{"id":859,"date":"2023-02-20T11:51:55","date_gmt":"2023-02-20T11:51:55","guid":{"rendered":"https:\/\/htsc-us.com\/legal\/regulatory-disclosure\/"},"modified":"2023-05-23T18:52:09","modified_gmt":"2023-05-23T18:52:09","slug":"regulatory-disclosure","status":"publish","type":"page","link":"https:\/\/htsc-us.com\/zh-hans\/legal\/regulatory-disclosure\/","title":{"rendered":"\u76d1\u7ba1\u62ab\u9732"},"content":{"rendered":"<p class=\"p1\"><b>FINRA \u89c4\u5219 2266 SIPC \u4fe1\u606f<\/b><\/p>\n<p class=\"p2\">Huatai Securities (USA), Inc. (\u201c\u534e\u6cf0\u201d\u6216\u201cHTUS\u201d) \u662f\u534e\u6cf0\u8bc1\u5238\u80a1\u4efd\u6709\u9650\u516c\u53f8\u7684\u5b50\u516c\u53f8\u3002HTUS \u662f\u5728\u7f8e\u56fd\u8bc1\u5238\u4ea4\u6613\u59d4\u5458\u4f1a (\u201cSEC\u201d) \u6ce8\u518c\u7684\u7ecf\u7eaa\u4eba\/\u4ea4\u6613\u5546\uff0c\u5e76\u4e14\u662f\u91d1\u878d\u4e1a\u76d1\u7ba1\u5c40\uff08\u201cFINRA\u201d\uff09\u548c\u8bc1\u5238\u6295\u8d44\u8005\u4fdd\u62a4\u516c\u53f8\uff08\u201cSIPC\u201d\uff09\u3002\u6295\u8d44\u8005\u53ef\u5728 <a class=\"linkified\" href=\"http:\/\/www.sipc.org\/for-investors\/\" target=\"_blank\" rel=\"noopener\">www.sipc.org\/for-investors\/<\/a> \u6216\u81f4\u7535 202-371-8300 \u83b7\u53d6\u6709\u5173 SIPC \u7684\u4fe1\u606f\uff0c\u5305\u62ec SIPC \u624b\u518c\u3002<\/p>\n<p class=\"p1\"><b>FINRA \u89c4\u5219 2267 \u6295\u8d44\u8005\u6559\u80b2\u4e0e\u4fdd\u62a4<\/b><\/p>\n<p class=\"p2\">FINRA BrokerCheck \u4f7f\u6295\u8d44\u8005\u80fd\u591f\u67e5\u627e\u5728 FINRA \u6ce8\u518c\u7684\u7ecf\u7eaa\u516c\u53f8\u548c\u7ecf\u7eaa\u4eba\u7684\u4e13\u4e1a\u80cc\u666f\u3001\u5546\u4e1a\u60ef\u4f8b\u548c\u884c\u4e3a\u3002\u6295\u8d44\u8005\u53ef\u4ee5\u62e8\u6253 BrokerCheck \u5e2e\u52a9\u70ed\u7ebf 800-289-9999 \u5e76\u8bbf\u95ee FINRA \u7f51\u7ad9 <a href=\"https:\/\/brokercheck.finra.org\/\">https:\/\/brokercheck.finra.org<\/a>&#8230; FINRA BrokerCheck \u8ba1\u5212\u7684\u6295\u8d44\u8005\u624b\u518c\u3002<\/p>\n<p class=\"p2\"><b>\u63d0\u51fa\u6295\u8bc9<\/b><\/p>\n<p class=\"p2\">\u5982\u679c\u60a8\u5bf9\u6211\u4eec\u7684\u4ea7\u54c1\u6216\u670d\u52a1\u6709\u4efb\u4f55\u6295\u8bc9\uff0c\u8bf7\u5c06\u6295\u8bc9\u53d1\u9001\u81f3\uff1aChief Compliance Officer, Huatai Securities (USA), Inc., 280 Park Avenue 21 East, New York, New York 10017 \u6216\u8054\u7cfb 