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<div class="contant_model"> <div class="contant_c contant_c_clear"> <h2 class="title contant_blue">证券经营机构投资者适当性管理实施指引(试行ï¼?/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=8830"></script> </span> <span>ã€?a href="/User/Content/Favorite.aspx?Action=add&Id=8830">收藏</a>ã€?/span> <span>ã€?a href="/Print.aspx?id=8830">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=8830" ; document.getElementById("content_AdminEdit").innerHTML = "ã€?a href='" + managedir + "' 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为督促、引导证券行业有效落实适当性管理要求,维护投资者合法权益,根据《证券法》、《证券公司监督管理条例》、《证券期货投资者适当性管理办法》(以下简称《办法》)及其他相关法律、行政法规和中国证监会规定,制定本指引ã€?<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第二æ?</span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体">证券公司及其子公司、证券投资咨询机构(以下统称“证券经营机构”)向投资者销售金融产品,或者以投资者买入金融产品为目的提供证券经纪ã€?/span><span style="font-size:16.0pt;font-family:仿宋_GB2312;color:black">投资顾问、融资融券、资产管理、柜台交易等é‡?span lang="EN-US">a</span>融服åŠ?/span><span style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体">,适用本指引ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第三æ?/span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> <span style="color:black">证券经营机构可以通过由投资者填写《投资者基本信息表》等多种方式了解《办法》第六条规定的投资者基本信息ã€?span lang="EN-US"><o:p></o:p></span></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第四æ?</span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体">证券经营机构</span><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; mso-font-kerning:0pt">可以要求</span><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">符合《办法》第八条第(一)、(二)、(三)项条件的投资者提供营业执照、经营证券、基金、期货业务的许可证、经营其他金融业务的许可证ã€?span style="color:black">基金会法人登记证明ã€?span lang="EN-US">QFII</span>ã€?span lang="EN-US">RQFII</span>、私募基金管理人登记材料</span>等身份证明材料,<span style="color:black">理财产品还需提供产品成立或备案文件等证明材料ã€?/span>符合前述条件的投资者经核验属实的,证券经营机构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 class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第五æ?/span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券经营机构可以要求符合《办法》第八条第(四)、(五)项条件的投资者提供下列材料:<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-align:justify;text-justify: inter-ideograph;text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312">(一ï¼?span style="color:black">法人或其他组织投资者提供的最近一年财务报表、金融资产证明文件、两年以上投资经历的证明材料等;<span lang="EN-US"><o:p></o:p></span></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-align:justify;text-justify: inter-ideograph;text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;color:black">(二)自然人投资者提供的本人金融资产证明文件或近三年收入证明,投资经历或工作证明或职业资格证书等ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">符合前述条件的投资者经核验属实的,证券经营机构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 class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312">第六æ?</span></b><span style="font-size:16.0pt;font-family:仿宋_GB2312">普通投资者申请转化成为专业投资者的ï¼?/span><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">证券经营机构可以要求其提供下列材料:</span><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;color:black"><o:p></o:p></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-align:justify;text-justify: inter-ideograph;text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;color:black">(一)专业投资者申请书,确认自主承担产生的风险和后果;<span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-align:justify;text-justify: inter-ideograph;text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;color:black">(二)法人或其他组织投资者提供的最近一年财务报表、金融资产证明文件、一年以上投资经历等证明材料ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-align:justify;text-justify: inter-ideograph;text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;color:black">(三)自然人投资者提供的金融资产证明文件或者近三年收入证明或一年以上投资经历或工作经历等证明材料ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p style="margin:0cm;margin-bottom:.0001pt;text-align:justify;text-justify: inter-ideograph;text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;color:black">证券经营机构完成申请材料核验后还应该按照《办法》第十二条规定,对投资者进行审慎评估。符合普通投资者转为专业投资者的,应当说明对不同类别投资者履行适当性义务的差别,警示可能承担的投资风险,书面告知其审查结果和理由;不符合转化为专业投资者的,也应当书面告知其审查结果和理由ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体;color:black">    </span><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 宋体;color:black">证券经营机构应当按照《办法》第二十五条的规定对审查结果告知和警示进行全过程录音或者录像,或者以符合法律、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 class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第七æ?</span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体">符合《办法》第八条第(四)、(五)项规定的专业投资者申请转化普通投资者的,证券经营机构应当及时将其变更为普通投资者,按照规定对投资者风险承受能力进行综合评估,确定其风险承受能力等级,履行相应适当性义务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第八æ?/span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券经营机构应当根据普通投资者信息,通过投资者填写《投资者风险承受能力评估问卷》等方法对其风险承受能力进行综合评估。《投资者风险承受能力评估问卷》的设计应当科学、合理、全面、通俗易懂ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第九æ?/span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券经营机构可以将普通投资者按其风险承受能力等级由低到高至少划分为五级,分别为ï¼?span lang="EN-US">C1</span>(含</span><span style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋">风险承受能力最低类别的投资è€?/span><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体">)ã€?span lang="EN-US">C2</span>ã€?span lang="EN-US">C3</span>ã€?span lang="EN-US">C4</span>ã€?span lang="EN-US">C5</span>。具体分类标准、方法及其变更应当告知投资者ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:125%"><span style="font-size:16.0pt;line-height:125%;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">证券经营机构应当与普通投资者确认其风险承受能力等级结果,并以书面方式记载留存ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第十æ?/span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 《投资者基本信息表》、《投资者风险承受能力评估问卷》应当由投资者本人或合法授权人填写。证券经营机构及其工作人å‘?/span><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋">不得以明示、暗示等方式诱导、误导、欺骗投资者,影响填写结果</span><span style="font-size:14.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋">ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体;color:black">第十一æ?/span></b><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black"> 证券经营机构应当及时将投资者信息录入投资者评估数据库,并根据更新的信息持续评估投资者风险承受能力。投资者评估数据库中应当至少包含下列信息:<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black">(一)《办法》第六条所规定的投资者信息及本指引规定的证明材料ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black">(二)历次《投资者风险承受能力评估问卷》内容、评估时间、评估结果等ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black">(三)投资者申请成为专业投资者或转化为普通投资者的申请书、审查结果告知和警示等;<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:8.0pt;mso-para-margin-left:.76gd; text-indent:24.0pt;mso-char-indent-count:1.5"><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体;color:black">(四)投资者投资交易记录,包括但不限于产品或服务及其风险等级、交易权限、交易频率等ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black">(五)投资者在证券经营机构的失信记录;<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black">(六)中国证监会、中国证券业协会(以下简ç§?ldquo;协会”)及证券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 class="MsoNormal" style="text-indent:40.0pt;mso-char-indent-count:2.5"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black">前述第(四)项不适用于证券投资咨询机构ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体;color:black">第十</span></b><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">äº?span style="color:black">æ?/span> </span></b><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋">证券经营机构可以å°?span lang="EN-US">C1</span>中符合下列情形之一的自然人,作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 class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-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 class="MsoNormal" style="text-indent:30.0pt"><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-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 class="MsoNormal" style="text-indent:30.0pt"><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋">(三)法律、行政法规规定的其他情形ã€?/span><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 宋体"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0; line-height:150%;layout-grid-mode:char;mso-layout-grid-align:none"><b><span style="font-size:16.0pt;line-height: 150%;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">第十三条 </span></b><span style="font-size:16.0pt;line-height:150%;font-family:仿宋_GB2312;mso-hansi-font-family: 宋体">证券经营机构应当根据《办法》第十六、十七条规定的因素,通过科学、合理的方法对产品或服务进行综合评估,确定其风险等级ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第十四条</span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券经营机构可以将产品或服务风险等级由低至高至少划分为五çº?span lang="EN-US">,</span>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>。具体划分方法、标准及其变更应当告知投资者ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:31.35pt;mso-char-indent-count:1.96"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">证券经营机构应当根据《产品或服务风险等级名录》列出相对应的产品或服务清单ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第十五条</span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券经营机构向投资者销售产品或者提供服务涉及投资组合或资产配置的,应当按照投资组合或资产配置的整体风险对该产品或者服务进行风险等级评估,确定其风险等级ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="Paragrafoelenco1" style="margin: 0cm 0cm 0.0001pt; text-align: justify; text-indent: 32.15pt;"><b><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; mso-fareast-language:ZH-CN">第十六条 </span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体;mso-fareast-language:ZH-CN">证券经营机构向普通投资者销售产品或提供服务,应当在遵守法律、行政法规、中国证监会规定以及投资者准入要求的前提下,根据投资者的风险承受能力等级与产品或服务的风险等级相匹配的原则,对投资者提出适当性匹配意见,履行适当性义务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第十七条 </span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">证券经营机构应当根据本机构及普通投资者的实际情况,确定其风险承受能力等级与产品或服务的风险等级适当性匹配的具体方法,也可以参照以下方式确定ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">(一ï¼?span lang="EN-US">C1</span>级投资者匹é…?span lang="EN-US">R1</span>级的产品或服务;<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">(二ï¼?span lang="EN-US">C2</span>级投资者匹é…?span lang="EN-US">R2</span>ã€?span lang="EN-US">R1</span>级的产品或服务;<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">(三ï¼?span lang="EN-US">C3</span>级投资者匹é…?span lang="EN-US">R3</span>ã€?span lang="EN-US">R2</span>ã€?span lang="EN-US">R1</span>级的产品或服务;<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">(四ï¼?span lang="EN-US">C4</span>级投资者匹é…?span lang="EN-US">R4</span>ã€?span lang="EN-US">R3</span>ã€?span lang="EN-US">R2</span>ã€?span lang="EN-US">R1</span>级的产品或服务;<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">(五ï¼?span lang="EN-US">C5</span>级投资者匹é…?span lang="EN-US">R5</span>ã€?span lang="EN-US">R4</span>ã€?span lang="EN-US">R3</span>ã€?span lang="EN-US">R2</span>ã€?span lang="EN-US">R1</span>级的产品或服务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="Paragrafoelenco1" style="margin: 0cm 0cm 0.0001pt; text-align: justify; text-indent: 32pt;"><span style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体;mso-fareast-language:ZH-CN">专业投资者可以购买或接受所有风险等级的产品或服务,法律、行政法规、中国证监会规定及市场、产品或服务对投资者准入有要求的,从其规定和要求ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第十八条 </span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">证券经营机构对投资者提出的适当性匹配意见不代表其对产品或服务的风险和收益作出实质性判断或保证。投资者在参考证券经营机构适当性匹配意见的基础上,根据自身能力审慎独立决策,独立承担投资风险ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第十九条 </span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">证券经营机构告知投资者不适合购买相关产品或者接受相关服务后,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,证券经营机构在确认其不属于风险承受能力最低类别的投资者后,应当就产品或者服务风险高于其承受能力进行特别的书面风险警示,投资者仍坚持购买的,可以向其销售相关产品或者提供相关服务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第二十条 </span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">投资者风险承受能力等级与产品或服务风险等级相匹配的,证券经营机构应当与投资者签署确认适当性匹配结果;不匹配的,应当与投资者签署确认风险警示ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent: 29.05pt; background-image: initial; background-attachment: initial; background-size: initial; background-origin: initial; background-clip: initial; background-position: initial; background-repeat: initial;"><b><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">第二十一æ?/span></b><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券经营机构销售产品、提供服务,应当向投资者充分披露产品或服务信息以及有助于投资者作出投资分析判断的其他信息。披露的信息不得含有虚假、误导性陈述或存在重大遗漏,不得欺诈投资者ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent: 21pt; background-image: initial; background-attachment: initial; background-size: initial; background-origin: initial; background-clip: initial; background-position: initial; background-repeat: initial;"><b><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> </span></b><b><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 宋体">第二十二æ?</span></b><span style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体">证券经营机构销售产品、提供服务,应当向投资者充分揭示产品或服务的信用风险、市场风险、流动性风险等可能影响投资者权益的主要风险以及具体产品或服务的特别风险,并由投资者签署确认ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="1" style="text-indent:31.5pt;mso-char-indent-count:1.96"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第二十三æ?</span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体;color:black">证券经营机构应当建立健全投资者回访制度,对购买产品或接受服务的投资者,每年抽取不低于上一年度末购买产品或接受服务的投资者总数(含购买或者接受产品或服务的风险等级高于其风险承受能力的投资者,不含休眠账户及中止交易账户投资者)çš?span lang="EN-US">10%</span>进行回访。回访的内容包括但不限于ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p class="1" style="text-indent:32.0pt"><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体;color:black">(一)受访人是否为投资者本人;<span lang="EN-US"><o:p></o:p></span></span></p> <p class="1" style="text-indent:32.0pt"><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体;color:black">(二)受访人是否按规定填写了《投资者基本信息表》、《投资者风险承受能力评估问卷》等并按要求签署ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p class="1" style="text-indent:32.0pt"><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体;color:black">(三)受访人是否已知晓产品或服务的风险以及相关风险警示;<span lang="EN-US"><o:p></o:p></span></span></p> <p class="1" style="text-indent:32.0pt"><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体;color:black">(四)受访人是否已知晓所购买产品或接受服务的业务规则ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p class="1" style="text-indent:32.0pt"><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体;color:black">(五)受访人是否已知晓自己的风险承受能力等级、购买的产品或者接受服务的风险等级以及适当性匹配意见;<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black">(六)受访人是否知晓承担的费用以及可能产生的投资损失ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black">(七)证券经营机构及其工作人员是否存åœ?/span><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:Calibri;mso-bidi-font-family:宋体; mso-font-kerning:0pt">《办法》第二十二条规定的禁止行ä¸?/span><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体;color:black">ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第二十四æ?</span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">证券经营机构应当结合自身实际需要,定期或不定期对相关岗位人员开展与适当性管理有关的培训,提高其履行适当性义务所需的知识和技能ã€?<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第二十五æ?/span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券经营机构应当将相关岗位人员履行适当性义务、处理客户投诉与纠纷等纳入绩效考核范围ã€?b><span lang="EN-US"><o:p></o:p></span></b></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">证券经营机构不得采取鼓励不适当销售或服务的考核激励措施ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:31.5pt;mso-char-indent-count:1.96"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第二十六æ?/span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券经营机构应当对相关岗位人员履行适当性义务的行为进行监督检查,对违反投资者适当性管理规定的人员进行问责ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第二十七æ?/span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券经营机构及其工作人员应当对在履行适当性义务时获取的投资者基本信息、投资者风险承受能力评级结果等信息严格保密,防止该等信息被泄露或被不当利用ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:31.5pt;mso-char-indent-count:1.96"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体;color:black">第二十八æ?/span></b><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券经营机构应妥善处理因履行适当性义务引起的投资者投诉与纠纷,保存相关记录,及时分析总结,改进和完善相关机制与制度ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:31.5pt;mso-char-indent-count:1.96"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体;color:black">第二十九æ?/span></b><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体; color:black"> 证券经营机构应当依据《办法》第三十条的规定进行适当性自查,自查的内容包括但不限于适当性管理制度建设及落实、人员培训及考核、投资者投诉纠纷处理、发现问题及整改等情况ã€?