{"id":17365,"date":"2021-03-20T15:38:08","date_gmt":"2021-03-20T15:38:08","guid":{"rendered":"https:\/\/swissfinanciers.com\/?p=17365"},"modified":"2021-03-30T13:28:46","modified_gmt":"2021-03-30T13:28:46","slug":"standard-documentation-of-a-securities-issuer","status":"publish","type":"post","link":"https:\/\/swissfinanciers.com\/cn\/standard-documentation-of-a-securities-issuer\/","title":{"rendered":"\u8bc1\u5238\u53d1\u884c\u4eba\u7684\u6807\u51c6\u6587\u4ef6"},"content":{"rendered":"<div data-elementor-type=\"wp-post\" data-elementor-id=\"17365\" class=\"elementor elementor-17365\" data-elementor-post-type=\"post\">\n\t\t\t\t\t\t<section class=\"elementor-section elementor-top-section elementor-element elementor-element-3ddc5fe4 elementor-section-boxed elementor-section-height-default elementor-section-height-default\" data-id=\"3ddc5fe4\" data-element_type=\"section\">\n\t\t\t\t\t\t<div class=\"elementor-container elementor-column-gap-default\">\n\t\t\t\t\t<div class=\"elementor-column elementor-col-100 elementor-top-column elementor-element elementor-element-33e31ba5\" data-id=\"33e31ba5\" data-element_type=\"column\">\n\t\t\t<div class=\"elementor-widget-wrap elementor-element-populated\">\n\t\t\t\t\t\t<div class=\"elementor-element elementor-element-fa787f9 elementor-widget elementor-widget-theme-post-featured-image elementor-widget-image\" data-id=\"fa787f9\" data-element_type=\"widget\" data-widget_type=\"theme-post-featured-image.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t<img fetchpriority=\"high\" decoding=\"async\" width=\"1000\" height=\"642\" src=\"https:\/\/swissfinanciers.com\/wp-content\/uploads\/axyZszOBjM.jpg\" class=\"attachment-large size-large wp-image-18784\" alt=\"\" srcset=\"https:\/\/swissfinanciers.com\/wp-content\/uploads\/axyZszOBjM.jpg 1000w, https:\/\/swissfinanciers.com\/wp-content\/uploads\/axyZszOBjM-300x193.jpg 300w, https:\/\/swissfinanciers.com\/wp-content\/uploads\/axyZszOBjM-768x493.jpg 768w, https:\/\/swissfinanciers.com\/wp-content\/uploads\/axyZszOBjM-16x10.jpg 16w\" sizes=\"(max-width: 1000px) 100vw, 1000px\" \/>\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-5fd7f87 elementor-widget elementor-widget-theme-post-title elementor-page-title elementor-widget-heading\" data-id=\"5fd7f87\" data-element_type=\"widget\" data-widget_type=\"theme-post-title.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<h1 class=\"elementor-heading-title elementor-size-default\">\u8bc1\u5238\u53d1\u884c\u4eba\u7684\u6807\u51c6\u6587\u4ef6<\/h1>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-d6bb886 elementor-widget elementor-widget-text-editor\" data-id=\"d6bb886\" data-element_type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<p>\u63cf\u8ff0\u5b8c\u540e <strong>\u878d\u8d44<\/strong> \u539f\u5219\u5728\u4e0a\u4e00\u7bc7\u6587\u7ae0\u4e2d\uff0c\u73b0\u5728\u662f\u65f6\u5019\u63cf\u8ff0\u8bc1\u5238\u53d1\u884c\u4eba\u7684\u6807\u51c6\u6587\u4ef6\u4e86\uff0c\u4f46\u6211\u89c9\u5f97\u6709\u5fc5\u8981\u91cd\u590d\u4e00\u4e0b\u62ab\u9732\u539f\u5219\u548c\u62ab\u9732\u6587\u4ef6\u3002<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-a955317 elementor-widget elementor-widget-heading\" data-id=\"a955317\" data-element_type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<h3 class=\"elementor-heading-title elementor-size-default\">\u62ab\u9732<\/h3>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-8dd1b15 elementor-widget elementor-widget-text-editor\" data-id=\"8dd1b15\" data-element_type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<p>\u60f3\u8981\u8d44\u672c\u7684\u4eba\u5fc5\u987b\u5411\u4efb\u4f55\u6f5c\u5728\u5ba2\u6237\u63d0\u4f9b\u800c\u4e0d\u9700\u8981\u5b83\u3002\u4efb\u4f55\u80fd\u591f\u4f7f\u5176\u5f62\u6210\u51c6\u786e\u3001\u5b8c\u6574\u7684\u610f\u89c1\u6216\u80fd\u591f\u5f71\u54cd\u5176\u4f5c\u4e3a\u6295\u8d44\u8005\u7684\u5224\u65ad\u7684\u91cd\u5927\u4fe1\u606f\u3002<\/p><p>\u63d0\u4f9b\u865a\u5047\u4fe1\u606f\u3001\u9057\u6f0f\u771f\u5b9e\u4fe1\u606f\uff0c\u65e0\u8bba\u6709\u5229\u4e0e\u5426\uff0c\u90fd\u4f1a\u62d6\u5ef6\u6d41\u7a0b\u5e76\u4f7f\u4fb5\u6743\u4eba\u9762\u4e34\u98ce\u9669 <strong>\u6c11\u4e8b\u8d23\u4efb\u548c\u5211\u4e8b\u5236\u88c1<\/strong>.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-095c85b elementor-widget elementor-widget-heading\" data-id=\"095c85b\" data-element_type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<h3 class=\"elementor-heading-title elementor-size-default\">\u6807\u51c6\u62ab\u9732\u6587\u4ef6<\/h3>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-a705af8 elementor-widget elementor-widget-text-editor\" data-id=\"a705af8\" data-element_type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<p><strong>\u6295\u8d44\u8005\u5e0c\u671b\u5bfb\u6c42\u7b79\u96c6\u8d44\u91d1\u7684\u53d1\u884c\u4eba\u63d0\u4f9b\u4ee5\u4e0b\u6587\u4ef6\uff1a<\/strong><\/p><ul><li>\u5b8c\u5168\u7684 <strong>\u7ecf\u5ba1\u8ba1\u7684\u8d22\u52a1\u62a5\u8868\u53ca\u5ba1\u8ba1\u5e08\u6ce8\u91ca<\/strong> \u4ece\u516c\u53f8\u6210\u7acb\u4e4b\u65e5\u8d77\uff0c\u5982\u679c\u516c\u53f8\u6210\u7acb\u8d85\u8fc7 7 \u5e74\uff0c\u81f3\u5c11\u662f\u6700\u8fd1\u4e09\u5e74\u3002<\/li><li>A <strong>\u7b80\u77ed\u7684\u6458\u8981<\/strong> \u4e00\u4e24\u9875\u7684\u5185\u5bb9\u53ef\u4ee5\u5feb\u901f\u8bc4\u4f30\u6295\u8d44\u8005\u662f\u5426\u6709\u5174\u8da3\u6295\u8d44\u53d1\u884c\u4eba\u7684\u8bc1\u5238\u53d1\u884c\u3002<\/li><li>A <strong>\u7f51\u7ad9<\/strong> \u5b8c\u6574\u8bb0\u5f55\uff0c\u4ee5\u4fbf\u6295\u8d44\u8005\u4e86\u89e3\u53d1\u884c\u4eba\u5728\u516c\u4f17\u9762\u524d\u7684\u5f62\u8c61\u3002<\/li><li>A <strong>\u9884\u7b97<\/strong>\uff0c\u6b63\u5982\u6211\u7684\u6587\u7ae0\u4e2d\u6240\u89e3\u91ca\u7684\uff0c\u5305\u62ec\u663e\u793a\u9884\u671f\u8d22\u52a1\u7ed3\u679c\u7684\u5047\u8bbe\u548c\u8d22\u52a1\u9884\u6d4b\u3002\u4e0d\u8981\u53ea\u5411\u6295\u8d44\u8005\u5c55\u793a\u4e00\u4efd\u6210\u672c\u8d2d\u7269\u6e05\u5355\uff0c\u5426\u5219\u60a8\u5c06\u65e0\u6cd5\u7b79\u96c6\u4e00\u6bdb\u94b1\u3002<\/li><li>A <strong>\u62ab\u9732\u6587\u4ef6 <\/strong>\u6211\u5c06\u5728\u540e\u9762\u66f4\u8be6\u7ec6\u5730\u63cf\u8ff0\u3002<\/li><\/ul>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-eb20953 elementor-widget elementor-widget-heading\" data-id=\"eb20953\" data-element_type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<h3 class=\"elementor-heading-title elementor-size-default\">\u62ab\u9732\u6587\u4ef6<\/h3>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-f4133e5 elementor-widget elementor-widget-text-editor\" data-id=\"f4133e5\" data-element_type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<p>\u8be5\u4fe1\u606f\u4ee5\u4ee5\u4e0b\u5f62\u5f0f\u63d0\u4f9b\uff1a <strong>\u62db\u80a1\u8bf4\u660e\u4e66<\/strong> \u79f0\u4e3a <strong>\u62ab\u9732\u6587\u4ef6<\/strong> \u6216\u591a\u6216\u5c11\u5b8c\u6574\u5730\u63cf\u8ff0\u95ee\u9898\uff0c\u53ef\u80fd\u6709\u591a\u4e2a\u540d\u79f0\uff1a<\/p><p>\u8fd9 <strong>\u62ab\u9732\u6587\u4ef6<\/strong> \u548c <strong>\u62db\u80a1\u8bf4\u660e\u4e66<\/strong> \u662f\u901a\u7528\u672f\u8bed\u3002<\/p><p>\u8fd9 <strong>\u6982\u62ec<\/strong>, <strong>\u62bd\u8c61\u7684<\/strong> \u6216\u8005 <strong>\u6267\u884c\u6458\u8981<\/strong> \u662f\u4e00\u4e2a\u6458\u8981\uff0c\u5e94\u4ec5\u9650\u4e8e\u786e\u5b9a\u6295\u8d44\u524d\u666f\u7684\u5174\u8da3\u3002<\/p><p>\u8fd9 <strong>\u751f\u4ea7\u8ba1\u5212\u7ba1\u7406<\/strong>,<strong> \u79c1\u52df\u5907\u5fd8\u5f55<\/strong> \u6216\u8005 <strong>\u805a\u7532\u919b<\/strong>, <strong>\u79c1\u52df\u53d1\u884c\u5907\u5fd8\u5f55<\/strong> \u662f\u6307\u5b9a\u63cf\u8ff0\u79c1\u4eba\u53d1\u884c\u7684\u62db\u80a1\u8bf4\u660e\u4e66\u7684\u672f\u8bed\u3002<\/p><p>\u8fd9 <strong>\u521d\u6b65\u62db\u80a1\u8bf4\u660e\u4e66<\/strong> \u6216\u8005 <strong>\u7ea2\u9cb1\u9c7c<\/strong> \u662f\u4e00\u4e2a\u672f\u8bed\uff0c\u6307\u63cf\u8ff0\u516c\u5f00\u53d1\u884c\u7684\u4e34\u65f6\u62db\u80a1\u8bf4\u660e\u4e66\uff08\u6ca1\u6709\u4ef7\u683c\u6216\u53d1\u884c\u65e5\u671f\uff09\u3002<\/p><p>\u8fd9 <strong>\u516c\u5f00\u53d1\u552e\u62db\u80a1\u8bf4\u660e\u4e66<\/strong> \u662f\u4e00\u4e2a\u672f\u8bed\uff0c\u6307\u63cf\u8ff0\u516c\u5f00\u53d1\u884c\u7684\u62db\u80a1\u8bf4\u660e\u4e66\u3002<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-a507a31 elementor-widget elementor-widget-heading\" data-id=\"a507a31\" data-element_type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<h3 class=\"elementor-heading-title elementor-size-default\">\u652f\u6301\u6587\u4ef6<\/h3>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-bb11f33 elementor-widget