银行间市场经纪业务管理办法草案公开征求意见 明确十三项禁止性行为

Core Viewpoint - The People's Bank of China has released a draft for public consultation regarding the "Interbank Market Brokerage Business Management Measures," which outlines 13 prohibited behaviors for brokerage institutions [1] Summary by Relevant Sections Brokerage Institution Regulations - The draft specifies the types of brokerage institutions and their operational scope [1] - Brokerage institutions must report to the People's Bank of China when entering the interbank market [1] Risk Management and Client Qualification - There are enhanced requirements for client qualification management [1] - Strict separation of brokerage business from proprietary trading is mandated for institutions like securities companies that do not primarily engage in brokerage [1] Information Disclosure and Communication - The draft emphasizes the importance of information disclosure and the proper use of communication tools [1] Prohibited Behaviors - The draft lists 13 prohibited behaviors, including: - Holding positions in trades by brokerage institutions - Providing services to clients who do not meet qualification criteria - Using information advantages to gain improper benefits - Assisting clients in evading regulatory oversight [1] Regulatory Requirements and Penalties - The draft aims to enhance regulatory requirements and penalties for non-compliance [1]