CN109544340B - Intermediary mechanism management method for regional stock market - Google Patents
Intermediary mechanism management method for regional stock market Download PDFInfo
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Abstract
An intermediary mechanism management method for a regional equity market belongs to the technical field of regional equity market management. The method is characterized in that: the system comprises a main control unit, an entrance declaration unit, a annual inspection auditing unit and a permission management unit, wherein the main control unit is bidirectionally connected with the entrance declaration unit, the annual inspection auditing unit and the permission management unit, a mediation mechanism is respectively accessed to the entrance declaration unit or the annual inspection auditing unit through the main control unit to perform entrance declaration and member annual inspection, and the permission management unit is bidirectionally connected with the entrance declaration unit and the annual inspection auditing unit at the same time to perform permission management on the mediation mechanism performing entrance declaration and member annual inspection. Through the intermediary organization management system aiming at the regional equity market, the intermediary organizations all perform the recommendation service of the enterprise after being approved by the management system, the defect of insufficient intermediary organization volume in the traditional mode is avoided, the labor cost is saved, and the market demand is further met.
Description
Technical Field
An intermediary organization management method for a regional stock right market belongs to the technical field of regional stock right market management.
Background
The regional equity trading market (hereinafter, referred to as a "regional equity market") is a security market that provides equity hosting, trading, and financing services to a regional non-public company, corresponds to an on-market, and belongs to an off-market trading market. It is an important component of the multilevel capital market system in China. The method has positive effects on promoting equity trading and financing of enterprises, particularly small and medium-sized micro enterprises, encouraging scientific and technological innovation, activating folk capital and strengthening support for economic weak links of entities.
The mode of listing the enterprise in the regional equity market is recommended by intermediary institutions (such as banks, law and the like) meeting the qualification, in the traditional mode, the composition of the intermediary institutions is generally recommended by the industry under the line, so the quantity and the scale of the intermediary institutions are small, the labor cost is extremely high, and because the quantity of the intermediary institutions is insufficient, the number of listed enterprises in the regional equity market is directly reduced, and the development of the regional equity market is not facilitated.
In recent years, as market demands are expanding, more and more enterprises are expected to become registered enterprises of the regional equity market through the intermediary agency, so that defects caused by the shortage of the intermediary agency are increasingly highlighted, however, because the regional equity market mainly aims at the particularity of small and medium-sized enterprises, the management method of the intermediary agency of the hong Kong and the new three-board market cannot be directly applied to the regional equity market, so that how to manage the intermediary agency in the regional equity market is formed, and the method of reasonably utilizing resources of the intermediary agency becomes a problem to be solved urgently in the regional equity market.
Disclosure of Invention
The technical problem to be solved by the invention is as follows: the method overcomes the defects of the prior art, provides the intermediary agency management method aiming at the regional stock right market, and any intermediary agency which meets the national qualification and meets the requirements of the management system can carry out enterprise listing recommendation in the regional market after being approved, thereby avoiding the defect of insufficient intermediary agency quantity in the traditional mode, saving the labor cost and further meeting the market requirements.
The technical scheme adopted by the invention for solving the technical problems is as follows: the intermediary agency management system for the regional stock market is characterized in that: the system comprises a main control unit, an entrance declaration unit, a annual inspection auditing unit and a permission management unit, wherein the main control unit is bidirectionally connected with the entrance declaration unit, the annual inspection auditing unit and the permission management unit, a mediation mechanism is respectively accessed to the entrance declaration unit or the annual inspection auditing unit through the main control unit to perform entrance declaration and member annual inspection, and the permission management unit is bidirectionally connected with the entrance declaration unit and the annual inspection auditing unit at the same time to perform permission management on the mediation mechanism performing entrance declaration and member annual inspection.
Preferably, the enrollment declaration unit comprises a data entry module, an audit module and an audited module, the data entry module, the audit module and the audited module are sequentially connected, the data entry module, the audit module and the audited module are simultaneously and bidirectionally connected with the main control unit, and the authority management unit is connected with the audited module.
Preferably, the annual inspection auditing unit comprises an annual inspection data entry module, an inspection module and an inspected module, the annual inspection data entry module, the inspection module and the inspected module are simultaneously in bidirectional connection with the main control unit, the annual inspection data entry module, the inspection module and the inspected module are sequentially connected, and the authority management unit is simultaneously connected with the inspection module and the inspected module.