elementor-widget-text-editor\" data-id=\"bb11f33\" data-element_type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<ol><li>A <strong>\u5546\u4e1a\u8ba1\u5212<\/strong> \u5efa\u7acb\u6216\u53d1\u5c55\u516c\u53f8\u6216\u9879\u76ee\u7684\u8be6\u7ec6\u8ba1\u5212\u3002<br \/><h2>\u5546\u4e1a\u8ba1\u5212\u7edd\u4e0d\u5e94\u8be5\u88ab\u7528\u6765\u7b79\u96c6\u8d44\u91d1\u3002<\/h2><\/li><li>A <strong>\u7ade\u4e89\u5206\u6790<\/strong> \u8bc6\u522b\u7ade\u4e89\u5bf9\u624b\u5e76\u8bc4\u4f30\u5176\u7b56\u7565\uff0c\u4ee5\u786e\u5b9a\u5176\u76f8\u5bf9\u4e8e\u53d1\u884c\u4eba\u7684\u4ea7\u54c1\u6216\u670d\u52a1\u7684\u4f18\u52bf\u548c\u52a3\u52bf\u3002\u7ade\u4e89\u5206\u6790\u662f\u53d1\u884c\u4eba\u8425\u9500\u8ba1\u5212\u7684\u91cd\u8981\u7ec4\u6210\u90e8\u5206\u3002<\/li><li>\u8425\u9500\u8ba1\u5212<\/li><li>\u884c\u52a8\u8ba1\u5212<\/li><\/ol>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/section>\n\t\t\t\t<\/div>","protected":false},"excerpt":{"rendered":"<p>After describing the Financing principle in a previous article, it is now time to describe the Standard Documentation of a Securities Issuer but I feel obliged to repeat the Disclosure Principle and the Disclosure Document. Disclosure Who wants a Capital must provide to any Prospect without it requiring it. Any material information of such a &#8230; <a title=\"\u8bc1\u5238\u53d1\u884c\u4eba\u7684\u6807\u51c6\u6587\u4ef6\" class=\"read-more\" href=\"https:\/\/swissfinanciers.com\/cn\/standard-documentation-of-a-securities-issuer\/\" aria-label=\"\u9605\u8bfb Standard Documentation of a Securities Issuer\">\u9605\u8bfb\u66f4\u591a<\/a><\/p>","protected":false},"author":1,"featured_media":18784,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"wds_primary_category":0,"footnotes":""},"categories":[56],"tags":[],"class_list":["post-17365","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-knowledge"],"_links":{"self":[{"href":"https:\/\/swissfinanciers.com\/cn\/wp-json\/wp\/v2\/posts\/17365","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/swissfinanciers.com\/cn\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/swissfinanciers.com\/cn\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/swissfinanciers.com\/cn\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/swissfinanciers.com\/cn\/wp-json\/wp\/v2\/comments?post=17365"}],"version-history":[{"count":0,"href":"https:\/\/swissfinanciers.com\/cn\/wp-json\/wp\/v2\/posts\/17365\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/swissfinanciers.com\/cn\/wp-json\/wp\/v2\/media\/18784"}],"wp:attachment":[{"href":"https:\/\/swissfinanciers.com\/cn\/wp-json\/wp\/v2\/media?parent=17365"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/swissfinanciers.com\/cn\/wp-json\/wp\/v2\/categories?post=17365"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/swissfinanciers.com\/cn\/wp-json\/wp\/v2\/tags?post=17365"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}