The business scope of securities companies is as follows:
With the approval of the the State Council Securities Regulatory Authority and a license to engage in securities business, a securities company may engage in some or all of the following securities business.
1, stockbroker.
2. Securities investment consulting.
3. Financial advisers related to securities trading and securities investment activities.
4. Securities underwriting and sponsorship.
5. Securities margin trading.
6. Securities are traded in the market.
7. Securities are self-operated.
Second, detailed analysis
A securities company refers to a limited liability company or a joint stock limited company with independent legal personality, which is established with the approval of the the State Council securities regulatory authority in accordance with the provisions of the Company Law and the Securities Law and specializes in securities business.
3. What are the regulatory agencies of securities companies?
Securities regulatory agencies mainly include the State Council securities regulatory agencies, securities investor protection fund companies and trade associations. The securities regulatory agency is a state administrative agency, and it is the competent institution established by the state or the government to supervise and manage the securities market. The securities supervision and administration institution refers to an institution established according to law to supervise and manage the issuance and trading of securities. For example, the China Securities Regulatory Commission. The main responsibilities are to formulate rules and regulations for the supervision and management of the securities market according to law, be responsible for supervising the implementation of relevant laws and regulations, protect the legitimate rights and interests of investors, comprehensively supervise the securities issuance, securities trading and intermediary institutions nationwide according to law, and maintain a fair and orderly securities market.