212-763-8158\u3002<\/p>\n<p class=\"p1\"><b>\u8ba2\u5355\u6d41\u7684\u73b0\u91d1\u80a1\u6743\u8ba2\u5355\u5904\u7406\u3001\u8ba2\u5355\u8def\u7531\u548c\u4ed8\u6b3e<\/b><\/p>\n<p class=\"p2\">HTUS \u5c06\u60a8\u7684\u8ba2\u5355\u53d1\u9001\u5230\u67d0\u4e9b\u4ea4\u6613\u4e2d\u5fc3\u6216\u7ecf\u7eaa\u4eba\/\u4ea4\u6613\u5546\uff0c\u5e76\u53ef\u80fd\u4ece\u6267\u884c\u8ba2\u5355\u7684\u4ea4\u6613\u4e2d\u83b7\u5f97\u6263\u9664\u56de\u6263\u548c\u6210\u672c\u7684\u62a5\u916c\uff0c\u8be5\u62a5\u916c\u57fa\u4e8e\u6211\u4eec\u63d0\u4f9b\u7684\u6d41\u52a8\u6027\u3002\u8be5\u62a5\u916c\u7684\u6570\u989d\u53ef\u80fd\u4f1a\u8d85\u8fc7HTUS\u88ab\u8be5\u4ea4\u6613\u573a\u6240\u6536\u53d6\u7684\u6570\u989d\u3002\u8fd9\u79cd\u505a\u6cd5\u4e0d\u4f1a\u6539\u53d8 HTUS \u5c06\u5ba2\u6237\u8ba2\u5355\u8def\u7531\u5230\u4ea4\u6613\u4e2d\u5fc3\u7684\u653f\u7b56\uff0c\u5ba2\u6237\u7684\u8ba2\u5355\u5c06\u5728\u8003\u8651\u4ef7\u683c\u3001\u4ea4\u6613\u6210\u672c\u3001\u6ce2\u52a8\u6027\u3001\u5e02\u573a\u6df1\u5ea6\u3001\u6d41\u52a8\u6027\u3001\u670d\u52a1\u8d28\u91cf\u3001\u901f\u5ea6\u548c\u6548\u7387\u7b49\u56e0\u7d20\u540e\u83b7\u5f97\u6700\u4f73\u6267\u884c\u8d28\u91cf.<\/p>\n<p class=\"p1\"><b>\u91cd\u8981\u5f00\u6237\u8d44\u6599<\/b><\/p>\n<p class=\"p2\">\u4e3a\u5e2e\u52a9\u653f\u5e9c\u6253\u51fb\u8d44\u52a9\u6050\u6016\u4e3b\u4e49\u548c\u6d17\u94b1\u6d3b\u52a8\uff0c\u8054\u90a6\u6cd5\u5f8b\u8981\u6c42\u6240\u6709\u91d1\u878d\u673a\u6784\u83b7\u53d6\u3001\u9a8c\u8bc1\u548c\u8bb0\u5f55\u5e76\u8bc6\u522b\u6bcf\u4e2a\u5f00\u6237\u4eba\u8eab\u4efd\u7684\u4fe1\u606f\u3002\u8fd9\u5bf9\u60a8\u610f\u5473\u7740\u4ec0\u4e48\uff1a\u5f53\u60a8\u5f00\u6237\u65f6\uff0cHTUS \u4f1a\u8be2\u95ee\u60a8\u7684\u59d3\u540d\u3001\u5730\u5740\u3001\u51fa\u751f\u65e5\u671f\u548c\u5176\u4ed6\u8eab\u4efd\u4fe1\u606f\u3002\u5982\u679c\u60a8\u4ee3\u8868\u53d7\u5ba2\u6237\u5c3d\u804c\u8c03\u67e5\u89c4\u5219\u7ea6\u675f\u7684\u6cd5\u4eba\u5b9e\u4f53\u5f00\u7acb\u65b0\u8d26\u6237\uff0c\u6211\u4eec\u5c06\u8981\u6c42\u63d0\u4f9b\u53d7\u76ca\u4eba\u7684\u59d3\u540d\u3001\u5730\u5740\u3001\u51fa\u751f\u65e5\u671f\u3001\u793e\u4f1a\u5b89\u5168\u53f7\u7801\u3001\u62a4\u7167\u53f7\u7801\u548c\u6587\u4ef6\u4ee5\u9a8c\u8bc1\u5176\u8eab\u4efd.