/span><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-bidi-font-family: 宋体;mso-font-kerning:0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第三十条</span></b><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 证券经营机构与投资者发生适当性相关的纠纷,可以按相关规定向协会申请调解ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第三十一æ?/span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 协会对证券经营机构履行适当性义务进行自律管理,对违反适当性管理规定的证券经营机构及人员依法采取自律惩戒措施ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第三十二æ?/span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 本指引所称书面形式包括纸质或电子形式ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第三十三æ?/span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 本指引由中国证券业协会负责解释ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.15pt;mso-char-indent-count:2.0"><b><span style="font-size:16.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:宋体">第三十四æ?/span></b><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> 本指引自<span lang="EN-US">2017</span>å¹?span lang="EN-US">7</span>æœ?span lang="EN-US">1</span>日起实施,《证券公司投资者适当性制度指引》、《关于发å¸?span lang="EN-US"><</span>个人投资者风险承受能力评估问卷(试行模板ï¼?span lang="EN-US">></span>的通知》同时废止ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体"> </span></p> <p class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体"> </span></p> <p class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体"> </span></p> <p class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体"> </span></p> <p class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体"> </span></p> <p align="left" class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> </span></p> <p align="left" class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体"> </span></p> <p align="left" class="MsoNormal"><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">附件ï¼?span lang="EN-US">1</span>、投资者基本信息表<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">      2</span><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体">、专业投资者申请书<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 宋体">      3</span><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">、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"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 宋体">      4</span><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">、投资者风险承受能力评估问å?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 32pt;"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 宋体">  5</span><span style="font-size: 16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">、投资者风险承受能力评估结果告知书<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">      6</span><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体">、产品或服务风险等级名录<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">      7</span><span style="font-size:16.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:宋体">、适当性匹配意见确认书<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal"><span lang="EN-US" style="font-size:16.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:宋体">      8</span><span style="font-size:16.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:宋体">、产品或服务风险警示及投资者确认书<span lang="EN-US"><o:p></o:p></span></span></p> <p> </p> <p align="left" class="MsoNormal"><b><span style="font-size:12.0pt;font-family:宋体">附件<span lang="EN-US">1</span>ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="font-size:12.0pt;font-family: 宋体">投资者基本信息表(自然人ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="font-size:12.0pt; font-family:宋体">填表日期ï¼?span lang="EN-US">      </span>å¹?span lang="EN-US">     </span>æœ?span lang="EN-US">      </span>æ—?span lang="EN-US">                       </span>资金账号ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <div align="center"> <table 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-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:.5pt solid windowtext;mso-border-insidev:.5pt solid windowtext"> <tbody> <tr style="mso-yfti-irow:0;mso-yfti-firstrow:yes;height:33.55pt"> <td colspan="11" style="width:481.55pt;border:solid windowtext 1.0pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:33.55pt" width="642"> <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">投资者基本信息(申请人填写)<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:1;height:28.5pt"> <td style="width:87.15pt;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:28.5pt" width="116"> <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;color:black">姓名<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:88.75pt;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:28.5pt" width="118"> <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;color:black"> </span></p> <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;color:black"> </span></p> </td> <td style="width:36.95pt;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:28.5pt" width="49"> <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;color:black">性别<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:45.3pt;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:28.5pt" width="60"> <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;color:black"> </span></p> </td> <td style="width:36.0pt;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:28.5pt" width="48"> <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;color:black">出生日期<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="3" style="width:80.85pt;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:28.5pt" width="108"> <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;color:black"> </span></p> </td> <td style="width:45.0pt;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:28.5pt" width="60"> <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;color:black">国籍<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:61.55pt;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:28.5pt" width="82"> <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;color:red"> </span></p> </td> </tr> <tr style="mso-yfti-irow:2;height:25.0pt"> <td colspan="2" style="width:131.85pt;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:25.0pt" valign="top" width="176"> <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">实际控制投资者的自然äº?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="3" style="width:126.3pt;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:25.0pt" valign="top" width="168"> <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 colspan="4" style="width:116.85pt;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:25.0pt" valign="top" width="156"> <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">交易的实际受益人<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:106.55pt;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:25.0pt" valign="top" width="142"> <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="mso-yfti-irow:3;height:26.75pt"> <td style="width:87.15pt;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:26.75pt" width="116"> <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">职业<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="10" style="width:394.4pt;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:26.75pt" valign="top" width="526"> <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> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□党政机关工作人å‘?span lang="EN-US">   </span>□企事业单位职工<span lang="EN-US">  </span>□农æ°?span lang="EN-US">   </span>□个体工商户 □注册会计师 â–?律师□学ç”?span lang="EN-US">    </span>□金融机构从业人å‘?span lang="EN-US">    </span>□金融机构高级管理人å‘?span lang="EN-US">    </span>□无ä¸?span lang="EN-US">   </span>□其他,</span><u><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">         </span></u><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="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="mso-yfti-irow:4;height:25.05pt"> <td style="width:87.15pt;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:25.05pt" width="116"> <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">工作单位<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="7" style="width:252.0pt;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:25.05pt" valign="top" width="336"> <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> <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:35.85pt;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:25.05pt" width="48"> <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">职务<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:106.55pt;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:25.05pt" valign="top" width="142"> <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> </tr> <tr style="mso-yfti-irow:5;height:42.25pt"> <td style="width:87.15pt;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:42.25pt" width="116"> <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">学历<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="10" style="width:394.4pt;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:42.25pt" width="526"> <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> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□博士 <span lang="EN-US">  </span>□硕士 <span lang="EN-US">  </span>□大本 <span lang="EN-US">  </span>□大专 <span lang="EN-US">  <o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□中专 □高中 <span lang="EN-US">  </span>□初中及以下<span lang="EN-US"><o:p></o:p></span></span></p> <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> </tr> <tr style="mso-yfti-irow:6;height:42.25pt"> <td style="width:87.15pt;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:42.25pt" width="116"> <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">诚信记录<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="10" style="width:394.4pt;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:42.25pt" width="526"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">是否有以下来源的不良诚信记录ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□中国人民银行征信中å¿?□最高人民法院失信被执行人名å?□工商行政管理机æž?□税务管理机æž?□监管机构、自律组ç»?□投资者在证券经营机构的失信记å½?□其他,</span><u><span lang="EN-US" style="font-size:12.0pt; font-family:宋体">         </span></u><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="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□无<span lang="EN-US">    </span>□有(请注明):<span lang="EN-US">___________________________________<o:p></o:p></span></span></p> <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> </tr> <tr> <td style="width:87.15pt;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" valign="top" width="116"> <p class="MsoNormal" style="text-indent:5.25pt;mso-char-indent-count:.5; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体; color:black">身份证件类型<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:171.0pt;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" valign="top" width="228"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> </td> <td colspan="2" style="width:80.7pt;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" width="108"> <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;color:black">身份证件号码<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:142.7pt;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" valign="top" width="190"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:red"> </span></p> </td> </tr> <tr> <td style="width:87.15pt;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" valign="top" width="116"> <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;color:black">身份证件<span lang="EN-US"><o:p></o:p></span></span></p> <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;color:black">有效期限<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="10" style="width:394.4pt;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" valign="top" width="526"> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:red"> </span></p> </td> </tr> <tr> <td style="width:87.15pt;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" valign="top" width="116"> <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> <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">固定电话<span lang="EN-US"><o:p></o:p></span></span></p> <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 colspan="4" style="width:171.0pt;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" valign="top" width="228"> <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 colspan="2" style="width:80.7pt;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" valign="top" width="108"> <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> <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">手机号码<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:142.7pt;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" valign="top" width="190"> <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> <td style="width:87.15pt;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" width="116"> <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">联系地址<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="10" style="width:394.4pt;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" valign="top" width="526"> <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> </tr> <tr> <td style="width:87.15pt;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" valign="top" width="116"> <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> <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">邮政编码<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:171.0pt;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" valign="top" width="228"> <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 colspan="2" style="width:80.7pt;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" valign="top" width="108"> <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> <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">Email<o:p></o:p></span></p> <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 colspan="4" style="width:142.7pt;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" valign="top" width="190"> <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> </tr> <tr> <td colspan="11" style="width:481.55pt;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" valign="top" width="642"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">本人保证资金来源的合法性和所提供资料的真实性、准确性、完整性,并对其承担责任ã€?span lang="EN-US"><o:p></o:p></span></span></p> <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> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">申请人签名:<span lang="EN-US">                                               </span>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></p> </td> </tr> <tr style="mso-yfti-irow:13;mso-yfti-lastrow:yes;height:27.85pt"> <td colspan="11" style="width:481.55pt;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:27.85pt" valign="top" width="642"> <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> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">经办人签章:<span lang="EN-US">                 </span>复核人签章:<span lang="EN-US">             </span>营业网点盖章ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">事后审核签章ï¼?span lang="EN-US">                    <o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:309.75pt;mso-char-indent-count:29.5; line-height:12.0pt"><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 lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <!--[if !supportMisalignedColumns]--> <tr height="0"> <td style="border:none" width="116"> </td> <td style="border:none" width="60"> </td> <td style="border:none" width="59"> </td> <td style="border:none" width="49"> </td> <td style="border:none" width="60"> </td> <td style="border:none" width="48"> </td> <td style="border:none" width="60"> </td> <td style="border:none" width="0"> </td> <td style="border:none" width="48"> </td> <td style="border:none" width="60"> </td> <td style="border:none" width="82"> </td> </tr> <!