{"id":11737,"date":"2026-06-23T14:27:14","date_gmt":"2026-06-23T14:27:14","guid":{"rendered":"https:\/\/www.rbcwealthmanagement.com\/sc-asia\/?page_id=11737"},"modified":"2026-06-23T14:27:18","modified_gmt":"2026-06-23T14:27:18","slug":"required-disclosures","status":"publish","type":"page","link":"https:\/\/www.rbcwealthmanagement.com\/sc-asia\/required-disclosures","title":{"rendered":"\u89c4\u5b9a\u62ab\u9732"},"content":{"rendered":"\n<div class=\"wp-block-rbcwm-hero-block rbc-hero-wm  rbc-hero-overlap rbc-hero-overlap-mobile rbc-hero-8pjgb2mfu hide-mobile-energy-lines\"><style>\n\t\t.rbc-hero-8pjgb2mfu.is-style-rbc-hero-gradient::before {\n\t\t\tbackground: linear-gradient(90deg, #023169 20%, rgba(94, 120, 131, 0) 60%);\n\t\t}\n\n\t\t.rbc-hero-8pjgb2mfu.is-style-rbc-hero-gradient.rbc-hero-has-image-bleed::before {\n\t\t\tbackground: linear-gradient(90deg, #023169 20%, rgba(94, 120, 131, 0) 60%);\n\t\t}\n\n\t\t.rbc-hero-8pjgb2mfu.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom::before {\n\t\t\tbackground: linear-gradient(180deg, #023169 20%, rgba(94, 120, 131, 0) 60%);\n\t\t}\n\n\t\t.rbc-hero-8pjgb2mfu .rbc-hero-energy-lines.rbc-hero-energy-lines-left {\n\t\t\ttransform: scaleX(-1);\n\t\t}\n\n\t\t@media (max-width: 991px) {\n\t\t\t.rbc-hero-8pjgb2mfu.is-style-rbc-hero-gradient::before,\n\t\t\t.rbc-hero-8pjgb2mfu.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom::before,\n\t\t\t.rbc-hero-8pjgb2mfu.is-style-rbc-hero-gradient.rbc-hero-has-image-bleed::before {\n\t\t\t\tbackground: none;\n\t\t\t}\n\n\t\t\t.rbc-hero-8pjgb2mfu.rbc-hero-has-image-full.hide-mobile-energy-lines .rbc-hero-energy-lines {\n\t\t\t\tdisplay: none;\n\t\t\t}\n\n\t\t\t.wp-block-rbcwm-hero-block.rbc-hero-8pjgb2mfu.is-style-rbc-hero-gradient .rbc-hero-img-wrap::after {\n\t\t\t\tbackground: linear-gradient( 0deg, #023169 0%, rgba(94, 120, 131, 0) 25% );\n\t\t\t}\n\t\t\t\n\t\t\t.wp-block-rbcwm-hero-block.rbc-hero-8pjgb2mfu.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom .rbc-hero-img-wrap::before,\n            .wp-block-rbcwm-hero-block.rbc-hero-8pjgb2mfu.