问题描述:
[单选]
Which of the following is NOT an effective control to ensure compliance with the investor eligibility requirement for trading in ChiNext shares? 以下哪項不是有效的監控以確保投資者符合買賣深圳創業板股票的資格要求?
A.assess the clientele of intermediary clients 評估中介客戶的客戶
B.regular review on the IPI status of the clients 定期審查客戶的機構專業投資者狀況
C.review the trading pattern of the clients 審查客戶的交易方式
D.regular and appropriate post trade review which covers all clients including the underlying clients of intermediary clients 定期和適當的交易後審查,涵蓋所有客戶,包括中間客戶其背後的客戶
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上一篇:Which of the following measure will be taken by SWHY against the client if any breach of trading rules of China Connect/B-Share is discovered? 如果發現客戶有任何違反滬港通及深港通/ B股交易規則的行為,申萬宏源將採取以下哪一項措施?
下一篇:Which of the following is eligible investor for trading SZSE’s ChiNext shares? 以下哪項是買賣深交所創業板股份的合資格投資者?
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