--[endif]--> </tbody> </table> </div> <p> </p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="font-size:12.0pt;font-family: 宋体">投资者基本信息表(机构)</span></b><span lang="EN-US" style="font-size:12.0pt;font-family: 宋体"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">填表日期ï¼?span lang="EN-US">      </span>å¹?span lang="EN-US">     </span>æœ?span lang="EN-US">          </span>æ—?span lang="EN-US">                     </span>资金账号<span lang="EN-US">/</span>客户号:<span lang="EN-US"><o:p></o:p></span></span></p> <div align="center"> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-45.2pt;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" width="635"> <tbody> <tr style="mso-yfti-irow:0;mso-yfti-firstrow:yes;height:23.6pt"> <td colspan="8" style="width:476.4pt;border:solid windowtext 1.0pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:23.6pt" width="635"> <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">投资者基本信息(申请人填写)<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:1;height:10.2pt"> <td style="width:153.9pt;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:10.2pt" valign="top" width="205"> <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">机构名称<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;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:10.2pt" valign="top" width="149"> <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 colspan="3" style="width:97.8pt;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:10.2pt" valign="top" width="130"> <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">控股股东或实际控制人<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;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:10.2pt" valign="top" 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> </tr> <tr> <td style="width:153.9pt;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" valign="top" width="205"> <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">机构类型<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="7" style="width:322.5pt;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" valign="top" width="430"> <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">□一般企业法äº?□金融机构□社会公益基金â–?span lang="EN-US">QFII</span>â–?span lang="EN-US">RQFII</span>□其他组ç»?span lang="EN-US">____________<o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:3;height:15.45pt"> <td style="width:153.9pt;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:15.45pt" valign="top" width="205"> <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">住所åœ?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="7" style="width:322.5pt;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:15.45pt" valign="top" width="430"> <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="mso-yfti-irow:4;height:29.3pt;mso-prop-change:陈闯 20170625T1604"> <td style="width:153.9pt;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;border:solid windowtext 1.0pt !msorm;border-top: none !msorm;mso-border-top-alt:solid windowtext .5pt !msorm;mso-border-alt: solid windowtext .5pt !msorm;padding:0cm 5.4pt 0cm 5.4pt !msorm;height:29.3pt" valign="top" width="205"> <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">经营范围<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="7" style="width:322.5pt;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;border-top: none !msorm;border-left:none !msorm;border-bottom:solid windowtext 1.0pt !msorm; border-right:solid windowtext 1.0pt !msorm;mso-border-top-alt:solid windowtext .5pt !msorm; mso-border-left-alt:solid windowtext .5pt !msorm;mso-border-alt:solid windowtext .5pt !msorm; padding:0cm 5.4pt 0cm 5.4pt !msorm;height:29.3pt" valign="top" width="430"> <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> <td style="width:153.9pt;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" valign="top" width="205"> <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">组织机构代码<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;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" valign="top" width="149"> <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 colspan="3" style="width:97.8pt;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" valign="top" width="130"> <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">税务登记证号ç ?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;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" valign="top" 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> </tr> <tr> <td style="width:153.9pt;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" valign="top" width="205"> <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">证明该机构依法设立或者可依法开展经营、社会活动的证照类型<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;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" valign="top" width="149"> <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 colspan="3" style="width:97.8pt;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" valign="top" width="130"> <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">证明该机构依法设立或者可依法开展经营、社会活动的证照号码<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;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" valign="top" 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> </tr> <tr> <td style="width:153.9pt;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" valign="top" width="205"> <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">证明该机构依法设立或者可依法开展经营、社会活动的证照有效期限<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="7" style="width:322.5pt;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" valign="top" width="430"> <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> <td style="width:153.9pt;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" valign="top" width="205"> <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">机构联系电话<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:42.35pt;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" valign="top" width="56"> <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 colspan="2" style="width:70.9pt;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" valign="top" width="95"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">联系地址<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:94.0pt;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" valign="top" width="125"> <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 colspan="2" style="width:63.8pt;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" valign="top" width="85"> <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">邮政编码<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:51.45pt;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" valign="top" width="69"> <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> <td style="width:153.9pt;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" valign="top" width="205"> <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">法定代表人姓å?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;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" valign="top" width="149"> <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 colspan="3" style="width:97.8pt;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" valign="top" width="130"> <p align="center" class="MsoNormal" style="margin-right:12.0pt;text-align:center; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">法定代表人身份证件类åž?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;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" valign="top" 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> </tr> <tr> <td style="width:153.9pt;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" valign="top" width="205"> <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">法定代表人身份证件号ç ?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;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" valign="top" width="149"> <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 colspan="3" style="width:97.8pt;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" valign="top" width="130"> <p align="center" class="MsoNormal" style="margin-right:12.0pt;text-align:center; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">法定代表人身份证件有效期é™?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;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" valign="top" 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> </tr> <tr> <td style="width:153.9pt;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" valign="top" width="205"> <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">授权代表人姓å?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;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" valign="top" width="149"> <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 colspan="3" style="width:97.8pt;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" valign="top" width="130"> <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">授权代表人身份证件类åž?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;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" valign="top" 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> </tr> <tr> <td style="width:153.9pt;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" valign="top" width="205"> <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">授权代表人身份证件号ç ?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;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" valign="top" width="149"> <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 colspan="3" style="width:97.8pt;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" valign="top" width="130"> <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">授权代表人身份证件有效期é™?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;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" valign="top" 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> </tr> <tr> <td style="width:153.9pt;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" valign="top" width="205"> <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">授权代表人电è¯?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;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" valign="top" width="149"> <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 colspan="3" style="width:97.8pt;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" valign="top" width="130"> <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">授权代表äº?span lang="EN-US"><o:p></o:p></span></span></p> <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">手机号码<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;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" valign="top" 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> </tr> <tr> <td style="width:153.9pt;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" valign="top" width="205"> <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">授权代表人联系地址<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="7" style="width:322.5pt;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" valign="top" width="430"> <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="mso-yfti-irow:15;height:20.45pt"> <td style="width:153.9pt;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:20.45pt" valign="top" width="205"> <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">邮政编码<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;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:20.45pt" valign="top" width="149"> <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 colspan="3" style="width:97.8pt;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" valign="top" width="130"> <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">Email</span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">地址<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;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:20.45pt" valign="top" 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> </tr> <tr style="mso-yfti-irow:16;height:20.45pt"> <td style="width:153.9pt;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:20.45pt" valign="top" width="205"> <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">实际控制投资者的自然äº?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:111.65pt;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:20.45pt" valign="top" width="149"> <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">姓名ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <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">电话ï¼?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="3" style="width:97.8pt;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" valign="top" width="130"> <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">交易的实际受益人<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:113.05pt;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:20.45pt" valign="top" width="151"> <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">姓名ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <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">电话ï¼?span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:17;height:20.45pt"> <td style="width:153.9pt;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:20.45pt" width="205"> <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">诚信记录<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="7" style="width:322.5pt;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:20.45pt" width="430"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">是否有来源于以下机构的不良诚信记录?<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□中国人民银行征信中å¿?□最高人民法院失信被执行人名å?□工商行政管理机æž?□税务管理机æž?□监管机构、自律组ç»?□投资者在证券经营机构的失信记å½?□其他组ç»?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">□无<span lang="EN-US">    </span>□有<span lang="EN-US"><o:p></o:p></span></span></p> <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> </tr> <tr style="mso-yfti-irow:18;height:68.75pt"> <td colspan="8" style="width:476.4pt;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:68.75pt" valign="top" width="635"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">本机构保证资金来源的合法性和所提供资料的真实性、准确性、完整性,并对其承担责任ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">机构授权代表人签名:<span lang="EN-US">                        </span>机构法定代表人签名:<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><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="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">机构盖章ï¼?span lang="EN-US">                                                </span>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></p> </td> </tr> <tr style="mso-yfti-irow:19;mso-yfti-lastrow:yes;height:42.05pt"> <td colspan="8" style="width:476.4pt;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:42.05pt" valign="top" width="635"> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">经办人签章:<span lang="EN-US">            </span>复核人签章:<span lang="EN-US">         </span>营业网点盖章ï¼?span lang="EN-US">                   <o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">事后审核人签章:<span lang="EN-US">                              <o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:309.75pt;mso-char-indent-count:29.5; line-height:12.0pt"><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 lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <!--[if !supportMisalignedColumns]--> <tr height="0"> <td style="border:none" width="205"> </td> <td style="border:none" width="56"> </td> <td style="border:none" width="92"> </td> <td style="border:none" width="2"> </td> <td style="border:none" width="125"> </td> <td style="border:none" width="3"> </td> <td style="border:none" width="82"> </td> <td style="border:none" width="69"> </td> </tr> <!--[endif]--> </tbody> </table> </div> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">注:机构投资者包括法人和其他组织<b>ã€?/b></span><br clear="all" style="page-break-before: always" /> <span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span><b><span style="font-size:12.0pt; font-family:宋体">附件<span lang="EN-US">2</span>ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="font-size:12.0pt;font-family: 宋体">专业投资者申请书<span lang="EN-US"><o:p></o:p></span></span></b></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-15.9pt;border-collapse:collapse;mso-table-layout-alt:fixed; border:none;mso-border-alt:double windowtext 1.5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:.5pt solid windowtext;mso-border-insidev:.5pt solid windowtext" width="652"> <tbody> <tr style="mso-yfti-irow:0;mso-yfti-firstrow:yes;height:27.35pt"> <td rowspan="3" style="width:42.6pt;border-top:double 1.5pt; border-left:double 1.5pt;border-bottom:solid 1.0pt;border-right:solid 1.0pt; border-color:windowtext;mso-border-top-alt:double 1.5pt;mso-border-left-alt: double 1.5pt;mso-border-bottom-alt:solid .5pt;mso-border-right-alt:solid .5pt; mso-border-color-alt:windowtext;padding:0cm 5.4pt 0cm 5.4pt;layout-flow:vertical-ideographic; height:27.35pt" width="57"> <p align="center" class="MsoNormal" style="margin-top:0cm;margin-right:5.65pt; margin-bottom:0cm;margin-left:5.65pt;margin-bottom:.0001pt;text-align:center; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">投资者申请栏<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="3" style="width:5.0cm;border-top:double windowtext 1.5pt; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-left-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; mso-border-top-alt:double windowtext 1.5pt;padding:0cm 5.4pt 0cm 5.4pt; height:27.35pt" width="189"> <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:5.0cm;border-top:double windowtext 1.5pt; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-left-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; mso-border-top-alt:double windowtext 1.5pt;padding:0cm 5.4pt 0cm 5.4pt; height:27.35pt" width="189"> <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:70.85pt;border-top:double windowtext 1.5pt; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt; mso-border-left-alt:solid windowtext .5pt;mso-border-alt:solid windowtext .5pt; mso-border-top-alt:double windowtext 1.5pt;padding:0cm 5.4pt 0cm 5.4pt; height:27.35pt" width="94"> <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">资金账号<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:92.15pt;border-top:double windowtext 1.5pt; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:double windowtext 1.5pt; mso-border-left-alt:solid windowtext .5pt;mso-border-top-alt:double 1.5pt; mso-border-left-alt:solid .5pt;mso-border-bottom-alt:solid .5pt;mso-border-right-alt: double 1.5pt;mso-border-color-alt:windowtext;padding:0cm 5.4pt 0cm 5.4pt; height:27.35pt" width="123"> <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="mso-yfti-irow:1;height:20.95pt"> <td colspan="3" style="width:5.0cm;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:20.95pt" width="189"> <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">身份证明文件类别及号ç ?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:304.75pt;border-top:none;border-left: none;border-bottom:solid windowtext 1.0pt;border-right:double windowtext 1.5pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:20.95pt" width="406"> <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="mso-yfti-irow:2;height:126.9pt"> <td colspan="7" style="width:446.5pt;border-top:none; border-left:none;border-bottom:solid windowtext 1.0pt;border-right:double windowtext 1.5pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; mso-border-alt:solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:126.9pt" valign="top" width="595"> <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">本人<span lang="EN-US">/</span>机构自愿申请被划分为专业投资者,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、完整并对其负责,所提供材料符合下述相应类别的各项要求,并自主承担产生的风险和后果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 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">  </span><span style="mso-bidi-font-size:10.5pt;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></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">                      <o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:152.25pt;mso-char-indent-count:14.5; line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体">  </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">å¹?span lang="EN-US">   </span>æœ?span lang="EN-US">   </span>æ—?span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:3;height:21.65pt"> <td rowspan="12" style="width:42.6pt;border-top:none;border-left:double windowtext 1.5pt; border-bottom:double windowtext 1.5pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:solid windowtext .5pt;mso-border-top-alt:solid .5pt; mso-border-left-alt:double 1.5pt;mso-border-bottom-alt:double 1.5pt; mso-border-right-alt:solid .5pt;mso-border-color-alt:windowtext;padding:0cm 5.4pt 0cm 5.4pt; layout-flow:vertical-ideographic;height:21.65pt" width="57"> <p align="center" class="MsoNormal" style="margin-top:0cm;margin-right:5.65pt; margin-bottom:0cm;margin-left:5.65pt;margin-bottom:.0001pt;text-align:center; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">证券经营机构复核æ ?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="2" style="width:134.65pt;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:21.65pt" width="180"> <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:262.25pt;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:21.65pt" width="350"> <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:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:21.65pt" width="66"> <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="mso-yfti-irow:4;height:22.25pt"> <td rowspan="5" style="width:92.1pt;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="123"> <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">符合《办法》第八条(四)、(五)条件的投资è€?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td rowspan="3" style="width:42.55pt;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" width="57"> <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">法人或其他组ç»?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:262.25pt;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" width="350"> <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:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:22.25pt" width="66"> <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-irow:5;height:20.55pt"> <td colspan="4" style="width:262.25pt;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:20.55pt" width="350"> <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:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:20.55pt" width="66"> <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-irow:6;height:33.2pt"> <td colspan="4" style="width:262.25pt;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:33.2pt" width="350"> <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:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:33.2pt" width="66"> <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-irow:7;height:45.45pt"> <td rowspan="2" style="width:42.55pt;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:45.45pt" width="57"> <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:262.25pt;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:45.45pt" width="350"> <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:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:45.45pt" width="66"> <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-irow:8;height:45.45pt"> <td colspan="4" style="width:262.25pt;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:45.45pt" width="350"> <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:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:45.45pt" width="66"> <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-irow:9;height:21.8pt"> <td rowspan="5" style="width:92.1pt;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="123"> <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">符合《办法》第十一条规定的投资è€?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td rowspan="3" style="width:42.55pt;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:21.8pt" width="57"> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">法人或其他组ç»?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td colspan="4" style="width:262.25pt;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:21.8pt" width="350"> <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">1000</span>万元人民å¸?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:21.8pt" width="66"> <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">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:10;height:25.05pt"> <td colspan="4" style="width:262.25pt;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:25.05pt" width="350"> <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">500</span>万元人民å¸?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:25.05pt" width="66"> <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">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:11;height:28.25pt"> <td colspan="4" style="width:262.25pt;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:28.25pt" width="350"> <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">1</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:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:28.25pt" width="66"> <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">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:12;height:28.25pt"> <td rowspan="2" style="width:42.55pt;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:28.25pt" width="57"> <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:262.25pt;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:28.25pt" width="350"> <p class="MsoNormal"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">金融类资产不低于<span lang="EN-US">300</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">30</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:28.25pt" width="66"> <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">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:13;height:28.25pt"> <td colspan="4" style="width:262.25pt;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:28.25pt" width="350"> <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">1</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">1</span>年以上金融产品设计、投资、风险管理及相关工作经历<span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:49.6pt;border-top:none;border-left:none;border-bottom: solid windowtext 1.0pt;border-right:double windowtext 1.5pt;mso-border-top-alt: solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt;mso-border-alt: solid windowtext .5pt;mso-border-right-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:28.25pt" width="66"> <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">□是<span lang="EN-US">  </span>□否<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:14;mso-yfti-lastrow:yes;height:80.95pt"> <td style="width:92.1pt;border-top:none;border-left: none;border-bottom:double windowtext 1.5pt;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;mso-border-bottom-alt:double windowtext 1.5pt; padding:0cm 5.4pt 0cm 5.4pt;height:80.95pt" valign="top" width="123"> <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 colspan="6" style="width:354.4pt;border-top:none; border-left:none;border-bottom:double windowtext 1.5pt;border-right:double windowtext 1.5pt; mso-border-top-alt:solid windowtext .5pt;mso-border-left-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:80.95pt" valign="top" width="473"> <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> <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"> </span></p> <p class="MsoNormal" style="text-indent:21.0pt;mso-char-indent-count:2.0; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">复核人(一):<span lang="EN-US">                          </span>复核人(二)ï¼?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"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">å¹?span lang="EN-US">   </span>æœ?span lang="EN-US">   </span>æ—?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></p> </td> </tr> <!--[if !supportMisalignedColumns]--> <tr height="0"> <td style="border:none" width="57"> </td> <td style="border:none" width="123"> </td> <td style="border:none" width="57"> </td> <td style="border:none" width="9"> </td> <td style="border:none" width="189"> </td> <td style="border:none" width="94"> </td> <td style="border:none" width="57"> </td> <td style="border:none" width="66"> </td> </tr> <!--[endif]--> </tbody> </table> <p> </p> <p class="MsoNormal" style="line-height:12.0pt"><b><span style="font-size:12.0pt;font-family:宋体">附件<span lang="EN-US">3</span>ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="font-size:12.0pt;font-family: 宋体">专业投资者告知及确认ä¹?span lang="EN-US"><o:p></o:p></span></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:double windowtext 1.5pt;mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-border-insideh:1.5pt double windowtext;mso-border-insidev:1.5pt double windowtext" width="624"> <tbody> <tr style="mso-yfti-irow:0;mso-yfti-firstrow:yes;page-break-inside:avoid; height:317.45pt"> <td style="width:49.65pt;border:double windowtext 1.5pt;border-right: solid windowtext 1.0pt;mso-border-alt:double windowtext 1.5pt;mso-border-right-alt: solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;layout-flow:vertical-ideographic; height:317.45pt" width="66"> <p align="center" class="MsoNormal" style="margin-top:0cm;margin-right:5.65pt; margin-bottom:0cm;margin-left:5.65pt;margin-bottom:.0001pt;text-align:center; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">证券经营机构告知æ ?span lang="EN-US"><o:p></o:p></span></span></p> </td> <td style="width:418.15pt;border:double windowtext 1.5pt; border-left:none;mso-border-left-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt; height:317.45pt" width="558"> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">尊敬的投资者(投资者姓å?span lang="EN-US">/</span>名称<span lang="EN-US">:<u>             </u></span>,资金账号:<u><span lang="EN-US">         </span></u>):<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 style="mso-bidi-font-size: 10.5pt;font-family:宋体">根据您提供的财产状况、交易情况、工作经历等相关证明材料<span lang="EN-US">,</span>经复核您被划分为专业投资者。现将有关事项告知如ä¸?span lang="EN-US">,</span>请您仔细阅读<span lang="EN-US">,</span>并在投资者确认栏签字(签章)确认ï¼?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:12.0pt;layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">一、证券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义务区别于其他投资者ã€?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 style="mso-bidi-font-size:10.5pt;font-family:宋体">二、如您希望不再被划分为专业投资者,可向本公司提出申请ã€?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 style="mso-bidi-font-size:10.5pt;font-family:宋体">三、当您的财产状况、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,将不再被划分为专业投资者ã€?