宁波市证券投资基金业协会


						<p></p><p style="margin: 0px 0px 0.1px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; text-align: justify; text-indent: 28px; box-sizing: border-box !important; overflow-wrap: break-word !important;">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important; font-family: 宋体; font-size: 15px;">中国证监会副主席阎庆民今日在“第三届中小投资者服务论坛”上表示，证监会在做好融资端改革的同时，将在投资端推出更多务实举措，推动各类长期资金入市，畅通境外主体直接投资渠道，为资本市场健康发展引入更多源头活水。</span></p>
<p style="margin: 0px 0px 0.1px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; text-align: justify; text-indent: 28px; box-sizing: border-box !important; overflow-wrap: break-word !important;">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important; font-family: 宋体; font-size: 15px;">阎庆民指出，加快形成以国内大循环为主体、国内国际双循环相互促进的新发展格局的重大战略部署下，资本市场作为居民资产配置、财富保值增值的重要场所，也迎来新的发展机遇。下一步，证监会将积极推动相关基础制度改革，发挥资本市场枢纽作用，助力打通经济金融循环点，以贯彻落实新证券法为契机，进一步提升上市公司治理水平，强化民事赔偿和刑事追责，加快形成“制度健全、精准有效、内外协同”的投资者保护格局。</span></p>
<p style="margin: 0px 0px 0.1px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; text-align: justify; text-indent: 28px; box-sizing: border-box !important; overflow-wrap: break-word !important;">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important; font-family: 宋体; font-size: 15px;">阎庆民着重提出了下述四项工作重点：</span></p>
<p style="margin: 0px 0px 0.1px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; text-align: justify; text-indent: 28px; box-sizing: border-box !important; overflow-wrap: break-word !important;">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important; font-family: 宋体; font-size: 15px;">一是健全完善投资者保护制度机制，倡导和弘扬资本市场法治文化。证监会将加快新证券法有关配套措施的制定、修改；推动投资者保护机构代表投资者提起证券民事赔偿诉讼尽快落地；加快制定欺诈发行责令回购办法；细化交易所、行业协会、投保机构等单位的自律规则及业务细则；研究建立投资者保护专项补偿基金，为投资者提供更便捷的救济机制。</span></p>
<p style="margin: 0px 0px 0.1px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; text-align: justify; text-indent: 28px; box-sizing: border-box !important; overflow-wrap: break-word !important;">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important; font-family: 宋体; font-size: 15px;">二是加强日常监管，构建资本市场良好发展生态。证监会将加快转变监管职能、坚持市场化、法治化的原则，努力提高监管的适应性；用足用好新证券法规定的执法手段和法律责任规定，从严查办欺诈发行、财务造假等违法行为，加大对恶性操纵市场及内幕交易等严重违法违规行为的打击力度，将法律条文由“纸面上的法”转变为“市场运行中的法”；进一步健全退市机制，促进上市公司优胜劣汰；在做好融资端改革的同时，在投资端推出更多务实举措，推动各类长期资金入市，畅通境外主体直接投资渠道，为资本市场健康发展引入更多源头活水。</span></p>
<p style="margin: 0px 0px 0.1px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; text-align: justify; text-indent: 28px; box-sizing: border-box !important; overflow-wrap: break-word !important;">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important; font-family: 宋体; font-size: 15px;">三是加快信息技术与投保工作融合，为投资者提供更有温度的服务。具体工作包括：逐步建立全国投资者数据库，整合系统数据资源，用定量的方法为投资者保护工作提供数据支持；推动完善在线咨询、法律援助等工作，使投资者维权从“线下跑”到“网上办”转变；推广小额速调，探索实践无争议事实记载、调解前置等机制，使投资者能够得到快速赔偿。</span></p>
<p style="margin: 0px 0px 0.1px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; text-align: justify; text-indent: 28px; box-sizing: border-box !important; overflow-wrap: break-word !important;">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important; font-family: 宋体; font-size: 15px;">四是加强内外协同联动，不断完善资本市场法治环境。阎庆民说，要构建一个投融资均衡发展、市场交易高效透明、各类投资者积极参与的市场生态，需要市场参与各方有效配合和互动。只有加强统筹协调，才能使政策协同效应最大化。</span></p>
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推动各类长期资金入市 畅通境外主体直接投资渠道——阎庆民在第三届中小投