\u5982\u679c\u6ca1\u6709\u63d0\u4f9b\u6240\u9700\u7684\u4fe1\u606f\u6216\u6587\u4ef6\uff0cHTUS \u5c06\u4e0d\u4f1a\u4e3a\u60a8\u5f00\u8bbe\u8d26\u6237\u3002<\/p>\n<p class=\"p1\"><b>\u201c\u672a\u6301\u6709\u201d\u673a\u6784\u8ba2\u5355<\/b><\/p>\n<p class=\"p2\">\u5f53\u673a\u6784\u8d26\u6237\u7684\u8ba2\u5355\uff08\u201c\u673a\u6784\u8ba2\u5355\u201d\uff09\u88ab\u6807\u8bb0\u4e3a\u201c\u672a\u6301\u6709\u201d\u6216\u672a\u88ab\u6807\u8bb0\u4e3a\u201c\u6301\u6709\u201d\u6216\u201c\u672a\u6301\u6709\u201d\u65f6\uff0cHTUS\u5c06\u8be5\u8ba2\u5355\u89c6\u4e3a\u201c\u672a\u6301\u6709\u201d\u8ba2\u5355\u3002 HTUS \u8ba4\u4e3a\uff0c\u5728\u201c\u672a\u6301\u6709\u201d\u7684\u57fa\u7840\u4e0a\u5904\u7406\u673a\u6784\u8ba2\u5355\u5141\u8bb8\u6211\u4eec\u4f7f\u7528\u6211\u4eec\u7684\u5224\u65ad\u529b\u548c\u81ea\u7531\u88c1\u91cf\u6743\u6765\u201c\u5904\u7406\u201d\u8ba2\u5355\u7684\u4ef7\u683c\u3001\u65f6\u95f4\u6216\u8868\u793a\u6b64\u7c7b\u8ba2\u5355\u7684\u65b9\u5f0f\uff0c\u66b4\u9732\u4e8e\uff0c\u6216\u7531\u573a\u5730\u6267\u884c\u4ee5\u5b9e\u73b0\u9ad8\u8d28\u91cf\u7684\u6267\u884c\u3002\u5982\u679c\u60a8\u6709\u4efb\u4f55\u7591\u95ee\uff0c\u6216\u4e0d\u5e0c\u671b\u60a8\u7684\u8ba2\u5355\u6309\u4e0a\u8ff0\u65b9\u5f0f\u5904\u7406\uff0c\u8bf7\u8054\u7cfb\u60a8\u7684 HTUS \u9500\u552e\u4ee3\u8868\u3002<\/p>\n<p class=\"p2\"><b>SEC \u89c4\u5219 606 \u62a5\u544a<\/b><\/p>\n<p class=\"p2\">\u4f5c\u4e3a HTUS \u7684\u5ba2\u6237\uff0c\u60a8\u53ef\u4ee5\u514d\u8d39\u7d22\u53d6\u6709\u5173\u60a8\u5728\u63d0\u51fa\u8bf7\u6c42\u524d\u516d\u4e2a\u6708\u5185\u7531 HTUS \u53d1\u9001\u4ee5\u4f9b\u6267\u884c\u7684\u4efb\u4f55\u8ba2\u5355\u7684\u4fe1\u606f\u3002\u5177\u4f53\u6765\u8bf4\uff0c\u60a8\u53ef\u4ee5\u8981\u6c42\u63d0\u4f9b\u60a8\u88ab\u53d1\u9001\u81f3\u6267\u884c\u5730\u70b9\u7684\u4efb\u4f55\u8ba2\u5355\u7684\u8eab\u4efd\u3001\u8ba2\u5355\u662f\u5b9a\u5411\u8ba2\u5355\u8fd8\u662f\u975e\u5b9a\u5411\u8ba2\u5355\uff0c\u4ee5\u53ca\u4efb\u4f55\u7531\u6b64\u4ea7\u751f\u7684\u4ea4\u6613\u7684\u65f6\u95f4\u3002\u6b64\u5916\uff0cHTUS \u6839\u636e SEC \u89c4\u5219 606 \u89c4\u5219\u7684\u5b63\u5ea6\u8ba2\u5355\u8def\u7531\u62a5\u544a\u7684\u786c\u62f7\u8d1d\u4e5f\u53ef\u5e94\u8981\u6c42\u514d\u8d39\u63d0\u4f9b\u3002<\/p>\n<p class=\"p1\"><b>\u6839\u636e\u6ce8\u518c\u58f0\u660e\u7684\u8f6c\u8ba9\u9650\u5236\u548c\u9500\u552e<span class=\"Apple-converted-space\">\u00a0<\/span><\/b><\/p>\n<p