Preferably, a service query unit for querying the intermediary organization is further provided, and the service query unit is bidirectionally connected with the main control unit.
An intermediary agency management method implemented by an intermediary agency management system for a regional stock right market, characterized in that: the method comprises the following steps:
step a, a qualified intermediary mechanism logs in and submits a conference entering application through a main control module;
b, the intermediary organization enters the conference declaration unit, executes a conference audit process through the conference declaration unit, and fills and perfects enterprise data according to the conference audit process;
step c, the main control unit judges whether the intermediary mechanism meets the requirements, if so, the step d is executed after the requirements are met and the audit is passed, and if not, the step b is returned;
d, granting corresponding authority and corresponding service time limit by the authority management unit through the intermediary organization for conference admission audit or annual inspection audit, and developing the service by the intermediary organization in the service time limit;
step e, the main control unit judges whether the intermediary mechanism needs annual inspection, if yes, step f is executed, and if no annual inspection is needed, step d is returned;
step f, the main control unit executes the annual inspection auditing process through the annual inspection auditing unit and carries out annual inspection auditing on the intermediary mechanism;
step g, the main control unit judges whether the intermediary mechanism passes annual inspection and verification, if so, the step d is returned, and if not, the step h is executed;
and h, the main control unit cancels the membership of the intermediary organization which does not pass the annual examination.
Preferably, the conference admission auditing process in step b includes the following steps:
step b-1, the newly applied intermediary mechanism is used as a new user to log in through the main control unit;
b-2, the intermediary organization fills in basic information of the intermediary organization according to the prompt and reports the basic information;
and b-3, automatically distributing the temporary account and the password by the main control unit after the basic data of the intermediary organization is checked.
And b-4, the intermediary mechanism logs in according to the temporary account and the password and enters the enrollment declaration unit through the main control unit.
B-5, the intermediary mechanism enters the meeting declaration unit, and according to the prompt of the data entry module, the declaration information of the intermediary mechanism is perfected and reported;
step b-6, after the intermediary mechanism supplements and perfects the declaration information of the intermediary mechanism, the auditing module performs pre-auditing on the data of the intermediary mechanism and feeds back the pre-auditing result to the main control unit;
b-7, judging whether the intermediary mechanism passes the pre-examination by the main control unit, if so, executing the step b-8, and if not, returning to the step b-5;
step b-8, after the pre-audit is passed, the main control unit informs the intermediary organization to pay the relevant cost and requires the intermediary organization to send the paper declaration information;
b-9, after receiving the related expense and the paper declaration information material, performing formal verification on the data by the verification module again;
and b-10, after formal verification, the main control unit informs the intermediary mechanism of acquiring formal membership, distributes formal member account numbers and passwords to the intermediary mechanism, gives relative authority through the authority management unit, and the intermediary mechanism can formally perform normal services such as enterprise listing recommendation and the like.
Preferably, the annual inspection auditing process in step f includes the following steps:
step f-1, after receiving the annual inspection notification sent by the main control unit, the intermediary mechanism logs in through the main control unit and enters an annual inspection checking unit;
step f-2, the main control unit judges whether the intermediary mechanism exceeds the specified annual inspection time limit currently, if the intermediary mechanism exceeds the specified annual inspection time limit, the step f-3 to the step f-4 are executed in sequence, and if the intermediary mechanism does not exceed the specified annual inspection time limit, the step f-4 is directly executed;
f-3, the main control unit closes the enterprise recommendation authority of the intermediary organization through the authority management unit, and at the moment, the intermediary organization can only carry out related operation of annual inspection;
f-4, the intermediary organization creates annual inspection information according to the prompt of the annual inspection checking unit;
f-5, the intermediary organization declares various required annual inspection information according to the prompt of an annual inspection data entry module in an annual inspection and verification unit and submits the annual inspection information;
step f-6, the main control unit judges whether the intermediary mechanism passes the pre-examination, if so, the step f-7 is executed, and if not, the step f-5 is returned;
f-7, the main control unit informs the intermediary organization to pay the related cost;
and f-8, regaining membership and a new service period through the annual audit intermediary mechanism, controlling the authority management unit by the main control unit to give authority to formal members of the intermediary mechanism, and continuously carrying out business such as enterprise listing recommendation and the like by the intermediary mechanism in the new service period.
