout-grid-mode:char"><span style="font-family:宋体">本人</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">(机构)</span><span style="font-family:宋体">确认已了解贵公司对专业投资者和普通投资者在履行适当性职责方面的区别,本äº?/span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">(机构)</span><span style="font-family:宋体">知悉可以自愿申请或因不再符合专业投资者的条件,而不再被认定为专业投资者的规则ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%;layout-grid-mode:char"><span lang="EN-US" style="font-family: 宋体"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;line-height:150%;vertical-align: baseline"><b><span style="font-family: 宋体">    投资者(自然人签å?span lang="EN-US">/</span>机构签章、授权代表人签名):<span lang="EN-US">       <o:p></o:p></span></span></b></p> <p class="MsoNormal" style="text-indent:21.0pt;line-height:150%;vertical-align: baseline"><b><span lang="EN-US" style="font-family:宋体">        </span></b><b><span style="font-family:宋体">日期ï¼?span lang="EN-US">   </span>å¹?span lang="EN-US">  </span>æœ?span lang="EN-US">  </span>æ—?span lang="EN-US">  </span></span></b><span lang="EN-US" style="font-family:宋体"><o:p></o:p></span></p> </td> </tr> </tbody> </table> <p class="MsoNormal"><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312">附件5    </span><b><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">普通投资者转化为专业投资者申请书</span></b><b><span lang="EN-US" style="font-size:15.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-1.7pt;border-collapse:collapse;mso-table-layout-alt:fixed; border:none;mso-border-alt:solid windowtext .5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:.5pt solid windowtext;mso-border-insidev:.5pt solid windowtext"> <tbody> <tr style="height:29.35pt"> <td rowspan="3" style="width:35.9pt;border:solid windowtext 1.0pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:29.35pt" width="48"> <p align="center" class="MsoNormal" style="text-align:center;line-height:115%; layout-grid-mode:char"><span style="font-size:14.0pt;mso-bidi-font-size:10.0pt; line-height:115%;font-family:宋体">投资者申请栏<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:98.8pt;border:solid windowtext 1.0pt; border-left:none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:29.35pt" width="132"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">投资者姓å?/span><span lang="EN-US">/</span><span style="font-family: 宋体;mso-ascii-font-family:"Times New Roman"">名称</span><span lang="EN-US"><o:p></o:p></span></p> </td> <td style="width:106.3pt;border:solid windowtext 1.0pt;border-left: none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:29.35pt" width="142"> <p class="MsoNormal"><span lang="EN-US"> </span></p> </td> <td style="width:99.2pt;border:solid windowtext 1.0pt;border-left: none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:29.35pt" width="132"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">金融账号</span><span lang="EN-US"><o:p></o:p></span></p> </td> <td colspan="2" style="width:100.8pt;border:solid windowtext 1.0pt; border-left:none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:29.35pt" width="134"> <p align="center" class="MsoNormal" style="text-align:center"><span lang="EN-US"> </span></p> </td> </tr> <tr style="height:1.0cm"> <td colspan="2" style="width:98.8pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:1.0cm" width="132"> <p class="MsoNormal"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">身份证明文件类别</span><span lang="EN-US"><o:p></o:p></span></p> </td> <td style="width:106.3pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:1.0cm" width="142"> <p align="center" class="MsoNormal" style="text-align:center"><span lang="EN-US"> </span></p> </td> <td style="width:99.2pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:1.0cm" width="132"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">身份证明文件号码</span><span lang="EN-US"><o:p></o:p></span></p> </td> <td colspan="2" style="width:100.8pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:1.0cm" width="134"> <p align="center" class="MsoNormal" style="text-align:center"><span lang="EN-US"> </span></p> </td> </tr> <tr style="height:159.75pt"> <td colspan="6" style="width:405.1pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:159.75pt" valign="top" width="540"> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%;layout-grid-mode:char"><span lang="EN-US"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%;layout-grid-mode:char"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman"">本人(机构)申请由普通投资者转化为专业投资者,并确认自主承担由此产生的风险和后果ã€?/span><span lang="EN-US"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%;layout-grid-mode:char"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman"">本人(机构)已按要求提供财产状况、交易情况、从业经历等相关证明材料,并承诺所提供材料真实、准确、完整ã€?/span><span lang="EN-US"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%;layout-grid-mode:char"><span lang="EN-US"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%;layout-grid-mode:char"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman"">特此申请ã€?/span><span lang="EN-US"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%;layout-grid-mode:char"><span lang="EN-US"> </span></p> <p class="MsoNormal" style="text-indent:226.65pt;mso-char-indent-count:21.5; line-height:150%"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">投资者(签章ï¼?/span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">ï¼?/span></b><b><span lang="EN-US"><o:p></o:p></span></b></p> <p class="MsoNormal" style="text-indent:226.65pt;mso-char-indent-count:21.5; line-height:150%"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">日期ï¼?/span><span lang="EN-US">    </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">å¹?/span><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">æœ?/span><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">æ—?/span><span lang="EN-US">  </span></b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; mso-hansi-font-family:宋体"><o:p></o:p></span></p> </td> </tr> <tr style="height:23.05pt"> <td rowspan="9" style="width:35.9pt;border:solid windowtext 1.0pt; border-top:none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:23.05pt" width="48"> <p align="center" class="MsoNormal" style="text-align:center;line-height:115%; layout-grid-mode:char"><span style="font-size:14.0pt;mso-bidi-font-size:10.0pt; line-height:115%;font-family:宋体">经营机构复核æ ?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:56.15pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:23.05pt" width="75"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">类型</span><span lang="EN-US"><o:p></o:p></span></p> </td> <td colspan="4" style="width:267.85pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:23.05pt" width="357"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">复核内容</span><span lang="EN-US"><o:p></o:p></span></p> </td> <td style="width:81.1pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:23.05pt" width="108"> <p align="center" class="MsoNormal" style="text-align:center;line-height:15.0pt; layout-grid-mode:char"><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman"">是否符合</span><span lang="EN-US"><o:p></o:p></span></p> </td> </tr> <tr style="height:22.25pt"> <td rowspan="4" style="width:56.15pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:22.25pt" width="75"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">机构</span><span lang="EN-US"><o:p></o:p></span></p> </td> <td colspan="4" style="width:267.85pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:22.25pt" width="357"> <p class="MsoNormal"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">最è¿?/span><span lang="EN-US">1 </span><span style="font-family: 宋体;mso-ascii-font-family:"Times New Roman"">年末净资产不低äº?/span><span lang="EN-US">1000 </span><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman"">万元</span><span lang="EN-US"><o:p></o:p></span></p> </td> <td style="width:81.1pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:22.25pt" width="108"> <p class="MsoNormal" style="text-indent:10.5pt;mso-char-indent-count:1.0"><span style="font-family:宋体">□是<span lang="EN-US">  </span>□否</span><span lang="EN-US"><o:p></o:p></span></p> </td> </tr> <tr style="height:20.55pt"> <td colspan="4" style="width:267.85pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.55pt" width="357"> <p class="MsoNormal"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">最è¿?/span><span lang="EN-US">1 </span><span style="font-family: 宋体;mso-ascii-font-family:"Times New Roman"">年末金融资产不低äº?/span><span lang="EN-US">500 </span><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman"">万元</span><span lang="EN-US"><o:p></o:p></span></p> </td> <td style="width:81.1pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:20.55pt" width="108"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-family:宋体">□是<span lang="EN-US">  </span>□否</span><span lang="EN-US"><o:p></o:p></span></p> </td> </tr> <tr style="height:18.85pt"> <td colspan="4" style="width:267.85pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:18.85pt" width="357"> <p class="MsoNormal"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">具有</span><span lang="EN-US">1 </span><span style="font-family: 宋体;mso-ascii-font-family:"Times New Roman"">年以上证券、基金、期货、黄金、外汇等投资经历</span><span lang="EN-US"><o:p></o:p></span></p> </td> <td style="width:81.1pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:18.85pt" width="108"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-family:宋体">□是<span lang="EN-US">  </span>□否</span><span lang="EN-US"><o:p></o:p></span></p> </td> </tr> <tr style="height:21.8pt"> <td colspan="4" style="width:267.85pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.8pt" width="357"> <p class="MsoNormal"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">投资知识测试或模拟交易等</span><span lang="EN-US"><o:p></o:p></span></p> </td> <td style="width:81.1pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.8pt" width="108"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-family:宋体">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="height:21.8pt"> <td rowspan="3" style="width:56.15pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.8pt" width="75"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">自然äº?/span><span lang="EN-US"><o:p></o:p></span></p> </td> <td colspan="4" style="width:267.85pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.8pt" width="357"> <p class="MsoNormal"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">金融资产不低äº?/span><span lang="EN-US">300 </span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">万元或者最è¿?