完善区域性股权市场个人合格投资者制度的探讨

Propositions for Elements of Individual Qualified Investor in Regional Equity Market

我国区域性股权市场个人合格投资者制度普遍存在认定标准过于单一及金融资产审核方式过于单一的问题,直接限制了市场投资人数量进而制约了市场的交易活跃度及市场总量。为了解决这一问题,区域性股权市场应根据业务属性建立分层级个人合格投资者制度,同时从实质角度出发丰富金融资产的审核方式。

In various provinces and cities of China, the elements of individual qualified investor for regional equity market prevailing are relying upon a single audit approach and one-size-fits –all financial assets method. The simple system limits the number of individual investors, trading activity and market volume of the regional equity market. To solve this problem, the regional equity market ought to establish the classification system of individual qualified investors according to the nature of the product, meanwhile enrich the audit method of financial assets from the perspective of the essence.