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《办法》规定普通投资者在信息告知、风险警示、适当性匹配等方面享有特别保护。这是根据我国当前特殊的投资者结构,以及普通投资者与专业投资者在信息获取、风险认知能力、专业水平和风险承受能力等方面的差异,平衡保护投资者的需要与增加经营机构合规运营成本所做出的制度安排。具体体现在:一是经营机构向普通投资者销售产品或者提供服务前,应当告知可能导致其投资风险的信息及适当性匹配意见;二是向普通投资者销售高风险产品或者提供相关服务,应当履行特别的注意义务;三是不得向普通投资者主动推介风险等级高于其风险承受能力,或者不符合其投资目标的产品或者服务;四是向普通投资者进行规定情形下的现场告知、警示,应当全过程录音或者录像,非现场方式应当完善配套留痕安排;五是与普通投资者发生纠纷的,经营机构应当提供相关资料,证明其已向投资者履行相应义务。
5、问:《办法》实施后,中小投资者还能否自由买卖股票?
答:《办法》明确了投资者分类、产品分级、适当性匹配等各环节的标准和底线,目的是让投资者能够买到与之风险承受能力相适应的产品,减少不必要的损失。如果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,经过特别的风险警示程序后,经营机构仍然可以向其销售产品,投资者买卖股票的权利不受影响,可见《办法》并未限制投资者交易自由,而是让合适的投资者购买适当的产品。
6、问:《办法》实施后,现有投资者如何实行适当性管理?
答:现有投资者参与证券期货交易是按原有的制度安排进行的,实施新的《办法》将充分考虑这一现实情况,实行区别对待,“新老划断”。具体的做法是:证券期货经营机构向新客户销售产品或提供服务、向老客户销售(提供)高于原有风险等级的产品或服务,需要按照《办法》要求执行。向老客户销售(提供)不高于原有风险等级的产品或服务的,可继续进行,不受影响。也就是说现有投资者,如股票投资者,在《办法》实施后,可以继续买卖股票及风险等级不高于股票的产品,但当购买比股票风险等级高的产品时,比如结构化产品、场外衍生品等,则经营机构需要按照《办法》执行适当性管理要求。同时,鼓励经营机构根据实际情况结合客户回访、自查、评估等工作,主动对老客户的适当性管理做出妥善安排。《办法》是证券期货市场的基础性制度,我会将在《办法》实施后不断总结经验,持续优化、完善适当性管理制度。
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