stock exchange firm 中文意思是什麼

stock exchange firm 解釋
證券公司
  • stock : n 〈德語〉 滑雪手杖。n 1 （樹等的）干，根株，根莖。2 【園藝】砧木；苗木；原種。3 〈古語〉木塊，木...
  • exchange : vt 1 （以某物與另一物）交換，調換 （for） 2 互換，交流，交易。3 兌換。 vi 1 兌換 （for） 2 交換；...
  • firm : adj 1 堅固的，堅牢的；穩固的。2 堅定的，堅決的。3 【商業】固定的 （opp optional） （貨幣）堅挺的...
  1. Article 23 - 1 a stock exchange shall, at its business premises, provide the commission for its inquiry with all papers, accounting books, lists, records, contracts and relevant examining and proving documents regarding the listing, transaction, monitoring, clearing, settlement and the auditing of the finance and business of a securities firm

    第23 - 1條證券交易所應于營業處所備置所有有關有價證券上市、交易、監視、結算交割及證券商財務業務查核之憑證、單據、帳簿、表冊、紀錄、契約及相關審查及證明文件，供本會調閱查核。
  2. A stock exchange shall conduct a special investigation in case that any of the members, securities brokers and securities dealers fail to fulfill the delivery obligation and shall guide the successor securities firm to take over its settlement affairs

    會員或證券經紀商、證券自營商不能履行交付義務時，證券交易所應即為專案檢查，並督導代辦證券商接辦其交割事務。
  3. Article 181 if an employee of a stock exchange, securities firm, securities registration and clearing institution or securities trading service organization, or a staff member of the securities industry association or the securities regulatory authority intentionally provides false information, forges, alters or destroys trading records or inveigle investors into purchasing or selling shares, his professional qualifications shall be revoked and a fine of not less than rmb30, 000 but not more than rmb50, 000 shall be imposed

    第一百八十一條證券交易所證券公司證券登記結算機構證券交易服務機構的從業人員證券業協會或者證券監督管理機構的工作人員，故意提供虛假資料，偽造變造或者銷毀交易記錄，誘騙投資者買賣證券的，取消從業資格，並處以三萬元以上五萬元以下的罰款屬于國家工作人員的，還應當依法給予行政處分。構成犯罪的，依法追究刑事責任。
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