关于举办“金融期货硬核十讲”系列直播培训的通知


						<p></p><p data-mpa-powered-by="yiban.io" style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 400; letter-spacing: 0.544px; orphans: 2; text-align: justify; text-transform: none; white-space: normal; widows: 2; word-spacing: 0px; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255); text-decoration-style: initial; text-decoration-color: initial; text-indent: 37px; line-height: 25.5px;">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important; line-height: 25.5px; font-family: 仿宋; font-size: 17px;">为促进行业交流与产融合作，宁波市证券投资基金业协会、宁波上市公司协会联合举办“机构投资者走进上市公司”系列活动。活动于7月8日、8月12日分别走进奇精机械、旭升股份两家制造型上市公司，与企业家座谈交流，实地参观生产车间。辖区二十余家私募基金管理人参与了活动。</span></p>
<p style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 400; letter-spacing: 0.544px; orphans: 2; text-align: justify; text-transform: none; white-space: normal; widows: 2; word-spacing: 0px; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255); text-decoration-style: initial; text-decoration-color: initial; text-indent: 37px; line-height: 25.5px;">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important; line-height: 25.5px; font-family: 仿宋; font-size: 17px;">在奇精机械，汪伟东董事长介绍了公司的主营业务及核心产品，带领参访团深入生产车间，直观地展示了公司在洗衣机零部件、汽车零部件及电动工具零部件等领域先进的技术工艺和质量优势，体现了公司制造精品的发展理念。</span></p>
<p style="margin: 0px; padding: 0px; text-align: center; color: rgb(51, 51, 51); text-transform: none; line-height: 25.5px; text-indent: 37px; letter-spacing: 0.54px; clear: both; font-family: -apple-system-font,BlinkMacSystemFont,&quot;Helvetica Neue&quot;,&quot;PingFang SC&quot;,&quot;Hiragino Sans GB&quot;,&quot;Microsoft YaHei UI&quot;,&quot;Microsoft YaHei&quot;,Arial,sans-serif; font-size: 17px; font-style: normal; font-weight: 400; word-spacing: 0px; white-space: normal; min-height: 1em; max-width: 100%; box-sizing: border-box !important; orphans: 2; widows: 2; -webkit-text-stroke-width: 0px; overflow-wrap: break-word !important; background-color: rgb(255, 255, 255);">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important; line-height: 25.5px; font-family: 仿宋; font-size: 17px;"><img alt="" src="/uploads/200813/1-200Q3214QXR.jpg" style="width: 500px; height: 667px;"> &nbsp; &nbsp; <img alt="" src="/uploads/200813/1-200Q321511CJ.jpg" style="width: 500px; height: 358px;"></span></p>
<span style="color: rgb(51, 51, 51); font-family: 仿宋; font-size: 17px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 400; letter-spacing: 0.544px; orphans: 2; text-align: justify; text-indent: 37px; text-transform: none; white-space: normal; widows: 2; word-spacing: 0px; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255); text-decoration-style: initial; text-decoration-color: initial; display: inline !important; float: none;">&nbsp; &nbsp; 在旭升股份，徐旭东董事长介绍了公司的主营业务、工艺优势以及成为全球最专业的高端新能源汽车零部件供应商的发展愿景。随后，董事会秘书周小芬带领参访团参观了旭升三厂，介绍了模具制作、压铸、加工、抽检等生产流程，展现了严谨踏实的企业风格。</span>
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	<span style="color: rgb(51, 51, 51); font-family: 仿宋; font-size: 17px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 400; letter-spacing: 0.544px; orphans: 2; text-align: justify; text-indent: 37px; text-transform: none; white-space: normal; widows: 2; word-spacing: 0px; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255); text-decoration-style: initial; text-decoration-color: initial; display: inline !important; float: none;"><img alt="" src="/uploads/200813/1-200Q321495KV.jpg" style="width: 500px; height: 282px;"></span></div>
<span style="color: rgb(51, 51, 51); font-family: 仿宋; font-size: 17px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 400; letter-spacing: 0.544px; orphans: 2; text-align: justify; text-indent: 37px; text-transform: none; white-space: normal; widows: 2; word-spacing: 0px; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255); text-decoration-style: initial; text-decoration-color: initial; display: inline !important; float: none;"><span style="color: rgb(51, 51, 51); font-family: 仿宋; font-size: 17px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 400; letter-spacing: 0.544px; orphans: 2; text-align: justify; text-indent: 37px; text-transform: none; white-space: normal; widows: 2; word-spacing: 0px; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255); text-decoration-style: initial; text-decoration-color: initial; display: inline !important; float: none;">&nbsp; &nbsp; 宁波制造业水平位于全国前列，拥有39家制造业单项冠军企业，而私募基金作为资本市场的新兴力量，在服务实体经济方面发挥了重要的作用。此次活动展现了奇精机械、旭升股份等上市公司内涵丰富的企业文化和企业家风采。各证券类、股权创投类私募基金管理人从机构投资者角度实地考察企业，与企业家面对面交流，直观感受、深入了解，为后续产融合作业务交流奠定了基础。</span></span><br>
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“机构投资者走进上市公司——奇精机械、旭升股份” 系列活动成功举办

