证监机构字[2004]96号
颁布日期：20040812 实施日期：20040812 颁布单位：中国证券监督管理委员会
Zheng Jian Ji Gou Zi [2004] No. 96
August 12， 2004
All securities companies：
For the purpose of implementing the Several Opinions of the State Council on the Promotion of Reform， Opening and Steady Growth of the Capital Market， actively promoting the standard development of securities industry and encouraging securities companies to launch innovation activities in their business and management， related matters are hereby notified as follows：
1. Securities companies shall be encouraged to give full play to the enthusiasm， initiative of innovation， carry out innovation in business， operation mode as well as organizations according to market requirements and their own practical needs， improve the quality of service， and better the profit mode with a view to growing excellent to become powerful in market competition and pushing forward the integral development of securities industry.
2. Although innovation is the motive power of development of securities companies and securities market， in such process requirements of “legal system， supervision， self-discipline and standards” must be observed so as to prevent and control material risks likely to occur by taking realistic measures. A
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