class=\"p2\">\u4f5c\u4e3a HTUS \u63a5\u53d7\u60a8\u7684\u4efb\u4f55\u8ba2\u5355\u7684\u6761\u4ef6\uff0c\u60a8\u58f0\u660e\u60a8\u5c06\u5728\u8f93\u5165\u8ba2\u5355\u4e4b\u524d\uff1a(a) \u544a\u77e5\u6211\u4eec (i) \u5173\u4e8e\u8f6c\u8ba9\u60a8\u51fa\u552e\u7684\u4efb\u4f55\u8bc1\u5238\u7684\u4efb\u4f55\u6cd5\u5f8b\u9650\u5236\uff08\u5305\u62ec\u6839\u636e\u89c4\u5219 144\u6216 1933 \u5e74\u300a\u8bc1\u5238\u6cd5\u300b\u7b2c 145(d) \u8282\uff09\u548c (ii) \u60a8\u51fa\u552e\u7684\u4efb\u4f55\u8bc1\u5238\u662f\u5426\u6839\u636e\u767b\u8bb0\u58f0\u660e\u51fa\u552e\uff0c\u4ee5\u53ca (b) \u5411\u6211\u4eec\u63d0\u4f9b\u4efb\u4f55\u5fc5\u8981\u7684\u6587\u4ef6\uff08\u5305\u62ec\u62db\u80a1\u8bf4\u660e\u4e66\u6216\u610f\u89c1\uff09\u4ee5\u6ee1\u8db3\u5408\u6cd5\u8f6c\u8ba9\u8981\u6c42.\u60a8\u5e94\u5bf9\u4e0e\u9075\u5b88\u6216\u672a\u80fd\u9075\u5b88\u8bc1\u5238\u8f6c\u8ba9\u7684\u4efb\u4f55\u9650\u5236\u76f8\u5173\u7684\u4efb\u4f55\u5ef6\u8bef\u3001\u8d39\u7528\u548c\u635f\u5931\u8d1f\u8d23\u3002<\/p>\n<p class=\"p1\"><b>\u5e02\u573a\u6ce2\u52a8\u671f\u95f4\u7684\u8ba2\u5355\u5904\u7406<\/b><\/p>\n<p class=\"p2\">\u5728\u5e02\u573a\u6781\u5ea6\u6ce2\u52a8\u671f\u95f4\uff0c\u5c06\u8ba2\u5355\u53d1\u9001\u81f3 HTUS \u65f6\uff0c\u8bf7\u7262\u8bb0\u4ee5\u4e0b\u6ce8\u610f\u4e8b\u9879\uff1a 1. \u5ef6\u8fdf\uff1a\u5728\u6b64\u671f\u95f4\u7684\u5927\u91cf\u4ea4\u6613\uff0c\u65e0\u8bba\u662f\u5728\u5f00\u5e02\u65f6\u8fd8\u662f\u65e5\u5185\uff0c\u90fd\u53ef\u80fd\u5bfc\u81f4\u6267\u884c\u5ef6\u8fdf\u4ee5\u53ca\u4ef7\u683c\u548c\u6267\u884c\u5c3a\u5bf8\u4e0e\u8f93\u5165\u8ba2\u5355\u65f6\u62a5\u4ef7\u6216\u663e\u793a\u7684\u5e02\u573a\u4ef7\u683c\u548c\u5c3a\u5bf8\u660e\u663e\u4e0d\u540c\u3002\u5728\u6b64\u671f\u95f4\uff0c\u62a5\u4ef7\u6216\u663e\u793a\u7684\u80a1\u7968\u89c4\u6a21\u4e5f\u53ef\u80fd\u66f4\u5c0f\uff0c\u4ece\u800c\u66f4\u96be\u6267\u884c\u66f4\u5927\u7684\u80a1\u7968\u8ba2\u5355\u3002 2. \u5e02\u573a\u8ba2\u5355\u4ef7\u683c\u548c\u9650\u4ef7\u8ba2\u5355\u6d41\u52a8\u6027\uff1a\u867d\u7136\u60a8\u53ef\u80fd\u4f1a\u5728\u6b64\u7c7b\u671f\u95f4\u6536\u5230\u5373\u65f6\u6267\u884c\u7684\u5e02\u573a\u8ba2\u5355\uff0c\u4f46\u6267\u884c\u4ef7\u683c\u53ef\u80fd\u4e0e\u8be5\u8bc1\u5238\u7684\u5f53\u524d\u62a5\u4ef7\u6709\u5f88\u5927\u5dee\u5f02\u3002\u4e3