证券公司股票期权业务指南上海证券交易所2015年1月目录第一部分证券公司股票期权经纪业务指南..................................6说明及声明.............................................................6第一章总体要求........................................................6一、组织架构和职责分工.................................................7二、岗位设置...........................................................8三、制度与流程.........................................................9第二章股票期权经纪业务交易权限申请....................................9一、申请材料..........................................................10二、申请流程..........................................................11三、交易权限开通流程..................................................11第三章投资者适当性管理...............................................12一、投资者适当性要求..................................................12二、适当性评估........................................................14三、期权知识测试考试..................................................15四、投资者分级管理....................................................16五、投资者适当性评估的动态持续管理....................................17六、客户档案资料管理..................................................19七、本所持续监督管理..................................................19第四章账户管理.......................................................20一、账户体系..........................................................20二、账户开立与管理....................................................21第五章额度管理.......................................................22一、持仓限额管理......................................................22二、客户限购额度管理..................................................24第六章交易信息及提醒.................................................25一、交易信息内容......................................................25二、信息公告与提醒....................................................26第七章协议行权......................................................27一、协议行权策略......................................................28二、协议行权注意事项..................................................29第八章客户结算......................................................29一、日常交易清算......................................................29二、清算后数据对账....................................................30三、日常交易交收......................................................31第九章投资者教育与客户投诉处理.......................................32一、投资者教育........................................................32二、客户投诉处理......................................................33附件一：股票期权投资者适当性综合评估方法及评估样表....................36附件二：上海证券交易所股票期权经纪业务联系人..........................40第二部分证券公司股票期权自营业务指南.................................41说明及声明............................................................41第一章总体要求.......................................................41一、组织架构及岗位设置................................................41二、制度与流程........................................................42第二章业务申请与受理流程.............................................43一、申请基本要求.........................................