/span><span lang="EN-US">3 </span><span style="font-family: 宋体;mso-ascii-font-family:"Times New Roman"">年个人年均收入不低于</span><span lang="EN-US">30 </span><span style="font-family: 宋体;mso-ascii-font-family:"Times New Roman"">万元</span><span lang="EN-US"><o:p></o:p></span></p> </td> <td style="width:81.1pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.8pt" width="108"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-family:宋体">□是<span lang="EN-US">  </span>□否</span><span lang="EN-US"><o:p></o:p></span></p> </td> </tr> <tr style="height:21.3pt"> <td colspan="4" style="width:267.85pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.3pt" width="357"> <p class="MsoNormal"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">具有</span><span lang="EN-US">1 </span><span style="font-family: 宋体;mso-ascii-font-family:"Times New Roman"">年以上证券、基金、期货、黄金、外汇等投资经历或è€?/span><span lang="EN-US">1 </span><span style="font-family: 宋体;mso-ascii-font-family:"Times New Roman"">年以上金融产品设计、投资、风险管理及相关工作经历</span><span lang="EN-US"><o:p></o:p></span></p> </td> <td style="width:81.1pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.3pt" width="108"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-family:宋体">□是<span lang="EN-US">  </span>□否</span><span lang="EN-US"><o:p></o:p></span></p> </td> </tr> <tr style="height:21.3pt"> <td colspan="4" style="width:267.85pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.3pt" width="357"> <p class="MsoNormal"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">追加了解信息、投资知识测试或模拟交易ç­?/span><span lang="EN-US"><o:p></o:p></span></p> </td> <td style="width:81.1pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:21.3pt" width="108"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-family:宋体">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-lastrow:yes;height:102.1pt"> <td colspan="6" style="width:405.1pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:102.1pt" valign="top" width="540"> <p class="MsoNormal" style="line-height:15.0pt;layout-grid-mode:char"><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman"">初审人评估意见:</span></b><b><span lang="EN-US"><o:p></o:p></span></b></p> <p class="MsoNormal"><b><span lang="EN-US"> </span></b></p> <p class="MsoNormal"><b><span lang="EN-US"> </span></b></p> <p class="MsoNormal"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">复核人评估意见:</span></b><b><span lang="EN-US"><o:p></o:p></span></b></p> <p class="MsoNormal"><span lang="EN-US"> </span></p> <p class="MsoNormal"><span lang="EN-US"> </span></p> <p class="MsoNormal"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">初审人:</span></b><b><span lang="EN-US">                                    </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">复核人:</span></b><b><span lang="EN-US"><o:p></o:p></span></b></p> <p class="MsoNormal"><b><span lang="EN-US"> </span></b></p> <p class="MsoNormal" style="margin-right:21.0pt"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">日期ï¼?/span></b><b><span lang="EN-US">     </span></b><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman"">å¹?/span></b><b><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">æœ?/span></b><b><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">æ—?/span></b><b><span lang="EN-US">                       </span></b><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman"">日期ï¼?/span></b><b><span lang="EN-US">    </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">å¹?/span></b><b><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">æœ?/span></b><b><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">æ—?/span></b><b> </b><span lang="EN-US"><o:p></o:p></span></p> </td> </tr> <!--[if !supportMisalignedColumns]--> <tr height="0"> <td style="border:none" width="48"> </td> <td style="border:none" width="75"> </td> <td style="border:none" width="57"> </td> <td style="border:none" width="142"> </td> <td style="border:none" width="132"> </td> <td style="border:none" width="26"> </td> <td style="border:none" width="108"> </td> </tr> <!--[endif]--> </tbody> </table> <p class="MsoNormal"><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312"> </span></p> <p style="text-align: center;"> </p> <p align="left" class="MsoNormal"><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312">附件ï¼?/span><b><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;mso-line-height-alt: 12.0pt;mso-outline-level:2"><b><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">专业投资者转化为普通投资者确认书</span></b><b><span lang="EN-US" style="font-size:15.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-1.7pt;border-collapse:collapse;mso-table-layout-alt:fixed; border:none;mso-border-alt:solid windowtext .5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:.5pt solid windowtext;mso-border-insidev:.5pt solid windowtext"> <tbody> <tr style="height:29.35pt"> <td rowspan="3" style="width:35.95pt;border:solid windowtext 1.0pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:29.35pt" width="48"> <p align="center" class="MsoNormal" style="text-align:center;line-height:115%; layout-grid-mode:char"><span style="font-size:14.0pt;mso-bidi-font-size:10.0pt; line-height:115%;font-family:宋体">投资者告知栏<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:98.75pt;border:solid windowtext 1.0pt;border-left: none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:29.35pt" width="132"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">投资者姓å?/span><span lang="EN-US">/</span><span style="font-family: 宋体;mso-ascii-font-family:"Times New Roman"">名称</span><span lang="EN-US"><o:p></o:p></span></p> </td> <td style="width:108.3pt;border:solid windowtext 1.0pt;border-left: none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:29.35pt" width="144"> <p class="MsoNormal"><span lang="EN-US"> </span></p> </td> <td style="width:97.2pt;border:solid windowtext 1.0pt;border-left: none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:29.35pt" width="130"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">金融账号</span><span lang="EN-US"><o:p></o:p></span></p> </td> <td style="width:99.25pt;border:solid windowtext 1.0pt;border-left: none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:29.35pt" width="132"> <p align="center" class="MsoNormal" style="text-align:center"><span lang="EN-US"> </span></p> </td> </tr> <tr style="height:1.0cm"> <td style="width:98.75pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:1.0cm" width="132"> <p class="MsoNormal"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">身份证明文件类型</span><span lang="EN-US"><o:p></o:p></span></p> </td> <td style="width:108.3pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:1.0cm" width="144"> <p align="center" class="MsoNormal" style="text-align:center"><span lang="EN-US"> </span></p> </td> <td style="width:97.2pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:1.0cm" width="130"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">身份证明文件号码</span><span lang="EN-US"><o:p></o:p></span></p> </td> <td style="width:99.25pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:1.0cm" width="132"> <p align="center" class="MsoNormal" style="text-align:center"><span lang="EN-US"> </span></p> </td> </tr> <tr style="height:291.35pt"> <td colspan="4" style="width:403.5pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:291.35pt" valign="top" width="538"> <p class="MsoNormal" style="text-indent:24.0pt;mso-char-indent-count:2.0; line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;mso-hansi-font-family:宋体"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%;layout-grid-mode:char"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman"">本人(机构)自愿选择由专业投资者转化为普通投资者,本人(机构)已充分理è§?/span><span style="font-size:11.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:宋体">经营机构对普通投资者履行的适当性职责区别于专业投资者,普通投资者在信息告知、风险警示、适当性匹配等方面享有特别保护</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">。本人(机构)将独立作出投资决策并自主承担投资风险。本人(机构)承诺所提供材料真实、准确、完整ã€?/span><span lang="EN-US"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%;layout-grid-mode:char"><span lang="EN-US"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%;layout-grid-mode:char"><span lang="EN-US"> </span></p> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char"><span lang="EN-US"> </span></p> <p class="MsoNormal" style="text-indent:221.35pt;mso-char-indent-count:21.0; line-height:150%"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">投资者(签章ï¼?/span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">ï¼?/span></b><b><span lang="EN-US"><o:p></o:p></span></b></p> <p class="MsoNormal" style="text-indent:221.35pt;mso-char-indent-count:21.0; line-height:150%"><b><span lang="EN-US"> </span></b></p> <p class="MsoNormal" style="text-indent:221.35pt;mso-char-indent-count:21.0; line-height:150%;layout-grid-mode:char"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">日期:  å¹?/span><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">æœ?/span><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">æ—?/span><span lang="EN-US">  </span></b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; mso-hansi-font-family:宋体"><o:p></o:p></span></p> </td> </tr> <tr style="mso-yfti-lastrow:yes;height:267.95pt"> <td style="width:35.95pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:267.95pt" width="48"> <p align="center" class="MsoNormal" style="text-align:center;line-height:115%; layout-grid-mode:char"><span style="font-size:14.0pt;mso-bidi-font-size:10.0pt; line-height:115%;font-family:宋体">经营机构受理æ ?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:403.5pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:267.95pt" valign="top" width="538"> <p class="MsoNormal" style="line-height:15.0pt;layout-grid-mode:char"><span lang="EN-US"> </span></p> <p class="MsoNormal" style="line-height:15.0pt;layout-grid-mode:char"><span lang="EN-US"> </span></p> <p class="MsoNormal"><span lang="EN-US"> </span></p> <p class="MsoNormal"><span lang="EN-US"> </span></p> <p class="MsoNormal"><span lang="EN-US"> </span></p> <p class="MsoNormal"><span lang="EN-US"> </span></p> <p class="MsoNormal"><span lang="EN-US"> </span></p> <p class="MsoNormal"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">受理人:</span></b><b><span lang="EN-US"><o:p></o:p></span></b></p> <p class="MsoNormal"><b><span lang="EN-US"> </span></b></p> <p class="MsoNormal"><b><span lang="EN-US"> </span></b></p> <p class="MsoNormal" style="margin-right:21.0pt;text-indent:198.0pt"><b><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt;mso-hansi-font-family:宋体"> </span></b></p> <p class="MsoNormal" style="margin-right:21.0pt"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">受理日期:  å¹?/span></b><b><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">æœ?/span></b><b><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">æ—?/span></b><b><span lang="EN-US">  </span></b><span lang="EN-US"><o:p></o:p></span></p> </td> </tr> </tbody> </table> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"> </span></b></p> <p align="left" class="MsoNormal"><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312">附件<span lang="EN-US">7</span></span><b><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;mso-line-height-alt: 12.0pt;mso-outline-level:2"><b><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">普通投资者风险承受能力评估问卷说明及参考问é¢?/span></b><b><span lang="EN-US" style="font-size:15.