a\u51cf\u8f7b\u5e02\u573a\u6ce2\u52a8\u7684\u4e0d\u5229\u5f71\u54cd\uff0cHTUS\u53ef\u80fd\u4f1a\u5728\u5165\u5e02\u65f6\u8bbe\u7f6e\u9650\u4ef7\u3002\u867d\u7136\u60a8\u56e0\u9650\u4ef7\u8ba2\u5355\u4ec5\u5728\u6307\u5b9a\u7684\u9650\u4ef7\u6216\u66f4\u597d\u7684\u4ef7\u683c\u6267\u884c\u800c\u83b7\u5f97\u4ef7\u683c\u4fdd\u62a4\uff0c\u4f46\u8be5\u8ba2\u5355\u6709\u53ef\u80fd\u4e0d\u4f1a\u5728\u6b64\u7c7b\u671f\u95f4\u6267\u884c\u3002 3. \u8bbf\u95ee\u53d7\u9650\uff1a\u5982\u679c\u7cfb\u7edf\u95ee\u9898\u5bfc\u81f4\u65e0\u6cd5\u4e0b\u4e70\u5355\u6216\u5356\u5355\uff0c\u60a8\u53ef\u80fd\u4f1a\u5728\u6b64\u671f\u95f4\u906d\u53d7\u5e02\u573a\u635f\u5931\u3002\u5982\u679c\u51fa\u73b0\u6b64\u7c7b\u7cfb\u7edf\u95ee\u9898\uff0cHTUS \u5c06\u505a\u51fa\u5408\u7406\u7684\u52aa\u529b\u4e0e\u5ba2\u6237\u8fdb\u884c\u9002\u5f53\u7684\u6c9f\u901a\u3002 4. \u4ea4\u6613\u6682\u505c\uff1a\u5982\u679c\u8bc1\u5238\u7684\u4e3b\u8981\u4e0a\u5e02\u4ea4\u6613\u6240\u6216 FINRA \u5ba3\u5e03\u6682\u505c\u8bc1\u5238\u6216\u6240\u6709 NMS \u80a1\u7968\u7684\u4ea4\u6613\uff0cHTUS \u53ef\u80fd\u4f1a\u88ab\u7981\u6b62\u5728\u6b64\u671f\u95f4\u4ea4\u6613\u8bc1\u5238\u3002<\/p>\n<p class=\"p1\"><b>\u6388\u6743\u4ea4\u6613\u5458<\/b><\/p>\n<p class=\"p2\">HTUS \u8981\u6c42\u60a8\u4e0d\u8981\u5411\u6211\u4eec\u53d1\u9001\u6709\u6743\u4e0b\u8ba2\u5355\u7684\u4eba\u5458\u540d\u5355\u3002 HTUS \u5e0c\u671b\u60a8\u7684\u5185\u90e8\u63a7\u5236\u80fd\u591f\u6709\u6548\u786e\u4fdd\u5411 HTUS \u4e0b\u8ba2\u5355\u7684\u4eba\u5458\u83b7\u5f97\u9002\u5f53\u6388\u6743\uff0c\u53ef\u4ee5\u4ee3\u8868\u60a8\u7684\u7ec4\u7ec7\u8fdb\u884c\u8fd9\u4e9b\u4ea4\u6613\u3002<\/p>\n<p class=\"p1\"><b>\u4e0e\u901a\u8fc7\u7b2c\u4e09\u65b9\u83b7\u53d6\u7814\u7a76\u76f8\u5173\u7684\u4fe1\u606f\u548c\u9690\u79c1<\/b><\/p>\n<p class=\"p2\">\u901a\u8fc7 HTUS \u5206\u9500\u7f51\u70b9\u4ee5\u7535\u5b50\u65b9\u5f0f\u8bbf\u95ee HTUS \u9644\u5c5e\u7814\u7a76\u53d7\u5236\u4e8e\u7ba1\u7406\u8fd9\u4e9b\u5e94\u7528\u7a0b\u5e8f\u7684\u534f\u8bae\u7684\u4fe1\u606f\u548c\u9690\u79c1\u6761\u6b3e\uff0c\u5e76\u4e14\u901a\u8fc7\u7b2c\u4e09\u65b9\uff08\u5982\u5f6d\u535a\u3001FactSet\u3001\u6c64\u68ee\u8def\u900f\u7b49\uff09\u8bbf\u95ee HTUS \u9644\u5c5e\u7814\u7a76\uff0c\u5373\u8868\u793a\u60a8\u540c\u610f\u5173\u4e8e\u60a8\u4f7f\u7528 HTUS \u9644\u5c5e\u7814\u7a76\u5bf9\u8fd9\u4e9b\u670d\u52a1\u7684\u6240\u6709\u4fe1\u606f\u548c\u6570\u636e\u7684\u5ef6\u8fdf\u901a\u4fe1\u548c\u62ab\u9732\u3002<\/p>\n<p class=\"p1\"><b>Alpha \u6355\u6349\u7cfb\u7edf<\/b><\/p>\n<p class=\"p2\">HTUS \u9500\u552e\u4ee3\u8868\u5c06\u4ea4\u6613\u60f3\u6cd5\u4f20\u8fbe\u7ed9\u7b2c\u4e09\u65b9Alpha\u6355\u6349\u5e73\u53f0\uff08\u201cACP\u201d\uff09\u3002\u5728\u67d0\u4e9b\u60c5\u51b5\u4e0b\uff0cHTUS \u9500\u552e\u4ee3\u8868\u53ef\u80fd\u8ba4\u4e3a\u4e0e\u60a8\u548c\u5176\u4ed6\u7528\u6237\u5728\u4e00\u4e2a\u6216\u591a\u4e2a ACP \u4e0a\u5206\u4eab\u5168\u90e8\u6216\u90e8\u5206\u4ea4\u6613\u60f3\u6cd5\u662f\u5408\u9002\u7684\u3002\u56e0\u6b64\uff0c\u901a\u8fc7\u8fd9\u4e9b\u5e73\u53f0\u63d0\u4f9b\u7ed9\u60a8\u7684\u4ea4\u6613\u5efa\u8bae\u4e5f\u53ef\u80fd\u4f1a\u4e0e\u53c2\u4e0e\u8fd9\u4e9b\u5e73\u53f0\u7684\u5176\u4ed6\u5ba2\u6237\u5171\u4eab\u3002\u4f5c\u4e3a\u6ce8\u518c\u7ecf\u7eaa\u4eba\/\u4ea4\u6613\u5546\uff0cHTUS \u4fdd\u7559\u5ba1\u67e5\u4efb\u4f55\u63d0\u4ea4\u7684\u4ea4\u6613\u60f3\u6cd5\u4ee5\u53ca\u4fee\u6539\u548c\u5173\u95ed\u4efb\u4f55\u6b64\u7c7b\u63d0\u4ea4\u7684\u6743\u5229\u3002 HTUS \u5458\u5de5\u53ef\u4ee5\u4eb2\u81ea\u4e3a\u4e0e\u6b64\u7c7b\u8d38\u6613\u7406\u5ff5\u76f4\u63a5\u6216\u95f4\u63a5\u76f8\u5173\u7684\u4efb\u4f55\u53d1\u884c\u4eba\u6216\u91d1\u878d\u5de5\u5177\u8fdb\u884c\u6295\u8d44\u6216\u8fdb\u884c\u4ea4\u6613\uff0c\u5305\u62ec\u54cd\u5e94\u8d38\u6613\u7406\u5ff5\u3002\u8d38\u6613\u7406\u5ff5\u662f\u6839\u636e HTUS \u5173\u4e8e\u7ba1\u7406\u5229\u76ca\u51b2\u7a81\u7684\u653f\u7b56\u51c6\u5907\u7684\u3002\u5982\u679c\u60a8\u5bf9 HTUS \u5904\u7406\u4f7f\u7528\u63d0\u4ea4\u7ed9 ACP \u7684\u8d38\u6613\u60f3\u6cd5\u7684\u65b9\u5f0f\u6709\u4efb\u4f55\u7591\u95ee\uff0c\u8bf7\u8054\u7cfb\u60a8\u7684 HTUS \u9500\u552e\u4ee3\u8868\u3002<\/p>\n<p class=\"p1\"><b>\u534e\u6cf0\u91d1\u878d\u63a7\u80a1\uff08\u9999\u6e2f\uff09\u6709\u9650\u516c\u53f8\u6267\u884c\u8ba2\u5355\u7684\u8ba2\u5355\u5904\u7406<\/b><\/p>\n<p class=\"p2\">\u5728\u5904\u7406\u60a8\u7684\u8ba2\u5355\u65f6\uff0c\u534e\u6cf0\u91d1\u878d\uff08\u9999\u6e2f\uff09\u6709\u9650\u516c\u53f8\uff08\u201cHTFH\u201d\uff09\u5c06\u91c7\u53d6\u6240\u6709\u5408\u7406\u6b65\u9aa4\uff0c\u6839\u636e\u9999\u6e2f\u8bc1\u5238\u53ca\u671f\u8d27\u4e8b\u52a1\u76d1\u5bdf\u59d4\u5458\u4f1a\u6301\u724c\u4eba\u6216\u6ce8\u518c\u4eba\u884c\u4e3a\u5b88\u5219\uff0c\u4ee5\u6700\u53ef\u884c\u7684\u6761\u6b3e\u63d0\u4f9b\u6267\u884c\u3002\u5982\u679c\u60a8\u5c06\u60a8\u7684\u8ba2\u5355\u53d1\u9001\u7ed9 