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第六章. 备案
chapter vi. filing
Last Update: 2016-12-04
Usage Frequency: 1
Quality:
证券 公司 的 证券 自营 账户 , 应当 自 开户 之日 起 三个 交易日 内 报 证券 交易所 备案 .
self-run securities accounts of the securities firm should be submitted to the stock exchange for filing within 3 trading days of account opening.
Last Update: 2011-10-24
Usage Frequency: 1
Quality:
保险 公司 拟订 的 其他 险种 的 保险 条款 和 保险费率 , 应当 报 金融 监督 管理 部门 备案 。
the insurance clauses and premium rates for other types of insurance formulated by an insurance company shall be filed with the financial supervision and regulation department .
Last Update: 2011-10-24
Usage Frequency: 1
Quality:
证券 公司 为 证券 资产 管理 客户 开立 的 证券 账户 , 应当 自 开户 之日 起 三个 交易日 内 报 证券 交易所 备案 .
securities account opened by the securities firm for securities assets management customer should be submitted to stock exchange for filing within 3 trading days.
Last Update: 2011-10-24
Usage Frequency: 1
Quality:
( 三 ) 未 按照 规定 将 证券 自营 账户 或者 证券 资产 管理 客户 的 证券 账户 报 证券 交易所 备案 ;
(3) where a securities firm does not report its security self-operation accounts or portfolio accounts of its clients to a security exchange for file according to provisions;
Last Update: 2011-10-24
Usage Frequency: 1
Quality:
( 十二 ) 聘请 , 解聘 会计师 事务所 , 未 按照 规定 向 国务院 证券 监督 管理 机构 备案 , 解聘 会计师 事务所 未 说明 理由 .
(12) where a securities firm does not report to the securities regulatory agency under the state council for file about its hiring and dismissal of an accounting firm, or does not explain reasons for its dismissal of an accounting firm.
Last Update: 2011-10-24
Usage Frequency: 1
Quality:
107. 此外,在申诉人的来文已由申诉程序登记备案时,要通知申诉人。
107. in addition, the complainant shall be informed when his/her communication is registered by the complaint procedure.
Last Update: 2016-12-04
Usage Frequency: 3
Quality: