National Equity Transfer Company strengthens the risk management of account opening by investors on the New Third Board: Strictly investigate illegal institutions that induce "one-person companies" to illegally open accounts

On May 4th, it was learned from the brokerage office that recently, the National Stock Exchange Company issued a notice to the brokerages, requiring the brokerages to further strengthen the New Third Board investors' account opening insurance tips. The stock exchange company requires the brokerages to understand the investors' identity, financial status, securities investment experience and other relevant information when the investors apply for the opening of the New Third Board trading authority, and evaluate the investors' risk tolerance and risk identification ability. The National Equity Transfer Company requires that if an investor opens the New Third Board trading authority as a "one-person company", each brokerage firm needs to carry out targeted insurance disclosure and popularization of investment and education knowledge, focusing on publicizing the knowledge of preventing illegal securities activities to investors, fully revealing the listed company's stock trading insurance, and guiding investors to prudently participate in the listed company's stock trading. If it is found that the centralized account opening of a "one-person company" may be suspected of illegal intermediaries, the brokerage firm should promptly report the clues to the National Equity Transfer Company and do a good job of risk reminder.