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"> </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"> </span></b></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体"> </span></b></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><span style="mso-bidi-font-size:10.5pt;font-family:宋体">证券营业网点签章ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:136.5pt;mso-char-indent-count:13.0; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">å¹?span lang="EN-US">   </span>æœ?span lang="EN-US">   </span>æ—?span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:1;mso-yfti-lastrow:yes;page-break-inside:avoid; height:317.75pt"> <td style="width:49.65pt;border-top:none;border-left:double windowtext 1.5pt; border-bottom:double windowtext 1.5pt;border-right:solid windowtext 1.0pt; mso-border-top-alt:double windowtext 1.5pt;mso-border-alt:double windowtext 1.5pt; mso-border-right-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt; layout-flow:vertical-ideographic;height:317.75pt" width="66"> <p align="center" class="MsoNormal" style="margin-top:0cm;margin-right:5.65pt; margin-bottom:0cm;margin-left:5.65pt;margin-bottom:.0001pt;text-align:center; line-height:12.0pt"><span style="mso-bidi-font-size:10.5pt;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:418.15pt;border-top:none;border-left:none; border-bottom:double windowtext 1.5pt;border-right:double windowtext 1.5pt; mso-border-top-alt:double windowtext 1.5pt;mso-border-left-alt:solid windowtext .5pt; padding:0cm 5.4pt 0cm 5.4pt;height:317.75pt" width="558"> <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">本人<span lang="EN-US">/</span>机构自愿申请被划分为专业投资者,已阅读了上述告知内容,确认相关申请材料真实、准确、完整,并知悉贵公司根据申请材料将本äº?span lang="EN-US">/</span>机构划分为专业投资者。对于贵公司销售的产品或提供的服务,本äº?span lang="EN-US">/</span>机构具有专业判断能力,能够自行进行专业判断ã€?b><span lang="EN-US" style="color:white"><o:p></o:p></span></b></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">本人<span lang="EN-US">/</span>机构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义务方面的区别,本äº?span lang="EN-US">/</span>机构知悉可以自愿申请或因不再符合专业投资者的条件,而不再被划分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:12.0pt"><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"><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"><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"> </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"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">            </span><span style="mso-bidi-font-size: 10.5pt;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></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">                       </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">å¹?span lang="EN-US">   </span>æœ?span lang="EN-US">   </span>æ—?span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> </tbody> </table> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p> </p> <p class="MsoNormal" style="line-height:12.0pt"><b><span style="font-size:12.0pt;font-family:宋体">附件<span lang="EN-US">4</span>ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="font-size:12.0pt;font-family:宋体">投资者风险承受能力评估问卷(适用于自然人投资者)</span></b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="font-size:12.0pt;font-family:宋体">投资者姓名:<u><span lang="EN-US">                 <o:p></o:p></span></u></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="font-size:12.0pt;font-family:宋体">资金账号ï¼?u><span lang="EN-US">                 <o:p></o:p></span></u></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体">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产品</span><span style="font-size: 12.0pt;font-family:宋体;mso-ansi-language:EN-GB">或服务类别,以符合您的风险承受能力ã€?span lang="EN-GB"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体;mso-ansi-language:EN-GB">风险承受能力评估是本公司向投资者履行适当性义务的一个环节,其目的是使本公司所提供的产品或服务与您的风险承受能力等级相匹配ã€?span lang="EN-GB"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体;mso-ansi-language:EN-GB">本公司特别提醒您:本公司向投资者履行风险承受能力评估等适当性义务,并不能取代您自己的投资判断,也不会降低产品或服务的固有风险。同时,与产品或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 lang="EN-GB"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体;mso-ansi-language:EN-GB">本公司提示您:本公司根据您提供的信息对您进行风险承受能力评估,履è¡?/span><span style="font-size:12.0pt;font-family:宋体">适当性义务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体">本公司建议:当您的各项状况发生重大变化时,需对您所投资的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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体">本公司在此承诺,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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span style="font-size:12.0pt;font-family:宋体">一、财务状å†?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">1ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">您的主要收入来源是:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">工资、劳务报é…?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">生产经营所å¾?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">利息、股息、转让证券等金融性资产收å…?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">出租、出售房地产等非金融性资产收å…?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">E. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">无固定收å…?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">2ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">最近您家庭预计进行证券投资的资金占家庭现有总资äº?span lang="EN-US">(</span>不含自住、自用房产及汽车等固定资äº?span lang="EN-US">)</span>的比例是ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A</span><span style="font-size:12.0pt;font-family:宋体">ï¼?span lang="EN-US">70%</span>以上<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B</span><span style="font-size:12.0pt;font-family:宋体">ï¼?span lang="EN-US">50%-70% <o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C</span><span style="font-size:12.0pt;font-family:宋体">ï¼?span lang="EN-US">30%</span>ï¼?span lang="EN-US">50%<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D</span><span style="font-size:12.0pt;font-family:宋体">ï¼?span lang="EN-US">10%</span>ï¼?span lang="EN-US">30%<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E</span><span style="font-size:12.0pt;font-family:宋体">ï¼?span lang="EN-US">10%</span>以下<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">3ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">您是否有尚未清偿的数额较大的债务,如有,其性质是:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">没有<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">有,住房抵押贷款等长期定额债务<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">有,信用卡欠款、消费信贷等短期信用债务<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">有,亲朋之间借款<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">4ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">您可用于投资的资产数额(包括金融资产和不动产)为ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. </span><span style="font-size:12.0pt;font-family:宋体">不超è¿?span lang="EN-US">50</span>万元人民å¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. 50</span><span style="font-size:12.0pt;font-family:宋体">ä¸?span lang="EN-US">-300</span>万元(不含)人民å¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. 300</span><span style="font-size:12.0pt;font-family:宋体">ä¸?span lang="EN-US">-1000</span>万元(不含)人民å¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. 1000</span><span style="font-size:12.0pt;font-family:宋体">万元人民币以ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">二ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">投资知识<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">5ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">以下描述中何种符合您的实际情况:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A.</span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B.</span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C.</span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">取得证券从业资格、基金从业资格、期货从业资格、注册会计师证书ï¼?span lang="EN-US">CPA</span>)或注册金融分析师证书(<span lang="EN-US">CFA</span>)中的一项及以上<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D.</span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">我不符合以上任何一项描è¿?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">三ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">投资经验<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">6ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">您的投资经验可以被概括为ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A</span><span style="font-size:12.0pt;font-family:宋体">.有限:除银行活期账户和定期存款外,我基本没有其他投资经éª?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B</span><span style="font-size:12.0pt;font-family:宋体">.一般:除银行活期账户和定期存款外,我购买过基金、保险等理财产品,但还需要进一步的指导<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C</span><span style="font-size:12.0pt;font-family:宋体">.丰富: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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D</span><span style="font-size:12.0pt;font-family:宋体">.非常丰富: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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">7ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">有一位投资者一个月内做äº?span lang="EN-US">15</span>笔交易(同一品种买卖各一次算一笔),您认为这样的交易频率:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. </span><span style="font-size:12.0pt;font-family:宋体">太高äº?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. </span><span style="font-size:12.0pt;font-family:宋体">偏高<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. </span><span style="font-size:12.0pt;font-family:宋体">正常<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">偏低<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">8ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">过去一年时间内,您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 lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">5</span><span style="font-size:12.0pt; font-family:宋体">个以ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">6</span><span style="font-size:12.0pt; font-family:宋体">è‡?span lang="EN-US">10</span>ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">11</span><span style="font-size:12.0pt; font-family:宋体">è‡?span lang="EN-US">15</span>ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">16</span><span style="font-size:12.0pt; font-family:宋体">个以ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">9ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">以下金融产品或服务,您投资经验在两年以上的有ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">银行存款ç­?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">期货、期权、融资融åˆ?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">E. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">复杂金融产品、其他产品或服务<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="font-size:12.0pt;font-family:宋体">(注:本题可多选,但评分以其中最高分值选项为准。)<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">10ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">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少:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. 10</span><span style="font-size:12.0pt;font-family:宋体">万元以内<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. 10</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-30</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. 30</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-100</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. 100</span><span style="font-size:12.0pt;font-family:宋体">万元以上<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E. </span><span style="font-size:12.0pt;font-family:宋体">从未从事过金融市场投èµ?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span style="font-size:12.0pt;font-family:宋体">四、投资目æ ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">11ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">您用于证券投资的大部分资金不会用作其它用途的时间段为ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A</span><span style="font-size:12.0pt;font-family:宋体">ï¼?span lang="EN-US">0</span>åˆ?span lang="EN-US">1</span>å¹?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B</span><span style="font-size:12.0pt;font-family:宋体">ï¼?span lang="EN-US">1</span>åˆ?span lang="EN-US">5</span>å¹?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C</span><span style="font-size:12.0pt;font-family:宋体">.无特别要求<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">12ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">您打算重点投资于哪些种类的投资品种?<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A.  </span><span style="font-size:12.0pt; font-family:宋体">债券、货币市场基金、债券基金等固定收益类投资品种<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B.  </span><span style="font-size:12.0pt; font-family:宋体">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<b><span lang="EN-US"><o:p></o:p></span></b></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold">C.<b> </b></span><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span><span style="font-size:12.0pt; font-family:宋体">期货、期权、融资融券等<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D.  </span><span style="font-size:12.0pt; font-family:宋体">高风险金融产品或服务<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E.  </span><span style="font-size:12.0pt; font-family:宋体">其他产品或服åŠ?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="font-size:12.0pt;font-family:宋体">(注:本题可多选,但评分以其中最高分值选项为准。)<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">13ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">假设有两种不同的投资:投èµ?span lang="EN-US">A</span>期望获得<span lang="EN-US">5%</span>的收益,有可能承担非常小的损失;投资<span lang="EN-US">B</span>期望获得<span lang="EN-US">20%</span>的收益,但有可能面临<span lang="EN-US">25%</span>甚至更高的亏损。您将您的投资资产分配为ï¼?<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A</span><span style="font-size:12.0pt;font-family:宋体">.全部投资于<span lang="EN-US">A<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B</span><span style="font-size:12.0pt;font-family:宋体">.大部分投资äº?span lang="EN-US">A<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C</span><span style="font-size:12.0pt;font-family:宋体">.两种投资各一å?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D</span><span style="font-size:12.0pt;font-family:宋体">.大部分投资äº?span lang="EN-US">B<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E</span><span style="font-size:12.0pt;font-family:宋体">.全部投资于<span lang="EN-US">B<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">14ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">当您进行投资时,您的期望收益是:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A</span><span style="font-size:12.0pt;font-family:宋体">.尽可能保证本金安全,不在乎收益率比较低<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B</span><span style="font-size:12.0pt;font-family:宋体">.产生一定的收益,可以承担一定的投资风险<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C</span><span style="font-size:12.0pt;font-family:宋体">.产生较多的收益,可以承担较大的投资风险<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D</span><span style="font-size:12.0pt;font-family:宋体">.实现资产大幅增长,愿意承担很大的投资风é™?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span style="font-size:12.0pt;font-family:宋体">五、风险偏å¥?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">15ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">您认为自己能承受的最大投资损失是多少ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. </span><span style="font-size:12.0pt;font-family:宋体">不能承受任何损失<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. </span><span style="font-size:12.0pt;font-family:宋体">一定的投资损失<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. </span><span style="font-size:12.0pt;font-family:宋体">较大的投资损å¤?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">损失可能超过本金<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">16</span></b><b><span style="font-size:12.0pt;font-family:宋体">、您打算将自己的投资回报主要用于ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">改善生活<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">个体生产经营或证券投资以外的投资行为<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">履行扶养、抚养或赡养义务<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">本人养老或医疗<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">E. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">偿付债务<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span style="font-size:12.0pt;font-family:宋体">六、其他信æ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="text-indent:30.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly"><span lang="EN-US" style="font-size:15.0pt;mso-fareast-font-family:方正仿宋简ä½?> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">17</span></b><b><span style="font-size:12.0pt;font-family:宋体">、您的年龄是ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. 18-30</span><span style="font-size:12.0pt;font-family:宋体">å²?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. 31-40</span><span style="font-size:12.0pt;font-family:宋体">å²?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. 41-50</span><span style="font-size:12.0pt;font-family:宋体">å²?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D 51-60</span><span style="font-size:12.0pt;font-family:宋体">å²?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E. </span><span style="font-size:12.0pt;font-family:宋体">超过<span lang="EN-US">60</span>å²?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 26.25pt; text-indent: -26.25pt; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">18ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">今后五年时间内,您的父母、配偶以及未成年子女等需负法定抚养、扶养和赡养义务的人数为ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">1-2</span><span style="font-size:12.0pt; font-family:宋体">äº?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">3-4</span><span style="font-size:12.0pt; font-family:宋体">äº?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">5</span><span style="font-size:12.0pt; font-family:宋体">人以ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 26.25pt; text-indent: -26.25pt; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">19ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">您的最高学历是ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">高中或以ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">大学专科<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">大学本科<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">硕士及以ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 26.25pt; text-indent: -26.25pt; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">20ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">您家庭的就业状况是:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. </span><span style="font-size:12.0pt;font-family:宋体">您与配偶均有稳定收入的工ä½?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. </span><span style="font-size:12.0pt;font-family:宋体">您与配偶其中一人有稳定收入的工ä½?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. </span><span style="font-size:12.0pt;font-family:宋体">您与配偶均没有稳定收入的工作或者已退ä¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">未婚,但有稳定收入的工作<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E. </span><span style="font-size:12.0pt;font-family:宋体">未婚,目前暂无稳定收入的工作<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><b><u><span style="font-size:12.0pt;font-family:宋体">投资者签署确è®?span lang="EN-US"><o:p></o:p></span></span></u></b></p> <p class="MsoNormal" style="text-indent:23.6pt;mso-char-indent-count:1.96; line-height:12.0pt"><b><span style="font-size:12.0pt;font-family:宋体">本人已经了解并愿意遵守国家有关证券市场管理的法律、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、完整并对其负责。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 lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="line-height:12.0pt"><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="line-height:12.0pt"><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="line-height:12.0pt"><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">                                         </span></b><b><span style="font-size:12.0pt;font-family:宋体">投资者(签名):<span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="line-height:12.0pt"><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">                                         </span></b><b><span style="font-size:12.0pt;font-family:宋体">签署日期ï¼?</span></b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"><o:p></o:p></span></p> <p> </p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="font-size:12.0pt;font-family:宋体">投资者风险承受能力评估问卷(适用于机构投资者)</span></b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="font-size:12.0pt;font-family:宋体">投资者名称:<u><span lang="EN-US">                  <o:p></o:p></span></u></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="font-size:12.0pt;font-family:宋体">资金账号ï¼?u><span lang="EN-US">                  <o:p></o:p></span></u></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体">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产品</span><span style="font-size:12.0pt;font-family:宋体;mso-ansi-language:EN-GB">或服务类别,以符合贵单位的风险承受能力ã€?span lang="EN-GB"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体;mso-ansi-language:EN-GB">风险承受能力评估是本公司向投资者履行适当性义务的一个环节,其目的是使本公司所提供的产品或服务与贵单位的风险承受能力等级相匹配ã€?span lang="EN-GB"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体;mso-ansi-language:EN-GB">本公司特别提醒贵单位:本公司向投资者履行风险承受能力评估等适当性义务,并不能取代贵单位自己的投资判断,也不会降低产品或服务的固有风险。同时,与产品或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 lang="EN-GB"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体;mso-ansi-language:EN-GB">本公司提示贵单位: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,履è¡?/span><span style="font-size:12.0pt;font-family:宋体">适当性义务ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体">本公司建议: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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="text-indent: 24pt; line-height: 12pt;"><span style="font-size:12.0pt; font-family:宋体">本公司在此承诺,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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">1ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位的性质ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">国有企事业单ä½?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">非上市民营企ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">外资企业<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">上市公司<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">2ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位的净资产规模为:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. 500</span><span style="font-size:12.0pt;font-family:宋体">万元以下<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. 500</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-2000</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. 2000</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-1</span>亿元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">超过<span lang="EN-US">1</span>亿元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">3ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位年营业收入为:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. 500</span><span style="font-size:12.0pt;font-family:宋体">万元以下<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. 500</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-2000</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. 2000</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-1</span>亿元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">超过<span lang="EN-US">1</span>亿元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">4ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位证券账户资产为ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. 300</span><span style="font-size:12.0pt;font-family:宋体">万元以内<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. 300</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-1000</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. 1000</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-3000</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">超过<span lang="EN-US">3000</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">5ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位是否有尚未清偿的数额较大的债务?如有,主要是:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. </span><span style="font-size:12.0pt;font-family:宋体">银行贷款<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. </span><span style="font-size:12.0pt;font-family:宋体">公司债券或企业债券<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. </span><span style="font-size:12.0pt;font-family:宋体">通过担保公司等中介机构募集的借款<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">民间借贷<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E. </span><span style="font-size:12.0pt;font-family:宋体">没有数额较大的债务<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">6ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">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 lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">一名兼职人员(包括负责人自行决策)<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">一名专职人å‘?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">多名兼职或专职人员,相互之间分工不明ç¡?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">多名兼职或专职人员,相互之间有明确分å·?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">7ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">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 lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">取得证券从业资格、期货从业资格、注册会计师证书ï¼?span lang="EN-US">CPA</span>)或注册金融分析师证书(<span lang="EN-US">CFA</span>)中的一项及以上<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">本单位所配置的人员不符合以上任何一项描è¿?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">8ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位是否建立了金融产品投资相关的管理制度:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">没有。因为要保证操作的灵活æ€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">9ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位的投资经验可以被概括为ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A</span><span style="font-size:12.0pt;font-family:宋体">.有限:除银行活期账户和定期存款外,基本没有其他投资经验<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B</span><span style="font-size:12.0pt;font-family:宋体">.一般: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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C</span><span style="font-size:12.0pt;font-family:宋体">.丰富:本单位具有相当投资经验,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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D</span><span style="font-size:12.0pt;font-family:宋体">.非常丰富:本单位对于投资非常有经验,参与过权证、期货或创业板等产品的交æ˜?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">10ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">有一位投资者一个月内做äº?span lang="EN-US">15</span>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 lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. </span><span style="font-size:12.0pt;font-family:宋体">太高äº?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. </span><span style="font-size:12.0pt;font-family:宋体">偏高<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. </span><span style="font-size:12.0pt;font-family:宋体">正常<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">偏低<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">11ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">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 lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">5</span><span style="font-size:12.0pt; font-family:宋体">个以ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">6</span><span style="font-size:12.0pt; font-family:宋体">è‡?span lang="EN-US">10</span>ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">11</span><span style="font-size:12.0pt; font-family:宋体">è‡?span lang="EN-US">15</span>ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">16</span><span style="font-size:12.0pt; font-family:宋体">个以ä¸?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">12ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">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 lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. </span><span style="font-size:12.0pt;font-family:宋体">银行存款ç­?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. </span><span style="font-size:12.0pt;font-family:宋体">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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C .</span><span style="font-size:12.0pt;font-family:宋体">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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">期货、期权、融资融券等<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E. </span><span style="font-size:12.0pt;font-family:宋体">复杂金融产品、其他产品或服务<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="font-size:12.0pt;font-family:宋体">(注:本题可多选,但评分以其中最高分值选项为准。)<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">13ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">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少:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. 100</span><span style="font-size:12.0pt;font-family:宋体">万元以内<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. 100</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-300</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. 300</span><span style="font-size:12.0pt;font-family:宋体">万元<span lang="EN-US">-1000</span>万元<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. 1000</span><span style="font-size:12.0pt;font-family:宋体">万元以上<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E. </span><span style="font-size:12.0pt;font-family:宋体">从未投资过金融产å“?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">14ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位用于证券投资的大部分资金不会用作其它用途的时间段为ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A</span><span style="font-size:12.0pt;font-family:宋体">ï¼?span lang="EN-US">0</span>åˆ?span lang="EN-US">1</span>å¹?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B</span><span style="font-size:12.0pt;font-family:宋体">ï¼?span lang="EN-US">1</span>åˆ?span lang="EN-US">5</span>å¹?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C</span><span style="font-size:12.0pt;font-family:宋体">.无特别要求<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">15ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位进行投资时的期望收益是ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A</span><span style="font-size:12.0pt;font-family:宋体">.尽可能保证本金安全,不在乎收益率比较低<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B</span><span style="font-size:12.0pt;font-family:宋体">.产生一定的收益,可以承担一定的投资风险<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C</span><span style="font-size:12.0pt;font-family:宋体">.产生较多的收益,可以承担较大的投资风险<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D</span><span style="font-size:12.0pt;font-family:宋体">.实现资产大幅增长,愿意承担很大的投资风é™?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">16ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位打算重点投资于哪些种类的投资品种?<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">债券、货币市场基金、债券基金等固定收益类投资品种<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">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 lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">期货、期权、融资融券等<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">复杂金融产品或服åŠ?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">E. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">其他产品或服åŠ?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="font-size:12.0pt;font-family:宋体">(注:本题可多选,但评分以其中最高分值选项为准。)<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">17ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位认为自己能承受的最大投资损失是多少ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A. </span><span style="font-size:12.0pt;font-family:宋体">不能承受任何损失<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B. </span><span style="font-size:12.0pt;font-family:宋体">一定的投资损失<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C. </span><span style="font-size:12.0pt;font-family:宋体">较大的投资损å¤?