Compared with the prior art, the invention has the following beneficial effects:
1. through the intermediary agency management system aiming at the regional equity market, for intermediary agencies, the conference application of all intermediary agencies is released, and any intermediary agency which meets the national qualification and meets the requirements of the management system can carry out enterprise listing recommendation in the regional market after approval, so that the defect of insufficient intermediary agency size in the traditional mode is avoided, the labor cost is saved, and the market demand is further met.
2. For the regional stock right market, the resources of the intermediary mechanism are fully utilized, the intermediary mechanism checks the listing information of the regional stock right market, the pressure of the regional stock right market is relieved, and for enterprises, the intermediary mechanism assists the regional stock right market to carry out listing, so that the regional stock right market is more convenient to enter.
3. By arranging the annual inspection checking unit, the quality (such as listing) of the enterprise recommended by the intermediary organization is supervised in each service period, and the quality is used as the annual inspection basis of the intermediary organization, so that the reverse supervision of the intermediary organization is realized.
Drawings
Fig. 1 is a schematic diagram of a broker authority management system for a regional stock market.
Fig. 2 is a schematic diagram of an agency administration system admission declaration unit for the regional stock market.
FIG. 3 is a schematic diagram of an annual check unit of the agency management system for regional stock market.
FIG. 4 is a flow chart of a brokerage authority management method for a regional equity market.
FIG. 5 is a flow chart of an agency management method entry declaration for the regional equity market.
FIG. 6 is a flow chart of an annual review of a broker administration system for a regional equity market.
Detailed Description
FIGS. 1 to 6 show preferred embodiments of the present invention, and the present invention will be further described with reference to FIGS. 1 to 6.
As shown in fig. 1, an intermediary organization management system (hereinafter referred to as a management system) for a regional stock right market includes a main control unit, an admission declaration unit, an annual inspection auditing unit, an authority management unit, and a service query unit, where the main control unit is respectively connected with the admission declaration unit, the annual inspection auditing unit, the authority management unit, and the service query unit in a bidirectional manner, and the authority management unit is connected with the admission declaration unit and the annual inspection auditing unit at the same time.
The admission declaration unit is used for inputting and auditing the basic information of the intermediary organization, the intermediary organization with the state qualification proposes an admission application through the admission declaration unit, the intermediary organization passing the auditing becomes a formal member, and the member information of the formal member enters the admission declaration unit for storage and can be edited, deleted and the like.
The intermediary organization which is approved to become the formal member is controlled by the main control unit to give corresponding authority to the authority management unit, and the formal member can carry out enterprise listing recommendation in the regional market within the valid period set by the management system to assist the enterprise to finish listing in the regional equity market.
After the service period of the member reaches the period set by the management system, the annual inspection auditing unit inspects the intermediary mechanism under the control of the main control unit, in the annual inspection process, the intermediary mechanism after annual inspection auditing still serves as a formal member to perform normal service in the service period given again by the management system, the information of the member mechanism passing the annual inspection is stored by the annual inspection auditing unit again, and the member information after the annual inspection can be checked, removed from the inspection and the like. For the intermediary institutions which do not pass the annual inspection, the annual inspection auditing unit sends the member information which does not meet the requirements to the main control unit, and informs the corresponding member institutions of submitting the information again.
The main control module manages the specific authority of the member through the authority management unit, and can correspondingly adjust the authority of the member passing the audit or passing the annual inspection in the enrollment declaration unit through different management requirements. The main control module can inquire the service condition of each intermediary organization through the service inquiry unit, including the enterprise recommendation condition of the intermediary organization and the listing condition of the recommended enterprise, and realize the statistical data downloading function.
As shown in fig. 2, the enrollment declaration unit includes a data entry module, an audit module, and an audited module, the data entry module, the audit module, and the audited module are simultaneously connected to the main control unit in a bidirectional manner, the data entry module, the audit module, and the audited module are sequentially connected, and the right management unit is connected to the audited module.