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;mso-line-height-alt: 12.0pt;mso-outline-level:2"><b><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">(适用于自然人投资者)</span></b><b><span lang="EN-US" style="font-size:15.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 150%;"><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">投资者姓名:</span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">                   </span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">身份证号ï¼?/span></b><b><u><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%"><o:p></o:p></span></u></b></p> <p align="left" class="MsoNormal" style="text-indent: 21pt; line-height: 150%;"><span lang="EN-US"> </span></p> <p align="left" class="MsoNormal" style="text-indent: 21pt; line-height: 150%;"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">本问卷旨在了解您可承受的风险程度等情况,借此协助您选择合适的金融产品或金融服务类别,以符合您的风险承受能力ã€?/span></p> <p align="left" class="MsoNormal" style="text-indent: 21pt; line-height: 150%;"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">风险承受能力评估是本公司向投资者履行适当性职责的一个环节,其目的是使本公司所提供的金融产品或者金融服务与您的风险承受能力等级相匹配ã€?/span></p> <p align="left" class="MsoNormal" style="text-indent: 21.1pt; line-height: 150%;"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">本公司特别提醒您ï¼?/span></b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">本公司向投资者履行风险承受能力评估等适当性职责,并不能取代您自己的投资判断,也不会降低金融产品或者金融服务的固有风险。同时,与金融产品或者金融服务相关的投资风险、履约责任以及费用等将由您自行承担ã€?/span></p> <p align="left" class="MsoNormal" style="text-indent: 21.1pt; line-height: 150%;"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">本公司提示您ï¼?/span></b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">本公司根据您提供的信息对您进行风险承受能力评估,开展适当性工作。您应当如实提供相关信息及证明材料,并对所提供的信息和证明材料的真实性、准确性、完整性负责ã€?/span></p> <p align="left" class="MsoNormal" style="text-indent: 21pt; line-height: 150%;"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">当您的各项状况发生重大变化时,需对您所投资的金融产品及时进行重新审视,以确保您的投资决定与您可承受的投资风险程度等实际情况一致ã€?/span></p> <p align="left" class="MsoNormal" style="text-indent: 21.1pt; line-height: 150%;"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">本公司在此承诺:</span></b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">对于您在本问卷中所提供的一切信息,本公司将严格按照法律法规要求承担保密义务。除法律法规规定的有权机关依法定程序进行查询以外,本公司保证不会将涉及您的任何信息提供、泄露给任何第三方,或者将相关信息用于违法、不当用途ã€?/span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"> </span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">一、财务状å†?/span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">1.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">您目前的主要收入来源是:</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.工资、劳务报é…?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.生产经营所å¾?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.利息、股息、转让证券等金融性资产收å…?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.出租、出售房地产等非金融性资产收å…?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">E</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.无收入来源,生活主要依靠积蓄或社会保障</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">2.</span><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:Calibri;mso-hansi-font-family:Calibri">您最近三年个人年均收入为ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:"Calibri","sans-serif""><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A.</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">不超è¿?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">5</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元人民å¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B.5</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">-20</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元(不含)人民å¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C. 20</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">-70</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元(不含)人民å¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D. 70</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元人民币以ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">3.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">最近您家庭预计进行期货投资的资金占家庭现有总资产(不含自住、自用房产及汽车等固定资产)的比例是ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">70%</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">以上</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">50-70%<o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">30-50%<o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">10%-30%<o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">E</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">10%</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">以下</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">4.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">您是否有尚未清偿的数额较大的债务,如有,其性质是:</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.没æœ?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.有,住房抵押贷款等长期定额债务</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.有,信用卡欠款、消费信贷等短期信用债务</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.有,亲朋之间借款</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">5.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">您可用于投资的资产数额(包括金融资产和不动产)为ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.不超过</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">10</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万人民币</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">10</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">-100</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万(不含)人民币</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">100</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">-300</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元(不含)人民å¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">300</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元人民币以ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">二、投资知è¯?/span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">6.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">以下描述中何种符合您的实际情况:</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.现在或此前曾从事金融、经济或财会等与金融产品投资相关的工作超过两å¹?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.已取得金融、经济或财会等与金融产品投资相关专业学士以上学位</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.取得证券从业资格、期货从业资格、基金从业资格、注册会计师证书</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">(CPA)</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">或注册金融分析师证书</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">(CFA)</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">中的一项及以上</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.我不符合以上任何一项描è¿?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">7.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">您的投资知识可描述为ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.有限:基本没有证券期货投资知识</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.一般:对证券期货产品及相关风险具有基本的知识和理解</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.丰富:对证券期货产品及相关风险具有丰富的知识和理解</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.非常丰富:具有专业的证券期货产品及相关风险知识,且理解深入</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">三、投资经éª?/span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">8.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">您的投资经验可以被概括为ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.除银行活期和定期存款外,我基本没有其他投资经验</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.除银行活期和定期存款外,我购买过基金、保险等理财产品,但还需要进一步的指导</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.我是一位有经验的投资者,参与过股票、基金等产品的交易,并倾向于自己做出投资决ç­?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.我是一位非常有经验的投资者,参与过权证、期货或创业板等产品的交æ˜?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">9.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">有一位投资者一个月内做äº?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%">15</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">笔交易(同一品种买卖各一次算一笔),我认为这样的交易频率:</span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.太高了</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.偏é«?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.正å¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.偏ä½?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">10.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">过去一年时间内,您购买的金融产品或接受的金融服务(含同一类型的不同产品或服务)的数量是:</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">5</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">个以ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">6</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">è‡?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">10</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">11</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">è‡?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">15</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">16</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">个以ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">11.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">以下金融产品或服务,您投资经验在两年以上的有ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.银行存æ¬?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.债券、货币市场基金、债券型基金或其它固定收益类产品等</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.股票、混合型基金、偏股型基金、股票型基金等权益类投资品种ç­?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.期货、期æ?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">E</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.融资融åˆ?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">F</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.复杂金融产品、其它产品或服务</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">(注:本题可多选,但评分以最高分值选项为准。)</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">12.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">如果您曾经从事过金融市场投资,在交易较为活跃的月份,平均月交易额大概是多å°?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%">:<o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">10</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元以内</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">10</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">-30</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">30</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">-100</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">100</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元以上</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">E</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.从未从事过金融市场投资</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">13.</span><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:Calibri;mso-hansi-font-family:Calibri">您的投资年限为:</span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:"Calibri","sans-serif""><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">1</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">年以ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">1-5</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">å¹?