HTUS \u7531 HTFH \u5728\u4e9a\u6d32\u5e02\u573a\u6267\u884c\uff0c\u60a8\u7279\u6b64\u6388\u6743 HTUS \u4ee3\u8868\u60a8\u53d1\u9001\u60a8\u7684\u7279\u5b9a\u4ea4\u6613\u6307\u4ee4\u81f3HTFH\uff08\u4f8b\u5982\uff0c \u201c\u5728\u5904\u7406\u60a8\u7684\u8ba2\u5355\u65f6\uff0c\u534e\u6cf0\u91d1\u878d\uff08\u9999\u6e2f\uff09\u6709\u9650\u516c\u53f8\uff08\u201cHTFH\u201d\uff09\u5c06\u91c7\u53d6\u6240\u6709\u5408\u7406\u6b65\u9aa4\uff0c\u6839\u636e\u9999\u6e2f\u8bc1\u5238\u53ca\u671f\u8d27\u4e8b\u52a1\u76d1\u5bdf\u59d4\u5458\u4f1a\u6301\u724c\u4eba\u6216\u6ce8\u518c\u4eba\u884c\u4e3a\u5b88\u5219\uff0c\u4ee5\u6700\u53ef\u884c\u7684\u6761\u6b3e\u63d0\u4f9b\u6267\u884c\u3002\u5982\u679c\u60a8\u5c06\u60a8\u7684\u8ba2\u5355\u53d1\u9001\u7ed9 HTUS \u7531 HTFH \u5728\u4e9a\u6d32\u5e02\u573a\u6267\u884c\uff0c\u60a8\u7279\u6b64\u6388\u6743 HTUS \u4ee3\u8868\u60a8\u53d1\u9001\u60a8\u7684\u7279\u5b9a\u4ea4\u6613\u6307\u4ee4\u81f3HTFH\uff08\u4f8b\u5982\uff0c\u201c\u672a\u6301\u6709\u201d\u6216 HTFH \u53ef\u4ee5\u6267\u884c\u60a8\u7684\u8ba2\u5355\u7684\u6267\u884c\u80fd\u529b\uff09\u3002\u9664\u975e HTFH \u548c\/\u6216 HTUS \u5408\u7406\u7406\u89e3\u60a8\u7684\u6307\u793a\uff0c\u5426\u5219HTFH \u5c06\u52aa\u529b\u4f5c\u4e3a\u60a8\u7684\u4ee3\u7406\u6267\u884c\u60a8\u5728\u9999\u6e2f\u4e0a\u5e02\u80a1\u7968\u7684\u8ba2\u5355\uff0c\u540c\u65f6 HTFH \u53ef\u80fd\u4f1a\u5145\u5f53\u60a8\u8ba2\u5355\u7684\u59d4\u6258\u4eba\u3002<\/p>\n<p class=\"p2\"><b>\u9690\u79c1<span class=\"Apple-converted-space\">\u00a0<\/span><\/b><\/p>\n<p class=\"p2\">HTUS \u4e0d\u4f1a\u51fa\u4e8e\u8fd0\u8425\u3001\u8bc4\u4f30\u548c\u53d1\u5c55\u6211\u4eec\u7684\u4e1a\u52a1\uff08\u5305\u62ec\u65b0\u4ea7\u54c1\u548c\u670d\u52a1\u4ea7\u54c1\u4ee5\u53ca\u6211\u4eec\u6c9f\u901a\u7684\u6709\u6548\u6027\uff09\u7684\u76ee\u7684\u5411\u6211\u4eec\u7684\u5173\u8054\u516c\u53f8\u4ee5\u5916\u7684\u4efb\u4f55\u4eba\u51fa\u552e\u6216\u62ab\u9732\u60a8\u7684\u4fe1\u606f\u3002\u6211\u4eec\u4e5f\u53ef\u80fd\u4e0e\u4ee3\u7406\u5546\u548c\u670d\u52a1\u63d0\u4f9b\u5546\u5171\u4eab\u60a8\u7684\u4fe1\u606f\uff1b\u4f46\u662f\