The intermediary organization to become a formal member logs in the member management system through the main control unit, after basic data of the intermediary organization is filled in, the main control unit automatically allocates a temporary account and a temporary password to the newly logged intermediary organization, then the intermediary organization logs in the member management system through the main control unit again by using the temporary account and the password and enters the conference declaring unit through the main control unit, after entering the conference declaring unit, the intermediary organization enters required filled information through the data entry module according to system prompts, and after the data entry is finished, the data entry module sends data input by the intermediary organization to the auditing module for auditing.
And the auditing module audits the data after receiving the data sent by the data entry module. And after the audit by the audit module, if the data audit is not passed, the audit module sends the audit result and the reason of the non-passing of the audit to the main control unit, and the main control unit feeds the audit result and the reason of the non-passing of the audit back to the external agency and reminds the agency to report the data again. If the data is approved, the auditing module sends the auditing result to the main control module, and simultaneously sends the successfully audited data to the audited module.
After the master control unit receives the information that the audit is passed, the master control unit also feeds the audit result back to the intermediary mechanism, and after the external mechanism pays the member fee and submits the paper edition material for filing, the master control unit sends a formal member account through the member management system and controls the authority management unit to open the service authority.
After the successfully checked information is sent to the checked module, the checked module can store the information of the external organization which successfully applies for becoming a member, and can process the member information, for example, the information has the functions of 'editing' and 'deleting', and for the organization which has become a member, for example, the condition that the member information needs to be modified or needs to be deleted in the future, the corresponding function can be realized.
After becoming a formal member, the management system gives a certain service period to the corresponding intermediary organization, in the service period, the intermediary organization can carry out normal enterprise recommendation service, and the intermediary organization completes the data of the recommended enterprise to assist the enterprise to carry out listing in the regional equity market. For the intermediary institutions, the management system releases the conference application for all the intermediary institutions, and any intermediary institutions meeting the national quality and meeting the requirements of the management system can perform the recommendation service of the enterprise after being approved. For the regional equity market, the resources of the intermediary mechanism are fully utilized, the intermediary mechanism checks the listing information of the regional equity market, the pressure of the regional equity market is relieved, and for enterprises, the intermediary mechanism assists the regional equity market to carry out listing, so that the enterprises can enter the regional equity market more conveniently.
After the service period is finished, the management system needs to perform annual inspection on each intermediary mechanism, the annual inspection of the intermediary mechanisms is completed by an annual inspection auditing unit shown in fig. 3, as shown in fig. 3, the annual inspection auditing unit comprises an annual inspection data entry module, an inspection module and an inspected module, the annual inspection data entry module, the inspection module and the inspected module are simultaneously and bidirectionally connected with the main control unit, and the annual inspection data entry module, the inspection module and the inspected module are sequentially connected. The authority management unit is simultaneously connected with the module to be checked and the checked module.
When the intermediary organization needs annual inspection, the main control unit sends an annual inspection notice to the intermediary organization, the intermediary organization logs in the member management system through a user name and a password after receiving the annual inspection notice, enters the annual inspection auditing unit through the main control unit and enters an annual inspection data entry module of the annual inspection auditing unit, the member reports required filled information and uploaded materials according to the related prompt of the annual inspection data entry module, and the annual inspection data after the reporting of the data is completed is sent to the module to be inspected. After entering the annual inspection and verification unit, the main control unit firstly judges the annual inspection time of the intermediary organization, if the annual inspection time exceeds the specified annual inspection time, the main control unit withdraws part of the authority of the intermediary organization through the authority management unit, and at the moment, the intermediary organization can only carry out annual inspection operation but cannot carry out other whole services. If the intermediary organization carries out annual inspection within the specified annual inspection time, the authority management unit does not limit the authority of the intermediary organization, and the intermediary organization can normally develop the business recommended by the enterprise while carrying out annual inspection declaration.