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">5-10</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">å¹?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">10</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">年以ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">四、投资目æ ?/span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">14.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">您用于期货及相关投资的大部分资金不会用作其它用途的时间段为ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">0</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">åˆ?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">1</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">å¹?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">1</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">åˆ?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">5</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">年;</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.无特别要求</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">15.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">您打算重点投资于哪些种类的投资品种?</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.债券、货币市场基金、债券基金等固定收益类投资品种</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.股票、混合型基金、偏股型基金、股票型基金等权益类投资品种</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.期è´?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.融资融åˆ?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">E</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.复杂或高风险金融产品或服务</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">F</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.其他产品或服务</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">(注:本题可多选,但评分以其中最高分值选项为准。)</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">16.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">假设有两种不同的投资:投èµ?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%">A</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">预期获得</span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">5%</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">的收益,有可能承担非常小的损失;投资</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%">B</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">预期获得</span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">20%</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">的收益,但有可能面临</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%">25%</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">甚至更高的亏损。您将您的投资资产分配为ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.全部投资于</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A<o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.大部分投资äº?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A<o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.两种投资各一å?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.大部分投资äº?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B<o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">E</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.全部投资于</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B<o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">五、风险偏å¥?/span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">17. </span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">当您进行投资时,您的首要目标是:</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:Calibri;mso-hansi-font-family:Calibri">资产保值,我不愿意承担任何投资风险</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.产生一定的收益,可以承担一定的投资风险</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.产生较多的收益,可以承担较大的投资风险</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.实现资产大幅增长,愿意承担很大的投资风é™?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">18.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">您认为自己能承受的最大投资损失是多少ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.尽可能保证本金安全</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.一定的投资损失</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.较大的投资损失</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.损失可能超过本é‡?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">19.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">您打算将自己的投资回报主要用于:</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.改善生æ´?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.个体生产经营或证券、期货投资以外的投资行为</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.履行抚养、抚育或赡养义务ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.偿付债务</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">六、其他信æ?/span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">20.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">您的年龄是:</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">18-30</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">å²?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">31-40</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">å²?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">41-50</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">å²?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">51-60</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">å²?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">E</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.超è¿?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">60</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">å²?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">21.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">今后五年时间内,您的父母、配偶以及未成年子女等需承担法定抚养和赡养义务的人数为:</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">1-2</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">äº?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">3-4</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">äº?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">5</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">人以ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">22.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">您的最高学历是ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A. </span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">高中或以ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B. </span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">大学专科</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C. </span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">大学本科</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D. </span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">硕士及以ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">23.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">您家庭的就业状况是:</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.您与配偶均有稳定收入的工作</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.有配偶,其中一人有稳定收入的工ä½?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.有配偶,均没有稳定收入的工作或者已退ä¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.单身,但有稳定收入的工ä½?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">E</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">.单身,目前暂无稳定收入的工ä½?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:150%"><b><u><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%"> </span></u></b></p> <p class="MsoNormal" style="line-height:150%"><b><u><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">投资者签署确è®?/span></u></b><b><u><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></u></b></p> <p class="MsoNormal" style="line-height:150%"><b><span lang="EN-US"> </span></b></p> <p class="MsoNormal" style="text-indent:23.6pt;mso-char-indent-count:1.96; line-height:150%"><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">本人已经了解并愿意遵守国家有关期货市场管理的法律、法规、规章及相关业务规则,本人在此郑重承诺以上填写的内容真实、准确、完整。若本人提供的信息发生任何重大变化,本人将及时书面通知贵公司ã€?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="margin-right:30.0pt;text-align:center; text-indent:23.6pt;mso-char-indent-count:1.96;line-height:150%;word-break:break-all"><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%">                                </span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">投资者(签章):</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%"> <span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="right" class="MsoNormal" style="margin-right:36.0pt;text-align:right; text-indent:47.7pt;mso-char-indent-count:3.96;line-height:150%;word-break:break-all"><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">日期ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">     </span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">å¹?/span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">  </span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">æœ?/span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">  </span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">æ—?/span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%"><o:p></o:p></span></b></p> <p style="text-align: center;"> </p> <p align="center" class="MsoNormal" style="text-align:center;mso-line-height-alt: 12.0pt;mso-outline-level:2"><b><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">普通投资者风险承受能力评估问卷说明及参考问é¢?/span></b><b><span lang="EN-US" style="font-size:15.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;mso-line-height-alt: 12.0pt;mso-outline-level:2"><b><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">(适用于机构投资者)</span></b><b><span lang="EN-US" style="font-size:15.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;mso-line-height-alt: 12.0pt;mso-outline-level:2"><b><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 150%;"><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">投资者名称:</span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">                   </span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">金融账号ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="line-height: 150%;"><u><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"> </span></u></p> <p align="left" class="MsoNormal" style="text-indent: 21pt; line-height: 150%;"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">本问卷旨在了解贵单位可承受的风险程度等情况,借此协助贵单位选择合适的金融产品</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">或金融服务类别,以符合贵单位的风险承受能力ã€?/span><span lang="EN-US"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 21pt; line-height: 150%;"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman"">风险承受能力评估是本公司向投资者履行适当性职责的一个环节,其目的是使本公司所提供的金融产品或金融服务与贵单位的风险承受能力等级相匹配ã€?/span><span lang="EN-US"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 21.1pt; line-height: 150%;"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">本公司特别提醒贵单位ï¼?/span></b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">本公司向投资者履行风险承受能力评估等适当性职责,并不能取代贵单位自己的投资判断,也不会降低金融产品或金融服务的固有风险。同时,与金融产品或金融服务相关的投资风险、履约责任以及费用等将由贵单位自行承担ã€?/span><span lang="EN-US"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 21.1pt; line-height: 150%;"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">本公司提示贵单位ï¼?/span></b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"">本公司根据贵单位提供的信息对贵单位进行风险承受能力评估,开</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">展适当性工作。