Data：November 16, 2020
Anhui Securities Regulatory Bureau Investor Protection Column
At present, illegal securities and futures activities are more and more covert. The identification of illegal securities and futures activities can be judged from the following aspects:
1.See business qualification The securities and futures industry is a franchise industry, and the development of securities and futures business requires the approval of the CSRC to obtain the corresponding business qualifications. Investors can query the administrative license information column through the website of the China Securities Regulatory Commission (www.csrc. gov.cn), and can log on the websites of the Shanghai Stock Exchange (www.sse. com. cn) and Shenzhen Stock Exchange (www.szse. cn) to query the specific information of the new share issuance; You can log in to the website of China Securities Regulatory Commission or the website of China Securities Association (www.sac.net. cn) and the website of China Futures Association to check whether the company or personnel have the qualification for securities and futures business (www.cfachina. org). In addition, investors can also log in to the website of the National Small and Medium-sized Enterprise Stock Transfer System Co., Ltd. (www.neeq. cc) to query the information about securities companies and listed companies with the qualification to host securities business.
2.See industrial and commercial registration The establishment of an enterprise must go through the formalities of industrial and commercial registration through legal procedures. If the identity of the main body of the enterprise is illegal and untrue, it is suspected of fraud. Investors can query the operating institutions behind websites and APP suspected of engaging in illegal securities and futures activities, query the operating status through the official website of enterprise credit information of the place where the institution is located, or check with the local industrial and commercial administrative department where the institution is located. If it is found that the enterprise is listed in the list of abnormal operations or in the state of cancellation, it should be vigilant.
3.Check the collection account The purpose of illegal securities and futures activities is to defraud investors of money and obtain illegal income. For this reason, lawbreakers often use various marketing methods, such as discounts, concessions, “winning lots”, frequent reminders, and creating a sense of urgency, to urge investors to deposit funds into the bank accounts under their control as soon as possible. Legal securities and futures operating institutions can only carry out external business in the name of the company, and can only open bank accounts in the name of the company, and will not use personal accounts or non-institutional accounts for collection. Investors should be particularly cautious in the remittance process. If the collection account is an individual account or does not match the name of the institution, investors must not remit money to it.
4.Look at marketing methods To carry out securities and futures business activities, it is necessary to comply with the requirements of securities and futures laws and regulations on investor suitability management. However, most of the illegal elements take advantage of the investors’ psychology of “getting rich overnight” or being eager to turn around losses. They often use exaggerated, provocative or eye-catching propaganda words, often calling themselves “teachers” and “stock gods”, and attract and induce investors by saying “follow the buying and limit”, “recommend the black horse”, “provide inside information”, “make money without losing”, “guarantee the listing”, “experts one-on-one personal guidance”, “docking private placement”, etc.
5.See the Internet address The website of illegal securities and futures websites is often composed of letters and numbers without special meaning, or letters and numbers are changed or added on the basis of the website of legal securities and futures operating institutions. Investors can check the website of legal securities and futures operating institutions through the website of the CSRC or the website of the China Securities Association and the China Futures Association, and do not log on to the illegal securities and futures website to avoid falling into the trap and suffering losses.
