Research On The Suitability Management Of Investors In The Branches Of A Securities Company

The system of investor suitability is the most important system for protecting the rights and interests of small and medium investors.It is an important means to regulate the rights and obligations of securities and futures trading organizations and investors.The securities regulators have always attached great importance to the construction of investors' suitability systems.The State Council and the securities regulators have formulated regulations for the "Administrative Measures on the Proper Suitability of Securities and Futures Investors" and have clearly put forward investors'appropriateness management systems.This is to promote investment.The implementation of appropriate management systems has played a positive role.In this paper,based on summing up practical experience and fully learning from the appropriate management experience of international investors,we will adopt an effective and appropriate management process based on an effective customer service system,from positioning customers to positioning products,and then through product selection.Regulate the development of the securities industry so that customers and companies can achieve a win-win situation.In expounding these issues,we will also explore the issues faced by the development of the appropriateness of the management of China's securities institutional investors.At the same time,it also emphasizes that the companies and individuals that violate the relevant laws and regulations should perform the legal supervision and punishment obligations,and it is also a higher requirement for securities companies to serve customers.Then it proposes the problems found,such as the establishment of an appropriate management support system and its improvement,performance appraisal system,or a standardized investment consultant process.Through in-depth research,the author believes that exploring the appropriate management of investors is a matter of no delay.This has a profound impact on the development of the securities industry in China and on the future direction of a branch of a securities company.At present,the program is still gradually improving and in the process of implementation,but the author believes that the transition from investor access management to dynamic management of investor appropriateness is the trend of industry development.This process is a long way to go and requires the joint efforts of the entire industry.In summary,the core point of this paper is that investors' proper management regulations play an important role in the securities market.The author combines current problems in China,analyzes and responds to them,plus their own social practice,breaks down the concept into concrete steps,and promotes the management and supervision of the securities market.