贵单位应当如实提供相关信息及证明材料,并对所提供的信息和证明材料的真实性、准确性、完整性负责ã€?/span></p> <p align="left" class="MsoNormal" style="text-indent: 21pt; line-height: 150%;"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">当贵单位的各项状况发生重大变化时,需对贵单位所投资的金融产品及时进行重新审视,以确保贵单位的投资决定与贵单位可承受的投资风险程度等实际情况一致ã€?/span></p> <p align="left" class="MsoNormal" style="text-indent: 21.1pt; line-height: 150%;"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">本公司在此承è¯?/span></b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">:对于贵单位在本问卷中所提供的一切信息,本公司将严格按照法律法规要求承担保密义务。除法律法规规定的有权机关依法定程序进行查询以外,本公司保证不会将涉及贵单位的任何信息提供、泄露给任何第三方,或者将相关信息用于违法、不当用途ã€?/span></p> <p align="left" class="MsoNormal" style="line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"> </span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">1.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">贵单位的性质ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 24pt; line-height: 150%;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; mso-fareast-font-family:"Times New Roman"">A. </span><!--[endif]--><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">国有企事业单ä½?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 24pt; line-height: 150%;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; mso-fareast-font-family:"Times New Roman"">B. </span><!--[endif]--><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">非上市民营企ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 24pt; line-height: 150%;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; mso-fareast-font-family:"Times New Roman"">C. </span><!--[endif]--><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">外资企业</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 24pt; line-height: 150%;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; mso-fareast-font-family:"Times New Roman"">D. </span><!--[endif]--><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">上市公司</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">2.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">贵单位的净资产规模为:</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">A. 500</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">万元以下</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">B.500</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">万元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">-2000</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">C. 2000</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">万元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">-1</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">亿元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">D. </span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">超过</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">1</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">亿元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">3.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">贵单位年营业收入为:</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">A. 500</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">万元以下</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">B.500</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">万元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">-2000</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">C. 2000</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">万元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">-1</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">亿元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">D. </span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">超过</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">1</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">亿元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">4.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">贵单位拟投入期货账户资产为:</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">A. 300</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">万元以下</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">B.300</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">万元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">-1000</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">C. 1000</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">万元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">-2000</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">成元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">D. </span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">超过</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">3000</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">E.</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">目前未开立期货账æˆ?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">5.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">贵单位是否有尚未清偿的数额较大的债务?如有,主要是:</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">A. </span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">银行贷款</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">B. </span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">公司债券或企业债券</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">C. </span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">通过担保公司等中介机构募集的借款</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">D. </span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">民间借贷</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">E. </span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">没有数额较大的债务</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">6.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">对于金融产品投资工作,贵单位打算配置怎样的人员力量:</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">A.</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">一名兼职人å‘?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">(</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">包括负责人自行决ç­?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">)<o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">B.</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">一名专职人å‘?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">C.</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">多名兼职或专职人员,相互之间分工不明ç¡?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">D.</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">多名兼职或专职人员,相互之间有明确分å·?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">7.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">贵单位所配置的负责金融产品投资工作的人员是否符合以下情况ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 24pt; line-height: 150%;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; mso-fareast-font-family:"Times New Roman"">A. </span><!--[endif]--><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">现在或此前曾从事金融、经济或财会等与金融产品投资相关的工作超过两å¹?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 24pt; line-height: 150%;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; mso-fareast-font-family:"Times New Roman"">B. </span><!--[endif]--><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">已取得金融、经济或财会等与金融产品投资相关专业学士以上学位</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 24pt; line-height: 150%;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; mso-fareast-font-family:"Times New Roman"">C. </span><!--[endif]--><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">取得证券从业资格、期货从业资格、注册会计师证书ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">CPA</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">)或注册金融分析师证书(</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">CFA</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">)中的一项及以上</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 24pt; line-height: 150%;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; mso-fareast-font-family:"Times New Roman"">D. </span><!--[endif]--><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">本单位所配置的人员不符合以上任何一项描è¿?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">8.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">贵单位是否建立了金融产品投资相关的管理制度:</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 24pt; line-height: 150%;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; mso-fareast-font-family:"Times New Roman"">A. </span><!--[endif]--><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">没有。因为要保证操作的灵活æ€?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 24pt; line-height: 150%;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; mso-fareast-font-family:"Times New Roman"">B. </span><!--[endif]--><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">已建立。包括了分工和授权的要求,但未包括投资风险控制的规则</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 24pt; line-height: 150%;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; mso-fareast-font-family:"Times New Roman"">C. </span><!--[endif]--><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">已建立。包括了分工与授权、风险控制等一系列与金融产品投资有关的规则</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">9.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">贵单位对证券期货投资知识的了解可描述为:</span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.有限:基本没有掌握证券期货投资知识的人å‘?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.一般:对证券期货产品及相关风险具有基本的知识和理解</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.丰富:对证券期货产品及相关风险具有丰富的知识和理解</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.非常丰富:具有专业的证券期货产品及相关风险知识,且理解深入的人å‘?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">10.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">贵单位的投资经验可以被概括为ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.除银行活期账户和定期存款外,基本没有其他投资经éª?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.除银行活期账户和定期存款外,购买过基金、保险等理财产品,但还需要进一步的指导</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.本单位具有比较投资经验,参与过股票、基金等产品的交易,并倾向于自己做出投资决ç­?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.本单位对于投资相当有经验,参与过权证或创业板等产品的交æ˜?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">E</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.本单位对于投资非常有经验,参与期货或其它复杂衍生品交易</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">11.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">有一位投资者一个月内做äº?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%">15</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">笔交易(同一品种买卖各一次算一笔),贵单位认为这样的交易频率:</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.太高了</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.偏é«?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.正å¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.偏ä½?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">12.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">过去一年时间内,贵单位购买的不同产品或接受的不同服务(含同一类型的不同产品或服务)的数量是:</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">5</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">个以ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">6</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">è‡?