Custody system of securities traded in Shenzhen Stock Exchange;

Investors who intend to hold and trade securities listed on the Shenzhen Stock Exchange will establish custody relationship with the selected securities operating institution after successfully buying the securities.

If the issued shares are subscribed by other means, the shares will be entrusted to the securities institutions designated by the investors.

This system can be summarized as: automatic custody, generally buying everywhere, where to buy and sell, without restrictions on transfer. The securities held by Shenzhen investors need to be managed in their own securities business department, which manages the detailed securities information under their names, and the securities custody of investors is automatic;

Investors buy securities in any securities business department, and these securities are automatically hosted in the securities business department; Investors can use the same securities account to buy people's securities at any securities business department in China;

Investors who want to sell securities must go to the securities custody business department (where the buyer sells); Investors can also transfer their securities under custody from one securities business department to another, which is called "securities transfer custody". Re-custody can be one or more securities, or some or all securities.

Attention should be paid to the following issues when transferring custody:

1. Sub-custody only exists in Shenzhen, and there is no sub-custody problem in Shanghai.

2. Since the settlement of Shenzhen B shares is T+3, if Shenzhen investors want to transfer custody, they can only handle it after the settlement of the buy transaction on T+3.

3. Re-trust can be one stock or multiple stocks, or it can be part or all of the securities. Investors can choose to convert some of these stocks or some of the same stocks.

4. Investors can withdraw the offer from custody within the trading hours of the day.

5. The re-entrusted securities will arrive at the account on T+ 1 day (i.e. the next trading day), and investors can sell them by the re-entrusted securities company.

6. If the equity distribution date is transferred to custody, the bonus shares and bonuses will be collected by the original custody brokerage firm.

7. Share allotment warrants are not allowed to be transferred to custody.

8. At present, the business of transferring B shares to custody through quotation in the trading system is only applicable to domestic settlement members.

9. The shares of domestic individual investors shall not be transferred to overseas securities companies.

10. If the investor's re-custody is unsuccessful (the transfer-out brokerage firm receives unconfirmed data of re-custody), the investor should immediately ask the transfer-out brokerage firm, so that the brokerage firm can timely inquire about Shenzhen Securities Clearing Company for investors.

The stock of Shenzhen Stock Exchange adopts the mode of "custody broker". Stocks bought by investors in a securities company can only be sold in that securities company before they are "transferred to custody". If you want to sell the shares of other brokers, you can go through the "transfer custody" procedure.

1 1. Investors can transfer all the Shenzhen Stock Exchange from a securities company at one time or only part of it.

12. During the re-custody period, the stocks and funds in the account cannot participate in the transaction.

13. If there is an error in the transferred securities, it shall be returned to the original transferred securities company. Investors can check the reasons with Shenzhen Securities Registration Company through the transferred securities company.

14. In order to transfer securities to a securities company, investors need to know the Shenzhen seat number of the securities company and have opened a capital account with the securities company.

15. The transfer of custody shall be handled within the trading hours of Shenzhen Stock Exchange. Suspension of trading, allotment of shares or securities during the period of stopping the transfer of custody shall not be handled.

Extended data:

1. Market system of Shenzhen Stock Exchange:

China's economic development is characterized by diversity, and the advantages of labor-intensive, capital-intensive and technology-intensive industries coexist, but they are all facing the pressure of changing from "extensive" to "intensive" and jumping from the low end of the industrial chain to the high end.

Serving the current economic structure of China, Shenzhen Stock Exchange has initially established a multi-level capital market system with differentiated development of main board, SME board and GEM, and made breakthroughs in product innovation such as fixed income based on the actual needs of the real economy.

1, equity securities

The motherboard continues to be better and stronger. In preparation for the Growth Enterprise Market, the main board market of Shenzhen Stock Exchange stopped listing new companies in 2000. At that time, there were 5 14 listed companies with a total share capital of 1 58 1 100 million shares, most of which were concentrated in traditional industries.

In recent years, through mergers and acquisitions, overall listing and other means, the stock has become better and stronger. By the end of April of 20 14, there were 480 companies listed on the main board of Shenzhen Stock Exchange, with a total share capital of 444.3 billion shares, and the accumulated refinancing since 200 1 was 800.7 billion yuan.

Small and medium-sized enterprises stand out from the rest. The SME board was approved by the State Council in May 2004, which better reflects the achievements of China's deep participation in international division of labor, long industrial chain and fine division of labor.

By the end of April 20 14, there were 7 19 listed companies, covering 3/kloc-0 provinces, municipalities and autonomous regions, of which the central and western regions accounted for more than one third, becoming the pillar of local economic development, covering all 13 industries, and many of them have become the leaders of sub-industries.