uff0c\u6211\u4eec\u4e0d\u4f1a\u6388\u6743\u8fd9\u4e9b\u4ee3\u7406\u6216\u670d\u52a1\u63d0\u4f9b\u5546\u4f7f\u7528\u6216\u62ab\u9732\u60a8\u7684\u4fe1\u606f\uff0c\u9664\u975e\u662f\u4e3a\u4ee3\u8868\u6211\u4eec\u63d0\u4f9b\u670d\u52a1\u6216\u9075\u5b88\u6cd5\u5f8b\u8981\u6c42\u6240\u5fc5\u9700\u7684\u3002\u6211\u4eec\u4e5f\u53ef\u80fd\u4f1a\u62ab\u9732\u6709\u5173\u60a8\u7684\u4fe1\u606f (1) \u5982\u679c\u6cd5\u5f8b\u6216\u6cd5\u5f8b\u7a0b\u5e8f\uff08\u4f8b\u5982\u6cd5\u9662\u547d\u4ee4\u6216\u4f20\u7968\uff09\u8981\u6c42\u6211\u4eec\u8fd9\u6837\u505a\uff1b (2) \u5e94\u6267\u6cd5\u90e8\u95e8\u7b49\u653f\u5e9c\u673a\u6784\u7684\u8981\u6c42\uff1b (3) \u786e\u7acb\u3001\u884c\u4f7f\u6216\u634d\u536b\u6211\u4eec\u7684\u5408\u6cd5\u6743\u5229\uff1b (4) \u5f53\u6211\u4eec\u8ba4\u4e3a\u62ab\u9732\u662f\u5fc5\u8981\u7684\u6216\u9002\u5f53\u7684\uff1b (5) \u4e0e\u6d89\u5acc\u6216\u5b9e\u9645\u8fdd\u6cd5\u6d3b\u52a8\u7684\u8c03\u67e5\u6709\u5173\uff1b (6) \u4ee5\u5176\u4ed6\u65b9\u5f0f\u5f81\u5f97\u60a8\u7684\u540c\u610f\u3002<\/p>\n<p class=\"p2\"><b>\u7814\u7a76\u670d\u52a1<\/b><\/p>\n<p class=\"p2\">\u5bf9\u4e8e\u60a8\u7684\u6267\u884c\u7ecf\u7eaa\u4eba\u3001CSA \u7ecf\u7406\u6216\u5176\u4ed6\u65b9\u6309\u7167\u60a8\u7684\u6307\u793a\u5411 HTUS \u652f\u4ed8\u7684\u4efb\u4f55\u7814\u7a76\u670d\u52a1\u8d39\u7528\uff0c\u5305\u62ec\u5176\u7b2c\u4e09\u65b9\u9644\u5c5e\u7814\u7a76\u62a5\u544a\u3001\u7814\u7a76\u5206\u6790\u5e08\u548c\u5176\u4ed6\u516c\u53f8\u8bbf\u95ee\u4e8b\u4ef6\uff0c\u60a8\u58f0\u660e\u6b64\u7c7b\u4ed8\u6b3e\u7b26\u5408\u4e0e 34 \u5e74\u4ea4\u6613\u6cd5\u7b2c 28(e) \u6761\u3002<\/p>\n<p class=\"p2\">\u5982\u679c\u60a8\u5bf9\u8fd9\u4e9b\u76d1\u7ba1\u62ab\u9732\u6709\u4efb\u4f55\u7591\u95ee\uff0c\u8bf7\u8054\u7cfb\u60a8\u7684 HTUS \u9500\u552e\u4ee3\u8868\u3002\u611f\u8c22\u60a8\u7ee7\u7eed\u5408\u4f5c\u3002<\/p>\n","protected":false},"excerpt":{"rendered":"<p>FINRA \u89c4\u5219 2266 SIPC \u4fe1\u606f Huatai S [&#8230;]<\/p>\n","protected":false},"author":1,"featured_media":0,"parent":854,"menu_order":15,"comment_status":"closed","ping_status":"closed","template":"","meta":{"footnotes":""},"class_list":["post-859","page","type-page","status-publish","hentry"],"acf":[],"yoast_head":"<!-- This site is optimized with 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