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">10</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">11</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">è‡?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">15</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">16</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">个以ä¸?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">13.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">以下金融产品或服务,贵单位投资经验在两年以上的有ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.银行存æ¬?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.债券、货币市场基金、债券型基金或其它固定收益类产品等</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.股票、混合型基金、偏股型基金、股票型基金等权益类投资品种ç­?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.期货、期æ?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">E</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.融资融åˆ?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">F</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.复杂金融产品、其它产品或服务</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">(注:本题可多选,但评分以最高分值选项为准。)</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">14.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">如果贵单位曾经从事过金融市场投资,在交易较为活跃的月份,平均月交易额大概是多å°?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%">:<o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">100</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元以内</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">100</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">-300</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">300</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">-1000</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">1000</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">万元以上</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">E</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.从未从事过金融市场投资</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">15.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">贵单位用于期货及相关投资的大部分资金不会用作其它用途的时间段为</span></b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">0</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">åˆ?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">1</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">å¹?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">0</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">åˆ?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">5</span><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">年;</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.无特别要求</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">16. </span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">贵单位进行投资的首要目标是:</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.尽可能保证本金安全,不在乎收益率比较低ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.产生一定的收益,可以承担较大的投资风险ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.产生较多的收益,可以承担一定的投资风险ï¼?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.实现资产大幅增长,愿意承担很大的投资风险ã€?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">17.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">贵单位打算重点投资于哪些种类的投资品种?</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.债券、货币市场基金、债券基金等固定收益类投资品种</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.股票、混合型基金、偏股型基金、股票型基金等权益类投资品种</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.期è´?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.融资融券等</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">E</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.复杂或高风险金融产品或服务</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">F</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.其他产品或服务</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">(注:本题可多选,但评分以其中最高分值选项为准。)</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">18</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.贵单位认为自己能承受的最大投资损失是多少ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">A. 10%</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">以内</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">B. 10%-30%<o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">C. 30%-50%<o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">D. </span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">超过</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">50%<o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">19.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">假设有两种不同的投资:投èµ?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%">A</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">预期获得</span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">5%</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">的收益,有可能承担非常小的损失;投资</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%">B</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">预期获得</span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">20%</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">的收益,但有可能面临</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%">25%</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">甚至更高的亏损。您将您的投资资产分配为ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.全部投资于</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A<o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.大部分投资äº?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">A<o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.两种投资各一å?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="margin-left: 45pt; text-indent: -21pt; line-height: 150%;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;mso-fareast-font-family: "Times New Roman"">Dï¼?/span><!--[endif]--><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">大部分投资于</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B<o:p></o:p></span></p> <p class="2" style="text-indent:24.0pt;line-height:150%;layout-grid-mode:char; mso-layout-grid-align:none"><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%">E</span><span style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">.全部投资于</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">B<o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24.1pt; line-height: 150%;"><b><span lang="EN-US" style="font-size: 12.0pt;mso-bidi-font-size:10.0pt;line-height:150%">20.</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">贵单位参与金融产品投资的主要目的是什么?</span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">A</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.闲置资金保值增å€?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">B</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.获取主营业务以外的投资收益</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">C</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.现货套期保值、对冲风é™?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt; line-height:150%">D</span><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">.减持已持有的股ç¥?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:150%"><b><u><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height: 150%;font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">投资者签署确è®?/span></u><span lang="EN-US"><o:p></o:p></span></b></p> <p class="MsoNormal" style="text-indent:23.6pt;mso-char-indent-count:1.96; line-height:150%"><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">本机构已经了解并愿意遵守国家有关期货市场管理的法律、法规、规章及相关业务规则,本机构在此郑重承诺以上填写的内容真实、准确、完整。若本机构提供的信息发生任何重大变化,本机构将及时书面通知贵公司ã€?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%"><o:p></o:p></span></b></p> <p class="MsoNormal" style="margin-right:24.0pt;text-indent:204.8pt;mso-char-indent-count: 17.0;line-height:150%"><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">     投资者(签章):</span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%"> <span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="right" class="MsoNormal" style="margin-right:24.0pt;text-align:right; text-indent:23.6pt;mso-char-indent-count:1.96;line-height:150%"><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%">    </span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">日期ï¼?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%">     </span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">å¹?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%">  </span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">æœ?/span></b><b><span lang="EN-US" style="font-size:12.0pt; mso-bidi-font-size:10.0pt;line-height:150%">  </span></b><b><span style="font-size:12.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">æ—?/span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%"> <span lang="EN-US"><o:p></o:p></span></span></b></p> <p style="text-align: center;"> </p> <p align="left" class="MsoNormal" style="margin-right: 24pt; line-height: 150%;"><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312"> </span><span style="font-size:15.0pt; mso-bidi-font-size:10.0pt;line-height:150%;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312">附件<span lang="EN-US">8</span></span><b><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt; line-height:150%"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;mso-pagination:widow-orphan; mso-outline-level:2"><b><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">普通投资者适当性匹配意见告知书</span></b><b><span lang="EN-US" style="font-size:15.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-1.7pt;border-collapse:collapse;mso-table-layout-alt:fixed; border:none;mso-border-alt:solid windowtext .5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:.5pt solid windowtext;mso-border-insidev:.5pt solid windowtext"> <tbody> <tr style="height:363.8pt"> <td style="width:34.45pt;border:solid windowtext 1.0pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:363.8pt" width="46"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; vertical-align:baseline"><span style="font-size:14.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体">经营机构告知æ ?/span></p> </td> <td style="width:405.0pt;border:solid windowtext 1.0pt; border-left:none;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:363.8pt" valign="top" width="540"> <p class="MsoNormal" style="line-height:150%;vertical-align:baseline"><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">尊敬的投资è€?/span></b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">(姓å?/span><span lang="EN-US">/</span><span style="font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">名称ï¼?/span><span lang="EN-US">__________ </span><span style="font-size:11.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体">身份证明文件号码</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">ï¼?/span><span lang="EN-US">____________________</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">):</span></p> <p class="MsoNormal" style="text-indent:20.15pt;mso-char-indent-count:1.92; line-height:150%;vertical-align:baseline"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">根据您提供的信息及风险承受能力问卷作答情况,本公司对您的风险承受能力进行了综合评估,评估结果及适当性匹配意见如下:</span></p> <p class="MsoNormal" style="margin-top:12.0pt;text-indent:10.5pt;mso-char-indent-count: 1.0;line-height:150%;layout-grid-mode:char"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">□您æ˜?