After the intermediary mechanism logs in the annual inspection auditing unit, annual inspection data are submitted according to the requirements of the annual inspection data entry module, after the to-be-inspected module receives member annual inspection data sent by the annual inspection data entry module, the annual inspection data are audited, after the audit is completed, for the annual inspection data which are not approved, the to-be-inspected module sends the audit result and the reason of the non-approval to the main control unit, the main control unit feeds the audit result and the reason of the non-approval back to the external intermediary mechanism, and reminds the intermediary mechanism to report the annual inspection data again. If the annual inspection data passes the verification, the module to be inspected sends the verification result to the main control module, meanwhile, the annual inspection data which is successfully verified is sent to the inspected module, and the member passes the annual inspection after the member pays the meeting fee.
The member data which is qualified after annual inspection is stored in the inspected module, the inspected module has the functions of checking and canceling the inspection and the like for the annual inspection data, information and materials of related members are checked in the checking function, errors or other necessary conditions of the materials are found in the future, and the member materials are returned and notified through the canceling function.
By arranging the annual inspection auditing unit, the quality (such as listing condition) of the enterprise recommended by the intermediary organization is supervised in each service period and is used as an annual inspection basis for the intermediary organization, so that the reverse supervision of the intermediary organization is realized. And the intermediary organizations which do not pass the annual inspection carry out permission limitation and even disqualify the enterprise recommendation.
The authority management unit is used for distributing and managing the authority of the member, corresponds to the management agency function in the member management system, specifically stores the functions of each member level, mechanism name, member type, validity period, remark description, member point and the like for the member management, and can perform corresponding authority adjustment on the member passing the annual inspection in the meeting declaration unit or the annual inspection auditing unit under the control of the main control unit.
The service inquiry unit is used for providing member information inquiry and management for the members, and the service inquiry unit realizes the inquiry function of the intermediary mechanism in the member management system to check the daily service conditions of the members. When the inquiry is needed, the service inquiry unit provides the inquiry of all services after the member enters the conference by the member account number and can realize the downloading function of the inquiry data.
As shown in fig. 4, a management method implemented by the intermediary agency management system for the regional stock market includes the following steps:
and a qualified intermediary mechanism logs in the management system and submits a conference entering application through the main control module.
the intermediary organization enters the admission declaration unit and executes an admission auditing process through the admission declaration unit.
the intermediary organization fills and perfects the enterprise data according to the requirement.
the management system judges whether the intermediary organization meets the requirements, if so, after the requirement is met and the audit is passed, the step 1005 is executed, and if not, the step 1003 is returned.
the intermediary organization which passes the conference-entering examination or the annual inspection examination is granted the corresponding authority and the corresponding service time limit by the authority management unit, and the intermediary organization develops the normal services such as enterprise recommendation and the like in the service time limit.
the main control unit determines whether the intermediary agency requires annual inspection, if so, executes step 1007, and if not, returns to step 1005.
the main control unit executes the annual inspection auditing process through the annual inspection auditing unit and conducts annual inspection auditing on the intermediary organization.
the main control unit judges whether the intermediary mechanism passes annual inspection audit, if the intermediary mechanism passes annual inspection audit, the step returns to step 1005, and if the intermediary mechanism does not pass annual inspection audit, the step is executed 1009;
The master control unit cancels membership of intermediary institutions that do not pass annual inspection.
As shown in fig. 5, the above-mentioned conference auditing process includes the following steps:
the newly applied intermediary mechanism is used as a new user to log in the management system through the main control unit.
the intermediary organization fills in the basic information of the intermediary organization according to the prompt of the management system and reports the basic information.
the main control unit automatically distributes the temporary account and the password after checking the basic data of the intermediary organization.
the intermediary mechanism logs in the management system according to the temporary account and the password and enters the admission declaration unit through the main control unit.
the intermediary mechanism enters the admission declaration unit, and according to the prompt of the data entry module, the declaration information of the intermediary mechanism is perfected and reported.
The data entry module prompts all data to be supplemented, the intermediary mechanism supplements the data, and the data required to be provided by the intermediary mechanism comprises the following data of an electronic version: original license, official course of legal organization, due diligence system, work manuscript system, continuous supervision system and related flow, department responsibility and personnel configuration, brief description, legal representative identity card copy, legal representative resume, character relationship certificate and written description.
Wherein, the continuous supervising system and the related flow comprise the contents of personnel division, post setting, decision mechanism, information communication mechanism, supervision and management mechanism, operation flow and the like;
the department responsibilities and the personnel configuration comprise reporting the condition that the organization recommends the business department responsibilities and the personnel configuration.
