平安证券有限责任公司 集合资产管理计划业务规则.pdf

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1、集合资产管理计划设立申报材料第五章集合资产管理计划推广代理方案及推广代理协议平安证券有限责任公司集合资产管理计划业务规则目录释义········································································································································5-4-2第一章总则·······························································

2、·······················································5-4-4第二章账户管理业务规则··························································································5-4-4第三章交易管理业务规则··························································································5-4-9第

3、四章附则·················································································································5-4-17附件1平安证券集合资产管理计划业务风险揭示书·········································5-4-19附件2平安证券集合资产管理计划账户申请表··················································5-4-23附件3平安

4、证券集合资产管理计划交易业务申请书·········································5-4-24附件4平安证券集合资产管理计划特殊交易业务申请书·······························5-4-25附件5平安证券集合资产管理计划授权委托书（机构投资者）··················5-4-26附件6平安证券集合资产管理计划大额交易预约书········································5-4-28附件7平安证券集合资产管理计划传真交易协议书·······

5、·································5-4-29附件8印鉴卡（直销）··························································································5-4-355-4-1集合资产管理计划设立申报材料第五章集合资产管理计划推广代理方案及推广代理协议释义本集合计划业务规则中除非文义另有所指，下列简称或名词具有如下含义：集合计划、计划：指平安证券发行、设立、管理的集合资产管理计划；集合计划说明书或本集合计划说明书：指平

6、安证券发行、设立、管理的集合资产管理计划说明书；集合计划合同：指平安证券发行、设立、管理的集合资产管理计划合同；《试行办法》：指2003年12月19日中国证监会发布并于2004年2月1日施行的《证券公司客户资产管理业务试行办法》；《通知》：指2004年10月21日由中国证监会发布的《关于证券公司开展集合资产管理业务有关问题的通知》；元：指人民币元；中国证监会：指中国证券监督管理委员会；集合计划管理人：指平安证券有限责任公司，简称平安证券；推广机构：指平安证券和平安证券下属营业网点及平安证券指定的代理销售机构；集合计划合同当事人：指受计划合同

7、约束，根据计划合同享有权利并承担义务的计划管理人、计划托管人和计划份额持有人；委托人：指依据集合计划合同和集合计划说明书参与集合计划的除管理人以外的投资者；持有人：指依据集合计划合同和集合计划说明书参与本计划的所有投资者（包括管理人）；个人投资者：指依据中华人民共和国有关法律法规及其他有关规定可以投资于集合资产管理计划的自然人投资者；机构投资者：指依法可以投资集合资产管理计划，在中华人民共和国境内合法注册登记或经有关政府部门批准设立的企业法人、事业法人、社会团体或其他组织；成立日：指集合计划达到集合计划说明书和集合计划合同规定的成立条件后，

8、管理人通告本计划成立的日期；推广期：指自中国证监会对集合计划说明书出具批准函之日起不超过六十日；封闭期：指不接受参与、退出等业务的工作日；开放期：指投资者办理计划参与、退出等业务