宁波市证券期货业协会


                             <div ><table  border="0" cellpadding="0" cellspacing="0"><tbody><tr><td  align="center"><b>“资本市场30年：中国金融产品市场发展解读”系列培训顺利举行</b></td></tr><tr><td  align="center">新闻来源：&nbsp;&nbsp;  发布人：宁波证券期货业协会&nbsp;&nbsp;  点击率：3981&nbsp;&nbsp;  发布日期：2020.08.05</td></tr><tr><td  align="left" valign="top"><div ><br>
<p ><span >为增进从业人员和投资者对我国金融产品市场发展历程的了解，提高对金融产品在新形势下政策环境和发展方向的认识，2020年7月15日、22日和29日，中国证券业协会投资者教育基地、机构间市场投资者教育基地、新华网投资者教育基地联合宁波市证券期货业协会等34家地方协会，通过线上直播方式，开展了《资本市场30年：中国金融产品市场发展解读》系列培训。</span></p>
<p ><span >本次培训共三场，分别以《他山之石，证券行业之外的金融产品》《创新发展、财富管理必须的几类创新产品》《完善生态，金融产品的支持设施》为主题，特邀中国证券业协会固定收益专业委员会副主任委员、中证机构间报价系统股份有限公司执委委员赵恒珩授课。赵主任结合多年相关工作经验，向从业人员和投资者系统介绍了我国多层次资本市场和金融产品，并从产品定义、主流产品规模变动情况出发，梳理了证券行业之外的金融产品，阐述了其发展趋势、优劣点以及配套的监管要求等。</span></p>
<p ><span >本次培训加深了从业人员对保险、银行等金融产品的系统性了解，为投资者提供了更全面的资产配置建议，取得了较好的效果和反响。</span></p>
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“资本市场30年：中国金融产品市场发展解读”系列培训顺利举行


                             <div ><table  border="0" cellpadding="0" cellspacing="0"><tbody><tr><td  align="center"><b>“期货服务上市公司”主题沙龙圆满举办</b></td></tr><tr><td  align="center">新闻来源：&nbsp;&nbsp;  发布人：宁波证券期货业协会&nbsp;&nbsp;  点击率：3707&nbsp;&nbsp;  发布日期：2020.08.03</td></tr><tr><td  align="left" valign="top"><div ><p align="justify" style="text-indent:32.0000pt;mso-char-indent-count:2.0000;text-autospace:ideograph-numeric;
text-align:justify;text-justify:inter-ideograph;line-height:24.0000pt;
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mso-font-kerning:1.0000pt;"><font face="仿宋">今年，受疫情等多种因素影响，国际大宗商品市场剧烈波动，上市公司经营风险陡然增大。为帮助上市公司更好地认识期货市场、提高风险管理意识，</font>7月30日，宁波市证券期货业协会、宁波上市公司协会联合大连商品交易所举办了“期货服务上市公司”主题沙龙。辖区55家上市公司、拟上市公司、期货及证券经营机构的74名相关人员参加了会议。</span></p>
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mso-line-height-rule:exactly;"><span style="mso-spacerun:'yes';font-family:仿宋;font-size:16.0000pt;
mso-font-kerning:1.0000pt;"><font face="仿宋">会上，宁波证监局办公室负责人表示，服务实体经济发展是资本市场的天职，期货及衍生工具作为现代金融市场的重要组成部分，能更好的帮助企业规避风险、加强内部控制、稳定经营业绩。辖区上市公司要加强学习，正确认识期货市场，运用期货工具规避价格风险，促进自身发展。</font></span></p>
<p align="justify" style="text-indent:32.0000pt;mso-char-indent-count:2.0000;text-autospace:ideograph-numeric;
text-align:justify;text-justify:inter-ideograph;line-height:24.0000pt;
mso-line-height-rule:exactly;"><span style="mso-spacerun:'yes';font-family:仿宋;font-size:16.0000pt;
mso-font-kerning:1.0000pt;"><font face="仿宋">大连商品交易所上海发展与服务总部负责人运用</font></span><span style="mso-spacerun:'yes';font-family:仿宋;font-size:16.0000pt;
mso-font-kerning:1.0000pt;"><font face="仿宋">大量的</font></span><span style="mso-spacerun:'yes';font-family:仿宋;font-size:16.0000pt;
mso-font-kerning:1.0000pt;"><font face="仿宋">案例</font></span><span style="mso-spacerun:'yes';font-family:仿宋;font-size:16.0000pt;
mso-font-kerning:1.0000pt;"><font face="仿宋">，</font></span><span style="mso-spacerun:'yes';font-family:仿宋;font-size:16.0000pt;
mso-font-kerning:1.0000pt;"><font face="仿宋">介绍了商品衍生品市场的发展历程及其功能、大商所服务产业的创新举措。他指出，企业运用衍生工具时应注意防范风险，</font></span><span style="mso-spacerun:'yes';font-family:仿宋;font-size:16.0000pt;
mso-font-kerning:1.0000pt;"><font face="仿宋">同时要</font></span><span style="mso-spacerun:'yes';font-family:仿宋;font-size:16.0000pt;
mso-font-kerning:1.0000pt;"><font face="仿宋">利用</font></span><span style="mso-spacerun:'yes';font-family:仿宋;font-size:16.0000pt;
mso-font-kerning:1.0000pt;"><font face="仿宋">好</font></span><span style="mso-spacerun:'yes';font-family:仿宋;font-size:16.0000pt;
mso-font-kerning:1.0000pt;"><font face="仿宋">产业服务商的专业优势。</font></span></p>
<p align="justify" style="text-indent:32.0000pt;mso-char-indent-count:2.0000;text-autospace:ideograph-numeric;
text-align:justify;text-justify:inter-ideograph;line-height:24.0000pt;
mso-line-height-rule:exactly;"><span style="mso-spacerun:'yes';font-family:仿宋;font-size:16.0000pt;
mso-font-kerning:1.0000pt;"><font face="仿宋">永安期货宁波分公司负责人结合自身工作经验，用实例实案讲解了资本市场及衍生工具的功能、上市公司风险管理的作用，并强调，实体企业通过上市为自身赢得了一个做大做强的机会，但同时面临着市场价格波动等诸多风险，上市公司需像重视主业一样重视资本市场，运用衍生工具来规避风险。</font></span></p>
<p align="justify" style="text-indent:32.0000pt;mso-char-indent-count:2.0000;text-autospace:ideograph-numeric;
text-align:justify;text-justify:inter-ideograph;line-height:24.0000pt;
mso-line-height-rule:exactly;"><span style="mso-spacerun:'yes';font-family:仿宋;font-size:16.0000pt;
mso-font-kerning:1.0000pt;"><font face="仿宋">博威合金财务总监以有色合金生产企业为例，分享了运用期货套期保值锁定经营风险的经验。他认为，套期保值作为企业规避价格风险的重要手段，其评价标准不是能否盈利，而是能否规避风险。</font></span></p>
<p align="justify" style="text-indent:32.0000pt;mso-char-indent-count:2.0000;text-autospace:ideograph-numeric;
text-align:justify;text-justify:inter-ideograph;line-height:24.0000pt;
mso-line-height-rule:exactly;"><span style="mso-spacerun:'yes';font-family:仿宋;font-size:16.0000pt;
mso-font-kerning:1.0000pt;"><font face="仿宋">本次沙龙，既促进辖区上市公司对期货市场的了解，又进一步推动期货经营机构与上市公司有效对接，沙龙取得了预期效果。</font></span></p>
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“期货服务上市公司”主题沙龙圆满举办

