China Naming Network - Eight-character Q&A - Can the trading authority of convertible bonds be transferred? What are the rules?

Can the trading authority of convertible bonds be transferred? What are the rules?

After the new regulations, the trading authority of convertible bonds needs to be opened. The requirement is that the assets in the securities account and capital account shall not be less than RMB 654.38+10,000 per day in the 20 trading days before the application authority is opened. Many people have multiple stock accounts at the same time and come from different securities companies. So in this case, can you transfer the trading authority of convertible bonds?

Can the trading authority of convertible bonds be countersigned?

Convertible bonds cannot be re-signed, because there is no provision for re-signing convertible bonds at present. If you change brokers to buy convertible bonds, you need to meet the conditions for opening convertible bonds before you can apply for opening them. For example, you originally opened the trading authority of convertible bonds in the stock account of A securities company, and then you opened a stock account in B securities company. If you want to buy convertible bonds through B Securities Company, you need to reopen the trading authority of convertible bonds.

To purchase new bonds and convertible bonds, it is necessary to sign the risk disclosure statement of convertible bonds and meet the following conditions:

1 The assets in the securities account and capital account in the 20 trading days before the opening of the application authority shall not be less than RMB 654.38+10,000 yuan per day (excluding the funds and securities that investors integrate through margin financing and securities lending);

2. Participated in securities trading for more than 24 months;

(3) The risk assessment level is higher than C3 robustness.

Reasons for failure of signing convertible bonds:

1 The average daily assets of the securities account and capital account in the 20 trading days before the application authority is opened are less than RMB 654.38+10,000;

2. It does not meet the requirements of 2 years of trading experience, and it is recommended to open it after meeting the trading experience;

3. The risk assessment level is lower than the stable level. If the risk assessment has expired, or personal information has changed recently, you can re-evaluate and re-sign.

4. If you don't get the perfect score in the knowledge evaluation, you can find out through the investor education column of official website Shenzhen Stock Exchange/Shanghai Stock Exchange, and then you can re-evaluate the knowledge. _

After the ordinary account of convertible bond trading authority is opened, it will be automatically synchronized to your wealth management account. If you don't meet the opening conditions of convertible bonds for the time being but have an investment preference for convertible bonds, you can pay attention to some related funds according to your investment objectives and risk tolerance, and you can invest without opening authority.