/span><span lang="EN-US">C1</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">类风险承受能力投资者,适配</span><span lang="EN-US">R1</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">风险等级的产品或服务ï¼?/span></p> <p class="MsoNormal" style="text-indent:10.5pt;mso-char-indent-count:1.0; line-height:150%;vertical-align:baseline"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">□您æ˜?/span><span lang="EN-US">C2</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">类风险承受能力投资者,适配</span><span lang="EN-US">R1</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ã€?/span><span lang="EN-US">R2</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">风险等级的产品或服务ï¼?/span></p> <p class="MsoNormal" style="text-indent:10.5pt;mso-char-indent-count:1.0; line-height:150%;vertical-align:baseline"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">□您æ˜?/span><span lang="EN-US">C3</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">类风险承受能力投资者,适配</span><span lang="EN-US">R1</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ã€?/span><span lang="EN-US">R2</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">ã€?/span><span lang="EN-US">R3</span><span style="font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">风险等级的产品或服务ï¼?/span></p> <p class="MsoNormal" style="text-indent:10.5pt;mso-char-indent-count:1.0; line-height:150%;vertical-align:baseline"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">□您æ˜?/span><span lang="EN-US">C4</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">类风险承受能力投资者,适配</span><span lang="EN-US">R1</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ã€?/span><span lang="EN-US">R2</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">ã€?/span><span lang="EN-US">R3</span><span style="font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ã€?/span><span lang="EN-US">R4</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">风险等级的产品或服务ï¼?/span></p> <p class="MsoNormal" style="text-indent:10.5pt;mso-char-indent-count:1.0; line-height:150%;vertical-align:baseline"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">□您æ˜?/span><span lang="EN-US">C5</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">类风险承受能力投资者,适配</span><span lang="EN-US">R1</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ã€?/span><span lang="EN-US">R2</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">ã€?/span><span lang="EN-US">R3</span><span style="font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ã€?/span><span lang="EN-US">R4</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ã€?/span><span lang="EN-US">R5</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">风险等级的产品或服务ã€?/span><b><u><span lang="EN-US"><o:p></o:p></span></u></b></p> <p class="MsoNormal" style="text-indent:20.25pt;mso-char-indent-count:1.92; line-height:150%;vertical-align:baseline"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">您的适当性匹配意见不代表您符合相应准入条件,不表明本公司对产品或服务的风险和收益做出实质性判断或保证ã€?/span><span lang="EN-US"><o:p></o:p></span></b></p> <p class="MsoNormal" style="text-indent:20.25pt;mso-char-indent-count:1.92; line-height:150%;vertical-align:baseline"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">本公司履行投资者适当性职责不能取代您的投资判断,不会降低产品或服务的固有风险,也不会影响您依法应当承担的投资风险、履约责任以及费用ã€?/span><span lang="EN-US"><o:p></o:p></span></b></p> <p class="MsoNormal" style="text-indent:20.25pt;mso-char-indent-count:1.92; line-height:150%;vertical-align:baseline"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">请您审慎考察金融产品或服务的特征及风险,进行充分风险评估,自行做出投资决å®?/span></b><b><span style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体">ã€?/span></b><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">如您在审慎考虑后同意本公司的评估结果,请签字以示同意ã€?/span><span lang="EN-US"><o:p></o:p></span></b></p> <p class="MsoNormal" style="text-indent:20.25pt;mso-char-indent-count:1.92; line-height:150%;vertical-align:baseline"><b><span lang="EN-US"> </span></b></p> <p class="MsoNormal" style="margin-right:21.0pt;line-height:150%;layout-grid-mode: char"><b><span lang="EN-US" style="font-family:宋体">XX</span></b><b><span style="font-family:宋体">公司(签章)ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="text-indent:21.0pt;line-height:150%;vertical-align: baseline"><b><span lang="EN-US" style="font-family:宋体">                                     </span></b><b><span style="font-family:宋体">签署日期ï¼?span lang="EN-US">    </span>å¹?span lang="EN-US">  </span>æœ?span lang="EN-US">  </span>æ—?/span></b></p> </td> </tr> <tr style="mso-yfti-lastrow:yes;height:198.5pt"> <td style="width:34.45pt;border:solid windowtext 1.0pt;border-top: none;mso-border-top-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:198.5pt" width="46"> <p align="center" class="MsoNormal" style="text-align:center;text-indent:28.0pt; mso-char-indent-count:2.0;line-height:150%;layout-grid-mode:char"><span style="font-size:14.0pt;mso-bidi-font-size:10.0pt;line-height:150%; font-family:宋体">客投资者确认栏<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:405.0pt;border-top:none;border-left:none; border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:198.5pt" width="540"> <p class="MsoNormal" style="line-height:150%;vertical-align:baseline"><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">投资者确认:</span><span lang="EN-US"><o:p></o:p></span></b></p> <p class="MsoNormal" style="text-indent:20.15pt;mso-char-indent-count:1.92; line-height:150%;vertical-align:baseline"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">本人(机构)确认已知晓贵公司对本人(机构)的风险承受能力及适当性匹配意见的评估结果。本人(机构)已审慎考察金融产品或服务的特征及风险,进行充分风险评估,自行做出投资决定并自主承担投资风险。若本人(机构)提供的信息发生任何重大变化,本人(机构)都会及时书面通知贵公司。以上内容系本人(机构)独立、自主、真实的意思表示,特此确认ã€?/span></p> <p align="right" class="MsoNormal" style="margin-right:84.0pt;text-align:right; line-height:150%;vertical-align:baseline"><b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">投资者(签章):</span><span lang="EN-US"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="margin-right:63.0pt;text-align:center; line-height:150%;vertical-align:baseline"><b><span lang="EN-US">                                          </span></b><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">日期ï¼?/span><span lang="EN-US">   </span></b><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">å¹?/span><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">æœ?/span><span lang="EN-US">  </span></b><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">æ—?/span></b></p> </td> </tr> </tbody> </table> <p style="text-align: center;"> </p> <p align="left" class="MsoNormal"><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312">附件<span lang="EN-US">9</span></span><b><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;mso-line-height-alt: 12.0pt;mso-outline-level:2"><b><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">普通投资者购买高于自身风险承受能力产品或服务</span></b><b><span lang="EN-US" style="font-size:15.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;mso-line-height-alt: 12.0pt;mso-outline-level:2"><b><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">风险警示ä¹?/span></b><b><span lang="EN-US" style="font-size:15.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-1.7pt;border-collapse:collapse;mso-table-layout-alt:fixed; border:none;mso-border-alt:solid black .5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:.5pt solid black;mso-border-insidev:.5pt solid black"> <tbody> <tr style="height:51.5pt"> <td style="width:33.15pt;border:solid black 1.0pt;mso-border-alt: solid black .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:51.5pt" width="44"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-size:12.0pt;font-family:宋体">经营机构告知æ ?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:408.85pt;border:solid black 1.0pt; border-left:none;mso-border-left-alt:solid black .5pt;mso-border-alt:solid black .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:51.5pt" valign="top" width="545"> <p class="MsoNormal" style="margin-top:12.0pt;line-height:150%"><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">尊敬的投资è€?/span></b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">(姓å?/span><span lang="EN-US">/</span><span style="font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">名称ï¼?/span><span lang="EN-US">__________________ </span><span style="font-size:11.0pt; mso-bidi-font-size:10.0pt;line-height:150%;font-family:宋体">身份证明文件号码</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">ï¼?/span><span lang="EN-US">____________</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">):</span><span lang="EN-US" style="font-family:宋体"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%"><span style="font-family:宋体">我公司已告知您的</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">评估结果及适当性匹配意见:</span></p> <p class="MsoNormal" style="text-indent:10.5pt;mso-char-indent-count:1.0; line-height:150%;vertical-align:baseline"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">□您æ˜?/span><span lang="EN-US">C1</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">类风险承受能力投资者,适配</span><span lang="EN-US">R1</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">风险等级的产品或服务ï¼?/span></p> <p class="MsoNormal" style="text-indent:10.5pt;mso-char-indent-count:1.0; line-height:150%;vertical-align:baseline"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">□您æ˜?/span><span lang="EN-US">C2</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">类风险承受能力投资者,适配</span><span lang="EN-US">R1</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ã€?/span><span lang="EN-US">R2</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">风险等级的产品或服务ï¼?/span></p> <p class="MsoNormal" style="text-indent:10.5pt;mso-char-indent-count:1.0; line-height:150%;vertical-align:baseline"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">□您æ˜?/span><span lang="EN-US">C3</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">类风险承受能力投资者,适配</span><span lang="EN-US">R1</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ã€?/span><span lang="EN-US">R2</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">ã€?/span><span lang="EN-US">R3</span><span style="font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">风险等级的产品或服务ï¼?/span></p> <p class="MsoNormal" style="text-indent:10.5pt;mso-char-indent-count:1.0; line-height:150%;vertical-align:baseline"><span style="font-family:宋体; mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">□您æ˜?/span><span lang="EN-US">C4</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">类风险承受能力投资者,适配</span><span lang="EN-US">R1</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ã€?/span><span lang="EN-US">R2</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">ã€?/span><span lang="EN-US">R3</span><span style="font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">ã€?