协会举办创业板改革线上培训


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	<span style="font-size:20px;"><span style="text-align: justify; color: rgb(51, 51, 51); text-transform: none; text-indent: 43px; letter-spacing: 0.54px; font-family: 仿宋; font-style: normal; font-weight: 400; word-spacing: 0px; display: inline !important; white-space: normal; orphans: 2; widows: 2; float: none; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255);">&nbsp; &nbsp;&nbsp; 2020年7月17日星期五下午，宁波市证券投资基金业协会联合北京海峰科技有限责任公司成功举办“人员管理及私募监管”线上培训班，共有约300名基金行业从业人员通过网络会议线上授课的形式参与此次培训。</span></span></div>
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	<span style="font-size:20px;"><span style="text-align: justify; color: rgb(51, 51, 51); text-transform: none; text-indent: 43px; letter-spacing: 0.54px; font-family: 仿宋; font-style: normal; font-weight: 400; word-spacing: 0px; display: inline !important; white-space: normal; orphans: 2; widows: 2; float: none; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255);"><span style="text-align: justify; color: rgb(51, 51, 51); text-transform: none; text-indent: 43px; letter-spacing: 0.54px; font-family: 仿宋; font-style: normal; font-weight: 400; word-spacing: 0px; display: inline !important; white-space: normal; orphans: 2; widows: 2; float: none; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255);">&nbsp; &nbsp;&nbsp; 会上，北京海峰科技有限责任公司合规专家王勇结合证监会及各派出机构对私募机构出具的行政监管措施，讲述了私募机构如何在私募从业人员监管要求、私募从业人员的选聘、私募从业人员日常管理和私募从业人员变更与离职等4个方面做到合法合规运作。</span></span></span></div>
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	<span style="color: rgb(51, 51, 51); font-family: 仿宋; font-size: 18px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 400; letter-spacing: 0.544px; orphans: 2; text-align: justify; text-indent: 43px; text-transform: none; white-space: normal; widows: 2; word-spacing: 0px; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255); text-decoration-style: initial; text-decoration-color: initial; display: inline !important; float: none;"><span style="color: rgb(51, 51, 51); font-family: 仿宋; font-size: 18px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 400; letter-spacing: 0.544px; orphans: 2; text-align: justify; text-indent: 43px; text-transform: none; white-space: normal; widows: 2; word-spacing: 0px; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255); text-decoration-style: initial; text-decoration-color: initial; display: inline !important; float: none;"><img alt="" src="/uploads/200717/1-200GGZ60aK.png" style="width: 600px; height: 337px;"></span></span></div>
<p style="margin: 0px; padding: 0px; text-align: left; color: rgb(51, 51, 51); text-transform: none; text-indent: 43px; letter-spacing: 0.54px; clear: both; font-family: -apple-system-font,BlinkMacSystemFont,&quot;Helvetica Neue&quot;,&quot;PingFang SC&quot;,&quot;Hiragino Sans GB&quot;,&quot;Microsoft YaHei UI&quot;,&quot;Microsoft YaHei&quot;,Arial,sans-serif; font-size: 17px; font-style: normal; font-weight: 400; word-spacing: 0px; white-space: normal; min-height: 1em; max-width: 100%; box-sizing: border-box !important; orphans: 2; widows: 2; -webkit-text-stroke-width: 0px; overflow-wrap: break-word !important; background-color: rgb(255, 255, 255);">
	<span style="font-size:20px;"><span style="text-align: justify; color: rgb(51, 51, 51); text-transform: none; text-indent: 43px; letter-spacing: 0.54px; font-family: 仿宋; font-style: normal; font-weight: 400; word-spacing: 0px; display: inline !important; white-space: normal; orphans: 2; widows: 2; float: none; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255);"><span style="text-align: justify; color: rgb(51, 51, 51); text-transform: none; text-indent: 43px; letter-spacing: 0.54px; font-family: 仿宋; font-style: normal; font-weight: 400; word-spacing: 0px; display: inline !important; white-space: normal; orphans: 2; widows: 2; float: none; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255);"><span style="margin: 0px; padding: 0px; font-family: 仿宋; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">接下来，广东正大联合律师事务所合伙人许瀚律师介绍了私募基金监管体系，重点从证监会及派出机构私募处罚案例出发，介绍了常见的处罚情况，并从实践角度提出整改思路。同时，他分析了在疫情下私募机构在“募、投、管、退”将会遇到的问题，并提出了相应的法律应对策略。</span></span></span></span></p>
<p style="margin: 0px; padding: 0px; text-align: left; color: rgb(51, 51, 51); text-transform: none; text-indent: 43px; letter-spacing: 0.54px; clear: both; font-family: -apple-system-font,BlinkMacSystemFont,&quot;Helvetica Neue&quot;,&quot;PingFang SC&quot;,&quot;Hiragino Sans GB&quot;,&quot;Microsoft YaHei UI&quot;,&quot;Microsoft YaHei&quot;,Arial,sans-serif; font-size: 17px; font-style: normal; font-weight: 400; word-spacing: 0px; white-space: normal; min-height: 1em; max-width: 100%; box-sizing: border-box !important; orphans: 2; widows: 2; -webkit-text-stroke-width: 0px; overflow-wrap: break-word !important; background-color: rgb(255, 255, 255);">
