根本性的问题在于,哪些行为构成银行的“自营交易”,特别是因为这涉及到为客户利益而进行证券交易的行为。
At root is the issue of just what constitutes "proprietary trading" by Banks, especially as it relates to the issue of making trades in securities on behalf of their customers.
证券公司不得将其自营帐户借给他人使用。
Securities companies shall not lend the accounts of their proprietary business to others.
证券公司的自营业务必须使用自有资金和依法筹集的资金。
Securities companies shall use their own funds or funds raised in accordance with the law when operating proprietary business.
证券公司不得将其自营账户借给他人使用。
A securities company shall not let others use its accounts for proprietary account transactions.
证券公司在银行开立的自营资金账户内的资金可以冻结、扣划。
VIII. The funds in a self-run capital account opened by a securities company at the bank may be frozen and deducted.
分公司经授权经营证券自营业务或者证券资产管理业务的,不得经营其他业务。
A branch that has been authorized to engage in securities business for the account of the securities company or securities asset management business may not engage in other businesses.
情节严重的,暂停或者撤销证券自营业务许可。
Under any serious circumstances, the business license for securities self-operation shall be suspended or revoked.
这些经营风险一般在证券公司的主要经营业务中表现出来,包括自营业务、承销业务、经纪业务和刚兴起的委托理财业务。
The business risk usually appears in the main business of Security Company, such as self-settlement, underwriting, brokerage and entrustment.
专业证券经纪商及专业证券自营商加附银行存款明细表一份。
On a monthly basis, specialized securities broker firms and securities dealer firms shall also prepare one copy of the bank deposit statement.
证券的代理买卖、自营买卖业务;
第四十二条证券公司从事证券自营业务,应当使用实名证券自营账户。
Article 42 When a securities firm is engaged in self-run business, it should use self-run securities accounts with its true name.
依照证券公司经营范围及业务特点,我国证券公司风险可分为经纪业务风险、自营业务风险、承销业务风险和资产管理业务风险等。
According to the business scope and business characteristics, the risks can be divided into the risk of brokerage business, underwriting business, asset management business and own business.
第一百三十七条证券公司的自营业务必须以自己的名义进行,不得假借他人名义或者以个人名义进行。
Article 137 a securities company must conduct its proprietary account transactions in its own name and shall not make use of the name of another entity or the name of a natural person.
第一百三十七条证券公司的自营业务必须以自己的名义进行,不得假借他人名义或者以个人名义进行。
Article 137 a securities company must undertake its self-operated business in its own name and may not make use of any other person's name or conduct such operation in an individual's name.
自营商的利润或损失来自于同一证券的买卖价差。
The dealer's profit or loss is the difference between the price paid and the price received for the same security.
第一百三十七条证券公司的自营业务必须以自己的名义进行,不得假借他人名义或者以个人名义进行。
Article 137: business on the own account of securities companies must be conducted in their own names. Such business may not be conducted in the name of another or in the name of an individual.
第一百三十七条证券公司的自营业务必须以自己的名义进行,不得假借他人名义或者以个人名义进行。
Article 137: business on the own account of securities companies must be conducted in their own names. Such business may not be conducted in the name of another or in the name of an individual.
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