The brief explanation comprises brief explanation of the related working experience of enterprise listing and marketing, investment consultation or confidence survey and other due diligence surveys conducted by the declaration institution.
The character relationship certification comprises a social insurance payment certification of related business personnel issued by a social security department, personnel who need to be explicitly participated in security and payment units.
The content of the written description is the written description of the illegal behaviors of the relevant intermediary agencies in the first three years.
after the intermediary mechanism supplements and perfects the declaration information of the intermediary mechanism, the auditing module firstly pre-audits the data of the intermediary mechanism and feeds the pre-audited result back to the main control unit;
2007, the main control unit judges whether the intermediary organization passes the pre-review;
the main control unit determines whether the intermediary organization passes the pre-review, if so, step 2008 is executed, and if not, step 2005 is returned to.
after the pre-review is passed, the main control unit informs the intermediary organization to pay the relevant cost and requires the intermediary organization to send out paper declaration information.
after the management system receives the related expense and the paper declaration information material, the auditing module carries out formal auditing on the data again.
after formal verification, the main control unit informs the intermediary organization of acquiring formal membership, distributes formal member account numbers and passwords to the intermediary organization, and gives related authority through the authority management unit, and the intermediary organization can formally perform normal business such as enterprise listing recommendation and the like.
As shown in fig. 6, the annual inspection auditing process includes the following steps:
after receiving the annual inspection notification sent by the main control unit, the intermediary mechanism logs in the management system and enters an annual inspection checking unit.
the main control unit judges whether the intermediary mechanism currently exceeds a specified annual inspection time limit, if so, the steps 3003 to 3004 are sequentially executed, and if not, the step 3004 is directly executed;
the main control unit closes the enterprise recommendation authority of the intermediary mechanism through the authority management unit, and at the moment, the intermediary mechanism can only carry out related operation of annual inspection.
the intermediary organization creates annual inspection information according to the prompt of the annual inspection auditing unit.
the intermediary mechanism declares various required annual inspection information according to the prompt of the annual inspection data entry module in the annual inspection checking unit and reports the annual inspection information.
the main control unit determines whether the intermediary organization passes the pre-review, if so, the step 3007 is executed, and if not, the step 3005 is returned.
the master control unit notifies the intermediary organization to pay the associated fee.
the intermediary organization in annual audit regains membership and a new service period, the main control unit controls the authority management unit to give authority to formal members of the intermediary organization, and the intermediary organization continues to carry out business such as enterprise listing recommendation and the like in the new service period.
The foregoing is directed to preferred embodiments of the present invention, other and further embodiments of the invention may be devised without departing from the basic scope thereof, and the scope thereof is determined by the claims that follow. However, any simple modification, equivalent change and modification of the above embodiments according to the technical essence of the present invention are within the protection scope of the technical solution of the present invention.
Claims (5)
1. A method for intermediary authority management for regional stock market, the method comprising: the management system comprises a main control unit, an admission declaration unit, a annual inspection auditing unit and a permission management unit, wherein the main control unit is bidirectionally connected with the admission declaration unit, the annual inspection auditing unit and the permission management unit;
also comprises the following steps:
step a, a qualified intermediary organization logs in and submits a conference entering application through a main control module;
b, the intermediary organization enters an admission declaration unit, executes an admission auditing process through the admission declaration unit, and fills and perfects enterprise data according to the admission auditing process;
step c, the main control unit judges whether the intermediary mechanism meets the requirements, if so, the step d is executed after the requirements are met and the audit is passed, and if not, the step b is returned;
d, granting corresponding authority and corresponding service time limit by the authority management unit through the intermediary organization for conference admission audit or annual inspection audit, and developing the service by the intermediary organization in the service time limit;
e, the main control unit judges whether the intermediary mechanism needs annual inspection, if so, the step f is executed, and if not, the step d is returned;
step f, the main control unit executes an annual inspection auditing process through the annual inspection auditing unit and performs annual inspection auditing on the intermediary agency;
step g, the main control unit judges whether the intermediary mechanism passes annual inspection and audit, if so, the step d is returned, and if not, the step h is executed;