	<span style="font-size:20px;"><span style="text-align: justify; color: rgb(51, 51, 51); text-transform: none; text-indent: 43px; letter-spacing: 0.54px; font-family: 仿宋; font-style: normal; font-weight: 400; word-spacing: 0px; display: inline !important; white-space: normal; orphans: 2; widows: 2; float: none; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255);"><span style="text-align: justify; color: rgb(51, 51, 51); text-transform: none; text-indent: 43px; letter-spacing: 0.54px; font-family: 仿宋; font-style: normal; font-weight: 400; word-spacing: 0px; display: inline !important; white-space: normal; orphans: 2; widows: 2; float: none; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255);"><span style="margin: 0px; padding: 0px; font-family: 仿宋; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">本次培训班切实解答了私募机构对从业人员管理以及后续运作中存在的实际问题和疑难，提升了私募机构风险合规意识，规范了私募基金业务，有效促进了私募行业在疫情下的健康发展。</span></span></span></span></p>
<p style="margin: 0px; padding: 0px; text-align: center; color: rgb(51, 51, 51); text-transform: none; text-indent: 43px; letter-spacing: 0.54px; clear: both; font-family: -apple-system-font,BlinkMacSystemFont,&quot;Helvetica Neue&quot;,&quot;PingFang SC&quot;,&quot;Hiragino Sans GB&quot;,&quot;Microsoft YaHei UI&quot;,&quot;Microsoft YaHei&quot;,Arial,sans-serif; font-size: 17px; font-style: normal; font-weight: 400; word-spacing: 0px; white-space: normal; min-height: 1em; max-width: 100%; box-sizing: border-box !important; orphans: 2; widows: 2; -webkit-text-stroke-width: 0px; overflow-wrap: break-word !important; background-color: rgb(255, 255, 255);">
	<span style="color: rgb(51, 51, 51); font-family: 仿宋; font-size: 18px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 400; letter-spacing: 0.544px; orphans: 2; text-align: justify; text-indent: 43px; text-transform: none; white-space: normal; widows: 2; word-spacing: 0px; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255); text-decoration-style: initial; text-decoration-color: initial; display: inline !important; float: none;"><span style="color: rgb(51, 51, 51); font-family: 仿宋; font-size: 18px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 400; letter-spacing: 0.544px; orphans: 2; text-align: justify; text-indent: 43px; text-transform: none; white-space: normal; widows: 2; word-spacing: 0px; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255); text-decoration-style: initial; text-decoration-color: initial; display: inline !important; float: none;"><img alt="" src="/uploads/200717/1-200GGZG9116.png" style="width: 212px; height: 212px;"></span></span></p>
<p style="margin: 0px; padding: 0px; text-align: center; color: rgb(51, 51, 51); text-transform: none; text-indent: 43px; letter-spacing: 0.54px; clear: both; font-family: -apple-system-font,BlinkMacSystemFont,&quot;Helvetica Neue&quot;,&quot;PingFang SC&quot;,&quot;Hiragino Sans GB&quot;,&quot;Microsoft YaHei UI&quot;,&quot;Microsoft YaHei&quot;,Arial,sans-serif; font-size: 17px; font-style: normal; font-weight: 400; word-spacing: 0px; white-space: normal; min-height: 1em; max-width: 100%; box-sizing: border-box !important; orphans: 2; widows: 2; -webkit-text-stroke-width: 0px; overflow-wrap: break-word !important; background-color: rgb(255, 255, 255);">
	<span style="font-size:22px;"><strong><span style="text-align: justify; color: rgb(51, 51, 51); text-transform: none; text-indent: 43px; letter-spacing: 0.54px; font-family: 仿宋; font-style: normal; font-weight: 400; word-spacing: 0px; display: inline !important; white-space: normal; orphans: 2; widows: 2; float: none; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255);"><span style="text-align: justify; color: rgb(51, 51, 51); text-transform: none; text-indent: 43px; letter-spacing: 0.54px; font-family: 仿宋; font-style: normal; font-weight: 400; word-spacing: 0px; display: inline !important; white-space: normal; orphans: 2; widows: 2; float: none; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255);"><span style="margin: 0px; padding: 0px; font-family: 仿宋; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important;">（扫描二维码进入回看）</span></span></span></strong></span></p>
<p style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; overflow-wrap: break-word !important; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 400; letter-spacing: 0.544px; orphans: 2; text-align: justify; text-transform: none; white-space: normal; widows: 2; word-spacing: 0px; -webkit-text-stroke-width: 0px; background-color: rgb(255, 255, 255); text-decoration-style: initial; text-decoration-color: initial; text-indent: 43px;">
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宁波辖区私募基金行业“人员管理及私募监管”线上培训班成功举办


