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Licensed Market Participants

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Lists of Licensed Market Participants：
　1.Securities Firms (2025-5-1, docx, odt)
　2.Futures Enterprises (2025-5-1, doc, odt)
　3.Securities Investment Trust Enterprises (2025-5-1, doc, odt)
　4.Securities Investment Consulting Enterprises(2025-5-1, doc, odt)
　5.Securities Finance Enterprises (2025-5-1, doc, odt)
　6.Credit Rating Agencies (2024-3-4, xlsx , ods)
 
Securities Firms：
　1.Securities Firms Profile
　2.Pledge of Shares of Directors, Supervisors and Major Shareholders Holding 10 Percent or More of Securities Firms
　3.List of Application Filing and Business Commencement of OSU (2023-3-1, xlsx, ods)
　4.Financial Information of Securities Firms
　5.Regulatory Capital Adequacy Ratio and Risk Management Data of Securities Firms
　　● Regulatory Capital Adequacy Ratio Data of Securities Firms (Chinese version only)
　　● Risk Management Data of Securities Firms (Chinese version only)
　6.Credit Rating Information of Securities Firms (Chinese version only)
　7.Securities Firms' Wealth Management Business  (Chinese version only)
 
Futures Commission Merchants (FCM)：
　1.FCM company profile
　2.The Public FCMs' board of directors and major shareholders' Stock Pledge (Chinese version only)
　3.Futures Trust Fund Clear (Chinese version only)
　4.FCM Financial Reports
　5.FCM Market Observation Post System
 
Securities Investment Trust Enterprises & Securities Finance Enterprises：
　1.Disclosures of Securities Investment Trust & Consulting Enterprises
　2.The Securities Investment Trust Enterprises restricted from publicly offering or privately placing securities investment trust funds (2023-4-18, Chinese version only)
Visitor： 64479 　 Update： 2025-05-05
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