The Measures for the Administration of Risk Control Indicators of Securities Companies has corresponding provisions:
Article 19 Where a securities company engages in securities brokerage business, its net capital shall not be less than RMB 20 million. Securities companies engaged in securities underwriting and sponsorship, securities self-management, securities asset management and other securities business, the net capital shall not be less than 50 million yuan.
Securities companies engaged in more than two securities underwriting and sponsorship, securities self-management, securities asset management and other securities business, the net capital shall not be less than 200 million yuan.
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Relevant provisions of the Measures for the Administration of Risk Control Indicators of Securities Companies:
Article 24 A securities company may, according to its actual situation, determine the corresponding risk control index standards on the basis of not less than the standards set by the China Securities Regulatory Commission.
China Securities Regulatory Commission sets early warning standards for various risk control indicators. For risk control indicators "not less than" a certain standard, the early warning standard is 120% of the specified standard, and the early warning standard is 80% of the specified standard.
Article 26 The China Securities Regulatory Commission and its dispatched offices may, according to the regulatory needs, require securities companies to prepare a net capital calculation table, a risk capital reserve calculation table and a risk control indicator regulatory report based on consolidated data.
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