                             <div ><table  border="0" cellpadding="0" cellspacing="0"><tbody><tr><td  align="center"><b>“我合规、你放心”合规知识竞赛今起开赛</b></td></tr><tr><td  align="center">新闻来源：&nbsp;&nbsp;  发布人：宁波证券期货业协会&nbsp;&nbsp;  点击率：3556&nbsp;&nbsp;  发布日期：2020.07.07</td></tr><tr><td  align="left" valign="top"><div ><p ><span ><span >良好的企业文化和职业操守是一个企业、行业健康持续发展的根基，加快形成</span>“合规、诚信、专业、稳健”的行业文化成为国内证券行业的共识。为进一步推进辖区证券市场良好文化的形成，引导辖区证券经营机构和从业人员夯实合规基础、规范展业行为、提升服务水平，协会在宁波证监局指导下举办“我合规、你放心”合规知识竞赛，设线上选拔赛、现场决赛两个环节。今日，为期5天的线上选拔赛（以下简称“选拔赛”）正式开赛。</span></p>
<p ><span ><strong ><span >一、选拔赛时间</span></strong></span></p>
<p ><span >7月6日-7月10日。</span></p>
<p ><span ><strong ><span >二、选拔赛方式</span></strong></span></p>
<p ><span >以证券会员为单位，发动本单位从业人员通过线上答题方式进行比赛。</span></p>
<p ><span ><strong ><span >三、选拔赛题目</span></strong></span></p>
<p ><span >内容为新《证券法》及相关配套监管政策、新三板和创业板制度改革、证券经纪业务相关监管规定和自律规则、证券从业人员职业道德等；题型为单项选择题。</span></p>
<p ><span ><strong ><span >四、选拔赛规则</span></strong></span></p>
<p ><span >1.从业人员进入协会微信公众号（微信号：nbsa2016），点击“合规竞赛”进入答题系统，选择所属机构，输入姓名，经验证后方可登录答题。</span></p>
<p ><span >2.每人每天答1次，每次10题，每题须在15秒内答完。答对1题计1分，答错不计分。</span></p>
<p ><span >3.答题系统实时公布所有机构的“平均累计积分”和“参与率”排名，当积分或参与率相同时，按答题用时排名（平均累计积分=机构所有参赛人员的总计积分/机构所有参赛人员数；参与率=机构所有参赛人员数/机构所有从业人员数）。</span></p>
<p ><span >4.答题系统实时公布<span >前50名从业人员</span>的“当日积分”和“累计积分”排名，当积分相同时，按答题用时排名（当日积分=参赛人员当日获得的积分；累计积分=参赛人员累计获得的积分）。</span></p>
<p ><span ><strong ><span >五、选拔赛奖励</span></strong></span></p>
<p ><span >参赛期间，“当日积分”前50名的从业人员获得20元/人的话费奖励；在“参与率”不低于70%的前提下，“平均累计积分”前10名的机构进入决赛、前11-20名的机构获得优秀参与奖。</span></p>
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</div></td></tr></tbody></table></div>

                       

“我合规、你放心”合规知识竞赛今起开赛

【防范非法集资宣传专栏】非法集资不受法律保护，参与非法集资风险自担！

【防范非法集资宣传专栏】远离非法集资，从你我做起

【防范非法集资宣传专栏】案例分析

协会动态

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