step h, the main control unit cancels the membership of the intermediary organization which does not pass the annual inspection;
the conference auditing process in the step b comprises the following steps:
step b-1, the newly applied intermediary mechanism is used as a new user to log in through the main control unit;
b-2, the intermediary organization fills in basic information of the intermediary organization according to the prompt and reports the basic information;
b-3, automatically allocating a temporary account and a password after the main control unit verifies the basic data of the intermediary organization;
b-4, the intermediary mechanism logs in according to the temporary account and the password and enters the admission declaration unit through the main control unit;
b-5, the intermediary organization enters the conference declaration unit, and according to the prompt of the data entry module, the declaration information of the intermediary organization is perfected and submitted;
step b-6, after the intermediary mechanism supplements and perfects the declaration information of the intermediary mechanism, the auditing module performs pre-auditing on the data of the intermediary mechanism and feeds back the pre-auditing result to the main control unit;
b-7, judging whether the intermediary mechanism passes the pre-examination by the main control unit, if so, executing the step b-8, and if not, returning to the step b-5;
step b-8, after the pre-audit is passed, the main control unit informs the intermediary organization to pay the relevant cost and requires the intermediary organization to send the paper declaration information;
b-9, after receiving the related expense and the paper declaration information material, performing formal verification on the data by the verification module again;
b-10, after formal verification, the main control unit informs the intermediary organization of acquiring formal membership, distributes formal member account numbers and passwords to the intermediary organization, and gives related authority through the authority management unit, and the intermediary organization can formally perform normal services such as enterprise listing recommendation and the like;
after becoming a formal member, the management system gives a certain service period to the corresponding intermediary organization, in the service period, the intermediary organization carries out normal enterprise recommendation service, and the intermediary organization completes the data of the recommended enterprise to assist the enterprise to carry out listing in the regional equity market.
2. The brokerage authority management method for the regional equity market according to claim 1, characterized in that: the enrollment declaration unit comprises a data entry module, an audit module and an audited module, wherein the data entry module, the audit module and the audited module are sequentially connected, the data entry module, the audit module and the audited module are simultaneously and bidirectionally connected with the main control unit, and the authority management unit is connected with the audited module.
3. The brokerage authority management method for the regional equity market according to claim 1, characterized in that: the annual inspection auditing unit comprises an annual inspection data entry module, a module to be inspected and a inspected module, the annual inspection data entry module, the module to be inspected and the inspected module are simultaneously in bidirectional connection with the main control unit, the annual inspection data entry module, the module to be inspected and the inspected module are sequentially connected, and the authority management unit is simultaneously connected with the module to be inspected and the inspected module.
4. The brokerage authority management method for the regional stock market according to claim 1, wherein: and the service inquiry unit is used for inquiring the intermediary mechanism and is bidirectionally connected with the main control unit.
5. The intermediary authority management method according to claim 1, wherein: the annual inspection auditing process in the step f comprises the following steps:
step f-1, after receiving the annual inspection notification sent by the main control unit, the intermediary mechanism logs in through the main control unit and enters an annual inspection checking unit;
step f-2, the main control unit judges whether the intermediary mechanism currently exceeds a specified annual inspection time limit, if so, the steps f-3 to f-4 are sequentially executed, and if not, the step f-4 is directly executed;
step f-3, the main control unit closes the enterprise recommendation authority of the intermediary mechanism through the authority management unit, and at the moment, the intermediary mechanism can only carry out related operation of annual inspection;
f-4, the intermediary organization creates annual inspection information according to the prompt of the annual inspection checking unit;
f-5, the intermediary organization declares various required annual inspection information according to the prompt of an annual inspection data entry module in an annual inspection and verification unit and submits the annual inspection information;
step f-6, the main control unit judges whether the intermediary mechanism passes the pre-examination, if so, the step f-7 is executed, and if not, the step f-5 is returned;
f-7, the main control unit informs the intermediary organization to pay the related cost;
and f-8, regaining the membership and the new service cycle through the annual audit intermediary mechanism, controlling the authority management unit by the main control unit to give the authority to formal members of the intermediary mechanism, and continuing to carry out the business such as enterprise listing recommendation and the like by the intermediary mechanism in the new service cycle.
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