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D. </span><span style="font-size:12.0pt;font-family:宋体">损失可能超过本金<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">18ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">假设有两种不同的投资:投èµ?span lang="EN-US">A</span>期望获得<span lang="EN-US">5%</span>的收益,有可能承担非常小的损失;投资<span lang="EN-US">B</span>期望获得<span lang="EN-US">20%</span>的收益,但有可能面临<span lang="EN-US">25%</span>甚至更高的亏损。您将您的投资资产分配为ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">A</span><span style="font-size:12.0pt;font-family:宋体">.全部投资于<span lang="EN-US">A<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">B</span><span style="font-size:12.0pt;font-family:宋体">.大部分投资äº?span lang="EN-US">A<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">C</span><span style="font-size:12.0pt;font-family:宋体">.两种投资各一å?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">D</span><span style="font-size:12.0pt;font-family:宋体">.大部分投资äº?span lang="EN-US">B<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体">E</span><span style="font-size:12.0pt;font-family:宋体">.全部投资于<span lang="EN-US">B<o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">19ã€?/span></b><!--[endif]--><b><span style="font-size:12.0pt;font-family:宋体">贵单位参与金融产品投资的主要目的是什么:<span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">A. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">闲置资金保值增å€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">B. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">获取主营业务以外的投资收ç›?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">C. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">现货套期保值、对冲主营业务风é™?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 0cm; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体">D. </span><!--[endif]--><span style="font-size:12.0pt; font-family:宋体">减持已持有的股票<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><u><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></u></p> <p class="MsoNormal" style="line-height:12.0pt"><b><u><span style="font-size:12.0pt;font-family:宋体">投资者签署确è®?span lang="EN-US"><o:p></o:p></span></span></u></b></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p class="MsoNormal" style="text-indent:23.6pt;mso-char-indent-count:1.96; line-height:12.0pt"><b><span style="font-size:12.0pt;font-family:宋体">本机构已经了解并愿意遵守国家有关证券市场管理的法律、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、完整并对其负责。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 lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold">                                         </span><span style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold">投资者(盖章):<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold">                                         </span><span style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold">签署日期ï¼?</span><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"><o:p></o:p></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold">问卷及评估方法说明:<span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 24pt; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体; mso-bidi-font-weight:bold">1ã€?/span><!--[endif]--><span style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold">证券经营机构可在本问卷基础上增加本公司认为较重要的问题,或对本问卷现有问题及答案的表述方式或内容进行调整,以更全面地了解投资者风险承受能力情况ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 24pt; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体; mso-bidi-font-weight:bold">2ã€?/span><!--[endif]--><span style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold">证券经营机构进行评估时,应根据评估选项与风险承受能力的相关性,确定选项的分值和权重,同时建立评估分值与风险承受能力等级的对应关系。为全面综合考虑投资者风险承受能力,分值设置应整体均衡,但对于特别重要的问题,分值设置可考虑有所偏重ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 24pt; line-height: 12pt;"><!--[if !supportLists]--><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-family:宋体; mso-bidi-font-weight:bold">3ã€?/span><!--[endif]--><span style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold">证券经营机构根据评分情况设置投资者风险承受能力等级,等级应与问卷测评分数段一一对应。投资者风险承受能力等级划分与本公司产品风险等级划分应当一致ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span lang="EN-US" style="font-size:12.0pt;font-family:宋体;mso-bidi-font-weight:bold"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">注:机构投资者包括法人和其他组织ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p> </p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span lang="EN-US" style="font-size:12.0pt; font-family:宋体"> </span></b></p> <p class="MsoNormal" style="line-height:12.0pt;layout-grid-mode:char;mso-layout-grid-align: none"><b><span lang="EN-US" style="font-size: 12.0pt;font-family:宋体"> </span></b><b><span style="font-size:12.0pt;font-family: 宋体">附件<span lang="EN-US">5</span>ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-8.8pt;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" width="595"> <tbody> <tr style="mso-yfti-irow:0;mso-yfti-firstrow:yes;height:28.1pt"> <td colspan="2" style="width:446.55pt;border:solid windowtext 1.0pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:28.1pt" valign="top" width="595"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">投资者风险承受能力评估结果告知书(一式两份)</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="mso-yfti-irow:1;height:23.05pt"> <td colspan="2" style="width:446.55pt;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="595"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">提示:本表由证券经营机构填写,证券经营机构和投资者双方各自留存ã€?span lang="EN-US"><o:p></o:p></span></span></b></p> </td> </tr> <tr style="mso-yfti-irow:2;height:299.2pt"> <td style="width:42.55pt;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:299.2pt" width="57"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">æŠ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">èµ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">è€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">ç•?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">å­?/span></b><span lang="EN-US" style="mso-bidi-font-size:10.5pt; font-family:宋体"><o:p></o:p></span></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:299.2pt" valign="top" width="539"> <p class="MsoNormal" style="line-height:12.0pt;vertical-align:baseline"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">尊敬的投资者(姓名<span lang="EN-US">/</span>名称ï¼?span lang="EN-US">__________ </span>资金账号ï¼?span lang="EN-US">____________________</span>):<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:20.15pt;mso-char-indent-count:1.92; line-height:12.0pt;vertical-align:baseline"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">根据您填写的《投资者风险承受能力问卷》,本公司对您的风险承受能力进行了综合评估,现得到评估结果如下:<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;vertical-align:baseline"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">您的风险承受能力为:<span lang="EN-US">______________________</span>(根据公司风险承受能力等级划分填写,例如:□<span lang="EN-US">C1</span>(含风险承受能力最低类别的投资者)â–?span lang="EN-US">C1(</span>不含风险承受能力最低类别的投资è€?span lang="EN-US">) </span>â–?span lang="EN-US">C2</span>â–?span lang="EN-US">C3</span>â–?span lang="EN-US">C4</span>â–?span lang="EN-US">C5</span>ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:20.25pt;mso-char-indent-count:1.92; line-height:12.0pt;vertical-align:baseline"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">本公司在此郑重提醒,本公司向您销售的产品或提供的服务将以您的风险承受能力等级为基础,若您提供的信息发生任何重大变化,您都应当及时书面通知本公司。本公司建议您审慎评判自身风险承受能力、结合自身投资行为,作出审慎的投资判断ã€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="text-indent:20.25pt;mso-char-indent-count:1.92; line-height:12.0pt;vertical-align:baseline"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">如您在审慎考虑后同意本公司的评估结果,请认真阅读下列内容,并签字以示同æ„?/span></b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">ã€?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt;vertical-align:baseline"><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;vertical-align:baseline"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">                                             XX</span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">公司<span lang="EN-US">XX</span>营业网点<span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="margin-right:21.0pt;text-align:center; line-height:12.0pt;vertical-align:baseline"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">                               </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">签署日期ï¼?span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:3;mso-yfti-lastrow:yes;height:296.65pt"> <td style="width:42.55pt;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:296.65pt" width="57"> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">è¯?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">åˆ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">ç»?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">è?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">æœ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">æž?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">ç•?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="mso-bidi-font-size:10.5pt; font-family:宋体">å­?/span></b><span lang="EN-US" style="mso-bidi-font-size:10.5pt; font-family:宋体"><o:p></o:p></span></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:296.65pt" valign="top" width="539"> <p class="MsoNormal" style="line-height:12.0pt;vertical-align:baseline"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">XX</span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">公司<span lang="EN-US">**</span>营业网点ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:12.0pt;vertical-align:baseline"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">    </span><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">本人(机构)在贵公司的提醒下,已经审慎考虑自身的风险承受能力在此确认:<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;line-height:12.0pt;vertical-align: baseline"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">本人(机构)的风险承受能力为ï¼?span lang="EN-US">__________________</span>(根据公司风险承受能力等级划分填写,例如:□<span lang="EN-US">C1</span>(含风险承受能力最低类别的投资者)â–?span lang="EN-US">C1(</span>不含风险承受能力最低类别的投资è€?span lang="EN-US">) </span>â–?span lang="EN-US">C2</span>â–?span lang="EN-US">C3</span>â–?span lang="EN-US">C4</span>â–?span lang="EN-US">C5</span>ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.0pt;line-height:12.0pt;vertical-align: baseline"><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;vertical-align:baseline"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">    </span><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">本人(机构)经贵公司提醒,已充分知晓贵公司向本人(机构)销售的产品或提供的服务将以本人(机构)此次确认的风险承受能力等级为基础。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。本确认书系本人(机构)独立、自主、真实的意思表示,特此确认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="line-height:12.0pt;vertical-align:baseline"><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;vertical-align:baseline"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">                               </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">投资者确认签章:<span lang="EN-US">            <o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:20.15pt;mso-char-indent-count:1.92; line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt; font-family:宋体">                           </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">签署日期ï¼?span lang="EN-US">   <o:p></o:p></span></span></p> </td> </tr> </tbody> </table> <p class="MsoNormal"><b><span lang="EN-US" style="font-size:12.0pt;font-family:宋体"> </span></b></p> <p class="MsoNormal"><b><span style="font-size:12.0pt;font-family:宋体">附件<span lang="EN-US">6</span>ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="margin-bottom:12.0pt;text-align:center; line-height:150%;layout-grid-mode:char;mso-layout-grid-align:none"><b><span style="mso-bidi-font-size:10.5pt; line-height:150%;font-family:宋体;color:black">《产品或服务风险等级名录ã€?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;mso-layout-grid-align:none"><span style="mso-bidi-font-size:10.5pt;line-height:150%;font-family:宋体;color:black">为有效指引证券经营机构对产品或服务进行风险分级,依据《证券期货投资者适当性管理办法》第三十六条制定本名录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;mso-layout-grid-align:none"><span style="mso-bidi-font-size:10.5pt;line-height:150%;font-family:宋体;color:black">证券经营机构应参考本名录并依据《办法》第十六条、第十七条规定细化本机构的产品或服务风险等级评价标准,科学有效评估产品或服务的风险等级,并根据法律法规、监管规定以及信用风险、市场风险、操作风险、流动性风险等方面的变化及时调整产品或服务的风险等级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;mso-layout-grid-align:none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family:宋体; color:black"> </span></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-8.8pt;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" width="595"> <tbody> <tr style="mso-yfti-irow:0;mso-yfti-firstrow:yes;height:13.75pt"> <td style="width:106.35pt;border:solid windowtext 1.0pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;height:13.75pt" valign="top" width="142"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; layout-grid-mode:char;mso-layout-grid-align:none"><b><span style="mso-bidi-font-size: 10.5pt;line-height:150%;font-family:宋体;color:black">风险等级</span></b><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;mso-bidi-font-family:Calibri;color:black"><o:p></o:p></span></b></p> </td> <td style="width:12.0cm;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:13.75pt" valign="top" width="454"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; layout-grid-mode:char;mso-layout-grid-align:none"><b><span style="mso-bidi-font-size: 10.5pt;line-height:150%;font-family:宋体;color:black">特征描述<span lang="EN-US"><o:p></o:p></span></span></b></p> </td> </tr> <tr style="mso-yfti-irow:1;height:18.95pt"> <td style="width:106.35pt;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:18.95pt" valign="top" width="142"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; layout-grid-mode:char;mso-layout-grid-align:none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family:宋体;color:black">R1</span><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;mso-bidi-font-family:Calibri;color:black"><o:p></o:p></span></p> </td> <td style="width:12.0cm;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:18.95pt" valign="top" width="454"> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;color:black">结构简单,容易理解,流动性高,本金遭受损失的可能性极ä½?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%; font-family:宋体;color:black"> </span></p> </td> </tr> <tr style="mso-yfti-irow:2;height:41.3pt"> <td style="width:106.35pt;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:41.3pt" valign="top" width="142"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; layout-grid-mode:char;mso-layout-grid-align:none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family:宋体;color:black">R2</span><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;mso-bidi-font-family:Calibri;color:black"><o:p></o:p></span></p> </td> <td style="width:12.0cm;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:41.3pt" valign="top" width="454"> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;color:black">结构简单,容易理解,流动性较高,本金遭受损失的可能性较ä½?