The total market value of small and medium-sized board is 4 4. 1.7 trillion yuan, which has become an important part of China's capital market and one of the few successful markets in the world focusing on small and medium-sized enterprises.

Gem has a clear positioning. After ten years of preparation, GEM was approved to be established in the State Council on June 5438+00, 2009, aiming at serving independent innovation enterprises and other growth-oriented start-up enterprises.

By the end of April, 20 14, there were 379 companies listed on the Growth Enterprise Market, of which 77% were in the sub-sectors with the key development direction in the Twelfth Five-Year Plan, and more than 43% were in the leading or synchronous sub-sectors in the world.

The characteristics of the plate are gradually becoming clear, and in the new round of innovation-driven development strategy, we will strive to become the leader of the combination of technology and finance. By the end of April of 20 14, the total share capital of GEM was 75.88 billion shares, with a total market value of10.88 trillion yuan, which was second only to Nasdaq in the global service innovation market. For example, if Nasdaq only calculates the capital market sector, the size of China Growth Enterprise Market ranks first in the world.

Actively support the construction of OTC market norms. Since 200 1, Shenzhen Stock Exchange has undertaken the technical support of the share transfer system, and on June 5438+0, 2006, a new pilot project of share quotation transfer of Zhongguancun agency system was added.

2065438+September 2002, the National Small and Medium-sized Enterprise Share Transfer System Company was established, and Shenzhen Stock Exchange participated in the company and continued to provide technical support. At the same time, Shenzhen Stock Exchange actively and steadily supports the construction of regional equity market norms, provides consulting services on rules, technology and information disclosure, and supports the construction of regional equity market through various channels.

2. Fixed income and listed funds

Bond products support small and medium-sized enterprises. The bond market is a new platform for the capital market to serve the real economy. By the end of April 20 14, there were 442 bonds listed on Shenzhen Stock Exchange, with a total face value of 2 159 billion yuan.

In order to broaden the financing channels of unlisted SMEs, the pilot project of SMEs in private placement bond was launched on 20 12, and 200 SMEs have been put on record, amounting to 27 billion yuan. 1 19 enterprises completed the issuance of 13 1 private debt, raising 15 1 100 million yuan, and the function of exchange services to promote the standardized development of small and medium-sized enterprises gradually emerged.

Asset securitization products serve the real economy. Asset securitization has unique advantages in revitalizing all kinds of social stock assets. By the end of 20 13, Shenzhen Stock Exchange had listed 1 1 asset securitization products, and raised funds of13.7 billion yuan.

Basic assets cover infrastructure construction fields such as municipal construction, sewage treatment, expressways, electricity sales, theme parks, etc., and promote the new urbanization process through service infrastructure construction.

The first microfinance asset securitization products, Ali Small Loan 1 No.2 and No.2, were listed and transferred on the Shenzhen Stock Exchange, raising 1 billion yuan, which was the first attempt of microfinance asset securitization and had important demonstration significance for implementing financial support for small and micro enterprises.

Actively promote the innovation of fund characteristics. Fund products are an important innovation field to meet the needs of wealth management and expand institutional investors. Listed funds are the characteristics of fund product innovation in Shenzhen Stock Exchange. By the end of 20 13, there were 280 listed funds in Shenzhen Stock Exchange, accounting for 83.33% of the total in Shenzhen and Shanghai stock exchanges. And launched a cross-market Shanghai and Shenzhen 300ETF and a cross-border Hong Kong Hang Seng ETF.

II. Organizational structure of Shanghai Stock Exchange

The Shanghai Stock Exchange consists of an office, a personnel department (organization department), a party office (propaganda department) discipline inspection office, a transaction management department, an issuance and listing department, a listed company supervision department, a listed company supervision department, a member department, a bond business department, an international development department and a fund and derivatives department.

Twenty-three departments including Market Supervision Department, Legal Department, Investor Education Department, System Operation Department, Technology Development Department, Technology Planning and Service Department, Information Center, Beijing Center, Finance Department, Risk Control and Internal Audit Department, Administrative Service Center (Security Department) and Infrastructure Working Group;

As well as the Shanghai Stock Exchange Development Research Center, Shanghai Securities Communication Co., Ltd. and SSE Information Network Co., Ltd., through their reasonable division of labor and coordinated operation, they have effectively played the role of securities market organizers.

Baidu Encyclopedia-Shenzhen Stock Exchange

Baidu Encyclopedia-Shanghai Stock Exchange

Baidu Encyclopedia-Sub-custody Brokerage System