金色财经|Jun 04, 2026 10:51
[Comprehensive Rectification of Brokerage Trading Units, Exchanges Require Institutions to Provide Feedback on Rectification Status Within a Deadline]
Reported by Jinse Finance, on June 4, according to Yicai, it has been learned from industry sources that exchanges recently issued the *Guidelines for Trading Gateway Management (Trial)*, which will be implemented starting August 31 this year. Additionally, a notice regarding strengthening the management of participants' trading business units has been distributed within the industry.
Specifically, the Shanghai Stock Exchange (SSE) issued the *Notice on Strengthening the Management of Participants' Trading Business Units*, requiring members to conduct self-inspections on the usage of participants' trading business units. If there are any situations that do not comply with relevant regulations, rectifications must be completed within three months from the date of the notice's issuance (May 29).
The notice emphasizes that members must properly allocate resources within trading units, treat investors fairly, protect the legitimate rights and interests of investors, especially small and medium-sized investors, and strictly prohibit providing special conveniences to individual investors. Furthermore, before applying to the exchange for additional general brokerage and margin trading-specific trading units, members must ensure that the number of trading units already applied for aligns with the scale of their brokerage business and that the existing trading units are being fully utilized.
The SSE also stated that members must ensure that the rectification and cleanup work is carried out smoothly and orderly.
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