/span><span lang="EN-US">R4</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">风险等级的产品或服务ï¼?/span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">您拟投资的金融产品或拟接受的金融服务,风险等级为</span><span style="font-family:宋体">ï¼?/span><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">â–?/span><span lang="EN-US">R2 </span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">â–?/span><span lang="EN-US">R3</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">â–?/span><span lang="EN-US">R4</span><span style="font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">â–?/span><span lang="EN-US">R5</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">ã€?/span><span lang="EN-US" style="font-family:宋体"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%"><span style="font-family:宋体">依据适当性匹配原则,我公司告知您<b>不适宜</b>购买该产品或接受该服务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%"><span style="font-family:宋体">鉴于您不属于《期货经营机构投资者适当性管理实施指引(试行)》规定的风险承受能力最低类别的投资者且坚持投资该产品或接受该服务,就此,我公司特向您进行如下风险警示:<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:150%"><b><span style="font-family:宋体">您拟投资的产品或接受的服务风险等级超出您的风险承受能力,其存在本金损失可能、波动性较大、流动性变现能力较差、结构复杂、不易估值等风险特征,可能会导致投资亏损超出您的预计范围、投资本金亏损等情况出现。建议您审慎考虑,自行做出投资决定,由此产生的后果将由您自行承担ã€?/span></b><u><span lang="EN-US"><o:p></o:p></span></u></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:150%"><span style="font-family:宋体">若您经审慎考虑后,仍坚持投资该产品,请签署下附投资者确认书ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="margin-right:24.0pt;text-align:center"><b><span lang="EN-US" style="font-family:宋体">XX</span></b><b><span style="font-family:宋体">公司(签章)ï¼?<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="margin-right:24.0pt;text-align:center"><b><span lang="EN-US" style="font-family:宋体">                   </span></b><b><span style="font-family:宋体">日期ï¼?span lang="EN-US">    </span>å¹?span lang="EN-US">  </span>æœ?span lang="EN-US">  </span>æ—?/span></b><span lang="EN-US" style="font-family:宋体"><o:p></o:p></span></p> </td> </tr> <tr style="mso-yfti-lastrow:yes;height:19.35pt"> <td style="width:33.15pt;border:solid black 1.0pt;border-top:none; mso-border-top-alt:solid black .5pt;mso-border-alt:solid black .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:19.35pt" width="44"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-size:12.0pt;font-family:宋体">投资者确认栏<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:408.85pt;border-top:none;border-left: none;border-bottom:solid black 1.0pt;border-right:solid black 1.0pt; mso-border-top-alt:solid black .5pt;mso-border-left-alt:solid black .5pt; mso-border-alt:solid black .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:19.35pt" valign="top" width="545"> <p class="MsoNormal" style="margin-right:48.0pt;text-indent:204.75pt; mso-char-indent-count:19.5"><span lang="EN-US" style="font-family:宋体"> </span></p> <p class="MsoNormal" style="margin-right:48.0pt;line-height:115%"><b><span lang="EN-US" style="font-family:宋体">XX</span></b><b><span style="font-family:宋体">期货公司<span lang="EN-US">XX</span>营业部:</span></b><span lang="EN-US" style="font-family:宋体"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-right:48.0pt;text-indent:15.75pt;mso-char-indent-count: 1.5;line-height:115%"><span style="font-family:宋体">本人(机构)已充分知晓、完全理解并同意接受上述《风险警示书》所载明的全部内容,并已充分知悉上述不匹配情况ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-right:48.0pt;text-indent:20.65pt;mso-char-indent-count: 1.96;line-height:115%"><b><span style="font-family:宋体">本人(机构)经审慎考虑后,仍坚持投资该项产品,并愿意承担该项投资可能引起的损失和其他后果。该决定系本人(机构)独立、自主、真实的意思表示,与贵营业部及相关从业人员无关ã€?/span></b><u><span lang="EN-US" style="font-family:宋体"><o:p></o:p></span></u></p> <p align="right" class="MsoNormal" style="margin-right:121.5pt;text-align:right"><b><span style="font-family:宋体">投资者(签章):<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="margin-right:90.0pt;text-align:center"><b><span lang="EN-US" style="font-family:宋体">                                  </span></b><b><span style="font-family:宋体">日期ï¼?span lang="EN-US">    </span>å¹?span lang="EN-US">  </span>æœ?span lang="EN-US">  </span>æ—?span lang="EN-US">  </span></span></b><span lang="EN-US" style="font-family:宋体"><o:p></o:p></span></p> </td> </tr> </tbody> </table> <p style="text-align: center;"> </p> <p align="left" class="MsoNormal"><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312">附件<span lang="EN-US">10</span></span><b><span lang="EN-US" style="font-size:9.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;mso-line-height-alt: 12.0pt;mso-outline-level:2"><b><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">普通投资者购买高风险等级产品或服åŠ?/span></b><b><span lang="EN-US" style="font-size:15.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;mso-line-height-alt: 12.0pt;mso-outline-level:2"><b><span style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">风险警示ä¹?/span></b><b><span lang="EN-US" style="font-size:15.0pt; mso-bidi-font-size:10.0pt"><o:p></o:p></span></b></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-1.7pt;border-collapse:collapse;mso-table-layout-alt:fixed; border:none;mso-border-alt:solid black .5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:.5pt solid black;mso-border-insidev:.5pt solid black"> <tbody> <tr style="height:335.45pt"> <td style="width:33.0pt;border:solid black 1.0pt;mso-border-alt: solid black .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:335.45pt" width="44"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-size:14.0pt;mso-bidi-font-size:10.0pt;font-family:宋体">经营机构告知æ ?/span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;font-family: 宋体"><o:p></o:p></span></p> </td> <td style="width:406.45pt;border:solid black 1.0pt; border-left:none;mso-border-left-alt:solid black .5pt;mso-border-alt:solid black .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:335.45pt" valign="top" width="542"> <p class="MsoNormal" style="margin-top:12.0pt;line-height:150%"><b><span style="font-family:宋体;mso-ascii-font-family: "Times New Roman";mso-hansi-font-family:"Times New Roman"">尊敬的投资者(</span></b><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">姓名</span><span lang="EN-US">/</span><span style="font-family: 宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">名称ï¼?/span><span lang="EN-US">________________ </span><span style="font-size:11.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:宋体">身份证明文件号码</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">ï¼?/span><span lang="EN-US">____________</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">):</span><span lang="EN-US" style="font-family:宋体"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:21.0pt;line-height:150%"><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman";mso-hansi-font-family: "Times New Roman"">您拟投资的金融产品或拟接受的金融服务属于高风险等级的产品或服务,为保护您的合法权ç›?/span><span lang="EN-US">,</span><span style="font-family:宋体;mso-ascii-font-family:"Times New Roman"; mso-hansi-font-family:"Times New Roman"">我公司特向您进行如下的风险警示,请您认真阅读并签署:</span></p> <p class="MsoNormal" style="text-indent:21.1pt;mso-char-indent-count:2.0; line-height:150%"><b><span style="font-family:宋体">您拟投资的产品或接受的服务存在本金损失可能、波动性较大、流动性变现能力较差、结构复杂、不易估值、存在跨境因素等可能构成投资风险的因素。建议您审慎考虑,进行充分的风险评估,自行做出投资决定,由此产生的后果将由您自行承担ã€?/span></b><u><span lang="EN-US"><o:p></o:p></span></u></p> <p class="MsoNormal" style="text-indent:26.25pt;mso-char-indent-count:2.5"><span style="font-family:宋体">若您经审慎考虑后,仍坚持投资该产品,请签署下附投资者确认书ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal"><span lang="EN-US" style="font-family:宋体"> </span></p> <p class="MsoNormal"><span lang="EN-US" style="font-family:宋体"> </span></p> <p class="MsoNormal"><span lang="EN-US" style="font-family:宋体"> </span></p> <p class="MsoNormal"><span lang="EN-US" style="font-family:宋体"> </span></p> <p class="MsoNormal"><span lang="EN-US" style="font-family:宋体"> </span></p> <p align="center" class="MsoNormal" style="margin-right:24.0pt;text-align:center"><b><span lang="EN-US" style="font-family:宋体"> XX</span></b><b><span style="font-family:宋体">公司(签章)ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="margin-right:24.0pt;text-align:center"><b><span lang="EN-US" style="font-family:宋体"> </span></b></p> <p align="center" class="MsoNormal" style="margin-right:24.0pt;text-align:center"><b><span lang="EN-US" style="font-family:宋体">      </span></b><b><span style="font-family:宋体">日期ï¼?span lang="EN-US">     </span>å¹?span lang="EN-US">  </span>æœ?span lang="EN-US">  </span>æ—?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal"><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size: 10.0pt;font-family:宋体"> </span></p> </td> </tr> <tr style="mso-yfti-lastrow:yes;height:234.5pt"> <td style="width:33.0pt;border:solid black 1.0pt;border-top:none; mso-border-top-alt:solid black .5pt;mso-border-alt:solid black .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:234.5pt" width="44"> <p align="center" class="MsoNormal" style="text-align:center"><span style="font-size:14.0pt;mso-bidi-font-size:10.0pt;font-family:宋体">投资者确认栏</span><span lang="EN-US" style="font-size:12.0pt;mso-bidi-font-size:10.0pt;font-family: 宋体"><o:p></o:p></span></p> </td> <td style="width:406.45pt;border-top:none;border-left: none;border-bottom:solid black 1.0pt;border-right:solid black 1.0pt; mso-border-top-alt:solid black .5pt;mso-border-left-alt:solid black .5pt; mso-border-alt:solid black .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:234.5pt" valign="top" width="542"> <p class="MsoNormal"><b><span lang="EN-US" style="font-family:宋体"> </span></b></p> <p class="MsoNormal"><b><span lang="EN-US" style="font-family:宋体"> </span></b></p> <p class="MsoNormal"><b><span lang="EN-US" style="font-family:宋体">XX</span></b><b><span style="font-family:宋体">期货公司<span lang="EN-US">XX</span>营业部:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="text-indent:15.8pt;mso-char-indent-count:1.5"><b><span lang="EN-US" style="font-family:宋体"> </span></b></p> <p class="MsoNormal" style="text-indent:15.75pt;mso-char-indent-count:1.5"><span style="font-family:宋体">本人(机构)已认真阅读了贵公å?span lang="EN-US">/</span>营业部产品或服务的相关提示,充分知晓、完全理解并同意接受上述《风险警示书》所载明的全部内容,并已充分知悉该风险等级产品或服务的特征ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:15.8pt;mso-char-indent-count:1.5"><b><span lang="EN-US" style="font-family:宋体"> </span></b></p> <p class="MsoNormal" style="text-indent:15.8pt;mso-char-indent-count:1.5"><b><span style="font-family:宋体">本人(机构)经审慎考虑后,仍坚持投资该项产品,并愿意承担该项投资可能引起的损失和其他后果。该决定系本人(机构)独立、自主、真实的意思表示,与贵营业部及相关从业人员无关ã€?/span></b><u><span lang="EN-US" style="font-family:宋体"><o:p></o:p></span></u></p> <p class="MsoNormal"><span lang="EN-US" style="font-family:宋体"> </span></p> <p class="MsoNormal" style="margin-right:48.0pt;text-indent:179.2pt;mso-char-indent-count: 17.0"><b><span style="font-family:宋体">投资者(签章):<span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="margin-right:48.0pt;text-indent:179.2pt;mso-char-indent-count: 17.0"><b><span lang="EN-US" 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