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%; font-family:宋体;color:black"> </span></p> </td> </tr> <tr style="mso-yfti-irow:3;height:41.3pt"> <td style="width:106.35pt;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:41.3pt" valign="top" width="142"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; layout-grid-mode:char;mso-layout-grid-align:none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family:宋体;color:black">R3</span><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;mso-bidi-font-family:Calibri;color:black"><o:p></o:p></span></p> </td> <td style="width:12.0cm;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:41.3pt" valign="top" width="454"> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;color:black">结构较复杂,流动性较高,本金安全具有一定的不确定性,在特殊情况下可能损失全部本金</span><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%; font-family:宋体"> </span></p> </td> </tr> <tr style="mso-yfti-irow:4;height:55.05pt"> <td style="width:106.35pt;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:55.05pt" valign="top" width="142"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; layout-grid-mode:char;mso-layout-grid-align:none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family:宋体;color:black">R4</span><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;mso-bidi-font-family:Calibri;color:black"><o:p></o:p></span></p> </td> <td style="width:12.0cm;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:55.05pt" valign="top" width="454"> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;color:black">结构复杂,流动性较低,本金安全面临较大的不确定性,可能损失全部本金</span><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family:宋体"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%; font-family:宋体"> </span></p> </td> </tr> <tr style="mso-yfti-irow:5;mso-yfti-lastrow:yes;height:37.2pt"> <td style="width:106.35pt;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:37.2pt" valign="top" width="142"> <p align="center" class="MsoNormal" style="text-align:center;line-height:150%; layout-grid-mode:char;mso-layout-grid-align:none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family:宋体;color:black">R5</span><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;mso-bidi-font-family:Calibri;color:black"><o:p></o:p></span></p> </td> <td style="width:12.0cm;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:37.2pt" valign="top" width="454"> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span style="mso-bidi-font-size:10.5pt;line-height:150%;font-family: 宋体;color:black">结构复杂,不易理解,不易估值、流动性低、透明度较低,本金安全面临极大的不确定性,甚至损失可能超过本金<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:150%;layout-grid-mode:char;mso-layout-grid-align: none"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;line-height:150%; font-family:宋体;color:black"> </span></p> </td> </tr> </tbody> </table> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal"><span lang="EN-US"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p class="MsoNormal" style="line-height:12.0pt"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体;color:black"> </span></p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span style="font-size:12.0pt;font-family: 宋体">附件<span lang="EN-US">7</span>ï¼?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="font-size:12.0pt;font-family: 宋体">适当性匹配意见及投资者确认书(一式两份)<span lang="EN-US"><o:p></o:p></span></span></b></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-8.8pt;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" width="595"> <tbody> <tr style="mso-yfti-irow:0;mso-yfti-firstrow:yes;page-break-inside:avoid; height:2.0cm"> <td style="width:63.85pt;border:solid windowtext 1.0pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt;layout-flow: vertical-ideographic;height:2.0cm" valign="top" width="85"> <p class="MsoNormal" style="margin-top:0cm;margin-right:5.65pt;margin-bottom: 0cm;margin-left:5.65pt;margin-bottom:.0001pt;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="margin-top:0cm;margin-right:5.65pt;margin-bottom: 0cm;margin-left:5.65pt;margin-bottom:.0001pt;mso-para-margin-top:0cm; mso-para-margin-right:5.65pt;mso-para-margin-bottom:0cm;mso-para-margin-left: .54gd;mso-para-margin-bottom:.0001pt;text-indent:46.5pt;mso-char-indent-count: 4.41;line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">   </span></b><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">适当性匹配意è§?span lang="EN-US"><o:p></o:p></span></span></b></p> </td> <td style="width:382.7pt;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:2.0cm" valign="top" width="510"> <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="line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">尊敬的投资者(姓名<span lang="EN-US">/</span>名称ï¼?span lang="EN-US">__________ </span>资金账号ï¼?span lang="EN-US">____________________</span>):<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;vertical-align:baseline"><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;vertical-align:baseline"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">您的风险承受能力等级为:(例如:â–?span lang="EN-US">C1</span>级□<span lang="EN-US">C2</span>级□<span lang="EN-US">C3</span>级□<span lang="EN-US">C4</span>级□<span lang="EN-US">C5</span>级)ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:21.75pt;line-height:12.0pt;layout-grid-mode: char"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">您拟投资的产å“?u><span lang="EN-US">             </span></u>或拟接受的服åŠ?u><span lang="EN-US">             </span></u>ï¼?u><span lang="EN-US"><o:p></o:p></span></u></span></p> <p class="MsoNormal" style="text-indent:21.75pt;line-height:12.0pt;layout-grid-mode: char"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">风险等级为:(例如:â–?<span lang="EN-US">R1 </span>â–?span lang="EN-US">R2 </span>â–?span lang="EN-US">R3 </span>â–?span lang="EN-US">R4 </span>â–?<span lang="EN-US">R5</span>);<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"><a name="_GoBack"></a><span lang="EN-US"> </span></p> <p class="MsoNormal"><span lang="EN-US">  <o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:21.75pt;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">本营业网点已经向您充分揭示了该金融产品或服务的风险。您的风险承受能力等级与该金融产品或服务风险等级相匹配。本适当性评估意见供您决策参考,并不代表本营业网点对上述产品或服务的风险或收益作出实质性判断和保证ã€?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"> </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 style="mso-bidi-font-size:10.5pt;font-family:宋体">本营业网点就上述适当性评估意见与您进行确认,并建议您审慎考察该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ã€?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"> </span></b></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><span style="mso-bidi-font-size:10.5pt;font-family:宋体">营业网点<span lang="EN-US">/</span>公司盖章ï¼?span lang="EN-US"><o:p></o:p></span></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><span style="mso-bidi-font-size:10.5pt;font-family:宋体">æ—?span lang="EN-US">    </span>期:<span lang="EN-US"><o:p></o:p></span></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> </td> </tr> <tr style="mso-yfti-irow:1;mso-yfti-lastrow:yes;page-break-inside:avoid; height:194.2pt"> <td style="width:63.85pt;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;layout-flow:vertical-ideographic;height:194.2pt" valign="top" width="85"> <p class="MsoNormal" style="margin-top:0cm;margin-right:5.65pt;margin-bottom: 0cm;margin-left:5.65pt;margin-bottom:.0001pt;line-height:12.0pt;layout-grid-mode: char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="margin-top:0cm;margin-right:5.65pt;margin-bottom: 0cm;margin-left:5.65pt;margin-bottom:.0001pt;mso-para-margin-top:0cm; mso-para-margin-right:5.65pt;mso-para-margin-bottom:0cm;mso-para-margin-left: .54gd;mso-para-margin-bottom:.0001pt;text-indent:51.65pt;mso-char-indent-count: 4.9;line-height:12.0pt;layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">投资者确è®?span lang="EN-US"><o:p></o:p></span></span></b></p> </td> <td style="width:382.7pt;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:194.2pt" valign="top" width="510"> <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="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">XXXX</span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">证券经营机构<span lang="EN-US">XX</span>营业网点ï¼?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="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">本人<span lang="EN-US">/</span>本机构已认真阅读了贵营业网点关于<u><span lang="EN-US">      </span></u>产品æˆ?u><span lang="EN-US">      </span></u>服务的风险揭示书,并已充分了解该产品或服务的特征和风险,签署了风险揭示书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="text-indent:20.6pt;mso-char-indent-count:1.96; line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">本人<span lang="EN-US">/</span>本机构在此确认自身风险承受能力等级与该金融产品或服务风险等级相匹配ã€?b><span lang="EN-US"><o:p></o:p></span></b></span></p> <p class="MsoNormal" style="text-indent:20.65pt;mso-char-indent-count:1.96; line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></b></p> <p class="MsoNormal" style="text-indent:20.65pt;mso-char-indent-count:1.96; line-height:12.0pt;layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">本人<span lang="EN-US">/</span>本机构投资该项产品或接受该项服务的决定,系本äº?span lang="EN-US">/</span>本机构独立、自主、真实的意思表示,与贵营业网点及相关从业人员无关ã€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="text-indent:20.65pt;mso-char-indent-count:1.96; line-height:12.0pt;layout-grid-mode:char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></b></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><span style="mso-bidi-font-size:10.5pt;font-family:宋体">投资者签名或盖章ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:147.0pt;mso-char-indent-count:14.0; line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">æ—?span lang="EN-US">    </span>期:<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:147.0pt;mso-char-indent-count:14.0; 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> </td> </tr> </tbody> </table> <p> </p> <p align="left" class="MsoNormal" style="line-height: 12pt;"><b><span style="font-size:12.0pt;font-family: 宋体">附件<span lang="EN-US">8</span></span></b><span style="font-size:12.0pt; font-family:宋体">ï¼?span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt"><b><span style="font-size:12.0pt;font-family: 宋体">产品或服务风险警示及投资者确认书(一式两份)<span lang="EN-US"><o:p></o:p></span></span></b></p> <table border="1" cellpadding="0" cellspacing="0" class="MsoNormalTable" style="margin-left:-8.8pt;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" width="595"> <tbody> <tr> <td style="width:63.85pt;border:solid windowtext 1.0pt; mso-border-alt:solid windowtext .5pt;padding:0cm 5.4pt 0cm 5.4pt" valign="top" width="85"> <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="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 align="center" class="MsoNormal" style="text-align:center;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 align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">é£?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">é™?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">ç­?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">çº?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">ä¸?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">åŒ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">é…?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">è­?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">ç¤?/span></b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"><o:p></o:p></span></p> </td> <td style="width:382.7pt;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" valign="top" width="510"> <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="line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size:10.5pt;font-family:宋体">尊敬的投资者(姓名<span lang="EN-US">/</span>名称ï¼?span lang="EN-US">__________ </span>资金账号ï¼?span lang="EN-US">____________________</span>):<span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:24.0pt;line-height:12.0pt;layout-grid-mode: char"><br /> <span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">    </span><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">您拟投资的金融产å“?u><span lang="EN-US">                 </span></u>或金融服务,<u><span lang="EN-US">                 </span></u>其风险等级为<u><span lang="EN-US">            </span></u>,高于您的风险承受能力等级ã€?b>购买该产品或接受该服务,可能导致您产生损失ã€?span lang="EN-US"><o:p></o:p></span></b></span></p> <p class="MsoNormal" style="text-indent:24.0pt;line-height:12.0pt;layout-grid-mode: char"><b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"> </span></b></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">我营业网点就上述情况向您提出警示,并建议您关注该产品或服务的特征及风险,审慎作出投资决策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="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">若您经审慎考虑后,仍坚持购买该产品或接受该服务,请签署下附投资确认书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="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 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><span style="mso-bidi-font-size:10.5pt;font-family:宋体">营业网点<span lang="EN-US">/</span>公司盖章ï¼?span lang="EN-US"><o:p></o:p></span></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="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">                            </span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">æ—?span lang="EN-US">    </span>期:<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> <tr style="mso-yfti-irow:1;mso-yfti-lastrow:yes;height:10.0cm"> <td style="width:63.85pt;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:10.0cm" valign="top" width="85"> <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="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="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"><b><span lang="EN-US" style="mso-bidi-font-size: 10.5pt;font-family:宋体"> </span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">æŠ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">èµ?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">è€?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">ç¡?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">è®?span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:12.0pt; layout-grid-mode:char"><b><span style="mso-bidi-font-size:10.5pt;font-family:宋体">ä¹?/span></b><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体"><o:p></o:p></span></p> </td> <td style="width:382.7pt;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:10.0cm" valign="top" width="510"> <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="line-height:12.0pt;layout-grid-mode:char"><span lang="EN-US" style="mso-bidi-font-size:10.5pt;font-family:宋体">XXXX</span><span style="mso-bidi-font-size:10.5pt;font-family:宋体">证券经营机构<span lang="EN-US">XX</span>营业网点ï¼?span lang="EN-US"><o:p></o:p></span></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;layout-grid-mode:char"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">本人<span lang="EN-US">/</span>本机构已认真阅读了贵营业网点关于<u><span lang="EN-US">          </span></u>产品æˆ?u><span lang="EN-US">         </span></u>服务的相关警示,并已充分了解该产品或服务的特征和风险,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="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"> </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"> </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 style="mso-bidi-font-size:10.5pt;font-family:宋体">本人<span lang="EN-US">/</span>本机构经审慎考虑后,仍坚持购买该产品或接受该服务,并愿意承担由此可能产生的损失和其他后果。购买该产品或接受该服务的决定,系本äº?span lang="EN-US">/</span>本机构独立、自主、真实的意思表示,与贵营业网点及相关从业人员无关ã€?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"> </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"> </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"> </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"> </span></b></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><span style="mso-bidi-font-size:10.5pt;font-family:宋体">投资者签名或盖章ï¼?span lang="EN-US"><o:p></o:p></span></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="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:147.0pt;mso-char-indent-count:14.0; line-height:12.0pt;layout-grid-mode:char"><span style="mso-bidi-font-size: 10.5pt;font-family:宋体">æ—?span lang="EN-US">    </span>期:<span lang="EN-US"><o:p></o:p></span></span></p> </td> </tr> </tbody> </table> <p class="MsoNormal" style="line-height:12.0pt"><span 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