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom .container .rbc-hero-img-wrap::before {\n\t\t\t\tbackground: linear-gradient( 180deg, #023169 0%, rgba( 94, 120, 131, 0 ) 25% );\n\t\t\t}\n\t\t\t\n\t\t\t.wp-block-rbcwm-hero-block.rbc-hero-8pjgb2mfu.is-style-rbc-hero-gradient .rbc-hero-card {\n\t\t\t\tbackground: #023169;\n\t\t\t}\n\t\t}\n\t<\/style><div class=\"container\"><div class=\"row no-gutters\"><div class=\"col-lg-12 rbc-hero-card-content\"><div class=\"rbc-card rbc-hero-card rbc-hero has-content\"><div class=\"rbc-card-wrap\"><div class=\"rbc-card-body\"><div class=\"rbc-hero-body-content\"><h1 class=\"rbc-hero-title\"><span>\u89c4\u5b9a\u62ab\u9732<\/span><\/h1><\/div><\/div><\/div><\/div><\/div><div class=\"rbc-hero-img-wrap undefined\"><\/div><\/div><\/div><\/div>\n\n\n\n<section class=\"wp-block-rbcwm-rbc-block rbc-block rbc-block-grey has-block-grey-background-color has-background\"><div class=\"container\"><div class=\"row \"><div class=\"col-lg-12\">\n<div class=\"row justify-content-between wrap blockId-7184cdab-e0da-4194-b8af-a1a6ed9e4d7a\">\n<div class=\"wp-block-rbcwm-column col-lg-8\">\n<h4 class=\"wp-block-heading\" id=\"h-\u5206\u6790\u5e08\u58f0\u660e\"><strong>\u5206\u6790\u5e08\u58f0\u660e<\/strong><\/h4>\n\n\n\n<p>\u672c\u62a5\u544a\u6240\u8868\u8fbe\u7684\u5168\u90e8\u89c2\u70b9\uff0c\u5747\u51c6\u786e\u5730\u53cd\u6620\u4e86\u8d1f\u8d23\u5206\u6790\u5e08\u5c31\u4efb\u4f55\u6216\u6240\u6709\u76f8\u5173\u8bc1\u5238\u6216\u53d1\u884c\u4eba\u7684\u4e2a\u4eba\u89c2\u70b9\u3002\u672c\u62a5\u544a\u6240\u5217\u8d1f\u8d23\u5206\u6790\u5e08\u7684\u4efb\u4f55\u62a5\u916c\uff0c\u4e0e\u672c\u62a5\u544a\u4e2d\u5206\u6790\u5e08\u8868\u8fbe\u7684\u5177\u4f53\u63a8\u8350\u6216\u89c2\u70b9\u5747\u65e0\u76f4\u63a5\u6216\u95f4\u63a5\u76f8\u5173\uff0c\u4e14\u5c06\u6765\u4ea6\u4fdd\u6301\u5982\u6b64\u3002<\/p>\n\n\n\n<h4 class=\"wp-block-heading\" id=\"h-\u91cd\u8981\u62ab\u9732\"><strong>\u91cd\u8981\u62ab\u9732<\/strong><\/h4>\n\n\n\n<p>\u5728\u7f8e\u56fd\uff0cRBC \u8d22\u5bcc\u7ba1\u7406\u4f5c\u4e3a RBC \u8d44\u672c\u5e02\u573a\u6709\u9650\u8d23\u4efb\u516c\u53f8\u7684\u4e00\u4e2a\u4e8b\u4e1a\u90e8\u8fd0\u8425\u3002\u5728\u52a0\u62ff\u5927\uff0cRBC \u8d22\u5bcc\u7ba1\u7406\u5305\u62ec\u4f46\u4e0d\u9650\u4e8e RBC \u591a\u7f8e\u5e74\u8bc1\u5238\u6709\u9650\u516c\u53f8\uff0c\u5176\u4e3a RBC\u8d44\u672c\u5e02\u573a\u6709\u9650\u8d23\u4efb\u516c\u53f8\u7684\u5916\u56fd\u5173\u8054\u516c\u53f8\u3002\u672c\u62a5\u544a\u7531 RBC \u8d44\u672c\u5e02\u573a\u6709\u9650\u8d23\u4efb\u516c\u53f8\u7f16\u5236\uff0c\u8be5\u516c\u53f8\u4e3a\u52a0\u62ff\u5927\u7687\u5bb6\u94f6\u884c\u7684\u95f4\u63a5\u5168\u8d44\u5b50\u516c\u53f8\uff0c\u56e0\u6b64\u4e5f\u662f\u52a0\u62ff\u5927\u7687\u5bb6\u94f6\u884c\u7684\u5173\u8054\u53d1\u884c\u4eba\u3002<\/p>\n\n\n\n<h4 class=\"wp-block-heading\" id=\"h-\u975e\u7f8e\u56fd\u5206\u6790\u5e08\u62ab\u9732\"><strong>\u975e\u7f8e\u56fd\u5206\u6790\u5e08\u62ab\u9732<\/strong><\/h4>\n\n\n\n<p>\u53c2\u4e0e\u672c\u62a5\u544a\u7f16\u5236\u7684\u4e00\u4f4d\u6216\u591a\u4f4d\u7814\u7a76\u5206\u6790\u5e08 (i) \u53ef\u80fd\u5e76\u975e\u7ebd\u7ea6\u8bc1\u5238\u4ea4\u6613\u6240 (NYSE)\u53ca\uff0f\u6216\u7f8e\u56fd\u91d1\u878d\u4e1a\u76d1\u7ba1\u5c40 (FINRA) \u7684\u6ce8\u518c\u6216\u7b26\u5408\u8d44\u683c\u7684\u7814\u7a76\u5206\u6790\u5e08\uff0c\u4ee5\u53ca(ii) \u53ef\u80fd\u5e76\u975eRBC \u8d22\u5bcc\u7ba1\u7406\u7684\u5173\u8054\u4eba\u58eb\uff0c\u56e0\u6b64\u53ef\u80fd\u4e0d\u53d7 FINRA \u7b2c 2241 \u6761\u89c4\u5219\u5173\u4e8e\u4e0e\u76ee\u6807\u516c\u53f8\u901a\u8baf\u3001\u516c\u5f00\u9732\u9762\u4ee5\u53ca\u7814\u7a76\u5206\u6790\u5e08\u8d26\u6237\u6240\u6301\u4ea4\u6613\u8bc1\u5238\u7684\u9650\u5236\u3002<\/p>\n\n\n\n<p>\u82e5\u672c\u62a5\u544a\u4e3a\u6c47\u7f16\u62a5\u544a\uff08\u6db5\u76d6 6 \u5bb6\u6216\u4ee5\u4e0a\u516c\u53f8\uff09\uff0cRBC \u8d22\u5bcc\u7ba1\u7406\u53ef\u80fd\u4f1a\u9009\u62e9\u901a\u8fc7\u5f15\u7528\u65b9\u5f0f\u63d0\u4f9b\u91cd\u8981\u7684\u62ab\u9732\u4fe1\u606f\u3002\u5982\u9700\u67e5\u9605\u6700\u65b0\u62ab\u9732\u4fe1\u606f\uff0c\u5ba2\u6237\u53ef\u8bbf\u95ee<a href=\"http:\/\/www.rbccm.com\/GLDisclosure\/PublicWeb\/DisclosureLookup.aspx?EntityID=2\" target=\"_blank\" rel=\"noreferrer noopener\">RBC\u7f51\u7ad9<\/a> \u67e5\u9605RBC \u8d22\u5bcc\u7ba1\u7406\u53ca\u5176\u5173\u8054\u516c\u53f8\u7684\u76f8\u5173\u62ab\u9732\u4fe1\u606f\u3002\u5ba2\u6237\u4e5f\u53ef\u5411 RBC \u8d22\u5bcc\u7ba1\u7406\u51fa\u7248\u90e8\u7d22\u53d6\u6b64\u7c7b\u4fe1\u606f\uff0c\u5730\u5740\uff1a250 Nicollet Mall, Suite 1800, Minneapolis, MN 55401-1931\u3002<\/p>\n\n\n\n<p>\u63a8\u8350\u5386\u53f2\u56fe\u8868\u4e2d\u63d0\u53ca\u7684\u201c\u63a8\u8350\u6e05\u5355\u201d\u53ef\u80fd\u5305\u62ec\u7531 RBC \u8d22\u5bcc\u7ba1\u7406\u6216\u5176\u4e2d\u4e4b\u4e00\u7684\u5173\u8054\u516c\u53f8\u7ef4\u62a4\u7684\u4e00\u4e2a\u6216\u591a\u4e2a\u63a8\u8350\u6e05\u5355\u6216\u6a21\u578b\u6295\u8d44\u7ec4\u5408\u3002RBC \u8d22\u5bcc\u7ba1\u7406\u7684\u63a8\u8350\u6e05\u5355\u5305\u62ec\u6307\u5bfc\u578b\u6295\u8d44\u7ec4\u5408\uff1a\u4f18\u9009\u6536\u76ca (RL 6)\uff1b\u6307\u5bfc\u578b\u6295\u8d44\u7ec4\u5408\uff1a\u80a1\u606f\u589e\u957f (RL 8)\uff1b\u6307\u5bfc\u578b\u6295\u8d44\u7ec4\u5408\uff1a\u7f8e\u56fd\u5b58\u6258\u51ed\u8bc1 (RL 10) \uff1b\u4ee5\u53ca\u6307\u5bfc\u578b\u6295\u8d44\u7ec4\u5408\uff1a\u5168\u5e02\u503c\u589e\u957f (RL 12)\u3002\u7f29\u5199\u201cRL On\u201d\u8868\u793a\u8bc1\u5238\u88ab\u5217\u5165\u63a8\u8350\u6e05\u5355\u7684\u65e5\u671f\u3002\u7f29\u5199\u201cRL Off\u201d\u8868\u793a\u8bc1\u5238\u4ece\u63a8\u8350\u6e05\u5355\u4e2d\u79fb\u9664\u7684\u65e5\u671f\u3002\u81ea 2023 \u5e74 4 \u6708 3 \u65e5\u8d77\uff0c\u7f8e\u56fd RBC \u8d22\u5bcc\u7ba1\u7406\u7684\u5b63\u5ea6\u62a5\u544a\u5c06\u4f5c\u4e3a\u5176\u6a21\u578b\u7684\u4e3b\u8981\u6c9f\u901a\u6e20\u9053\uff0c\u5e76\u5c06\u91cd\u70b9\u4ecb\u7ecd\u8be5\u5b63\u5ea6\u5bf9\u6a21\u578b\u6240\u505a\u7684\u4efb\u4f55\u53d8\u66f4\u3002<\/p>\n\n\n\n<h4 class=\"wp-block-heading\" id=\"h-rbc-\u8d44\u672c\u5e02\u573a\u8bc4\u7ea7\u5206\u5e03\"><strong>RBC \u8d44\u672c\u5e02\u573a\u8bc4\u7ea7\u5206\u5e03<\/strong><\/h4>\n\n\n\n<p>\u4e3a\u4fbf\u4e8e\u8bc4\u7ea7\u5206\u5e03\uff0c\u76d1\u7ba1\u89c4\u5219\u8981\u6c42\u6210\u5458\u516c\u53f8\u65e0\u8bba\u81ea\u8eab\u8bc4\u7ea7\u5982\u4f55\uff0c\u90fd\u5fc5\u987b\u5c06\u8bc4\u7ea7\u5f52\u5165\u4e09\u4e2a\u8bc4\u7ea7\u7c7b\u522b\u4e4b\u4e00\uff1a\u201c\u4e70\u5165\u201d (Buy)\u3001\u201c\u6301\u6709\uff0f\u4e2d\u6027\u201d (Hold\/Neutral) \u6216\u201c\u5356\u51fa\u201d (Sell)\u3002\u5c3d\u7ba1 RBC\u8d44\u672c\u5e02\u573a\u7684 \u201c\u4f18\u4e8e\u6574\u4f53\u677f\u5757\u201d (Outperform, O)\u3001\u201c\u4e0e\u677f\u5757\u6301\u5e73\u201d (Sector Perform , SP)\u548c \u201c\u900a\u4e8e\u6574\u4f53\u677f\u5757\u201d (Underperform, U) \u7684\u8bc4\u7ea7\u4e0e\u201c\u4e70\u5165\u201d\u3001\u201c\u6301\u6709\uff0f\u4e2d\u6027\u201d\u548c\u201c\u5356\u51fa\u201d\u5206\u522b\u6781\u4e3a\u8fd1\u4f3c\uff0c\u4f46\u542b\u4e49\u5e76\u4e0d\u5b8c\u5168\u76f8\u540c\uff0c\u56e0\u4e3aRBC\u8d44\u672c\u5e02\u573a\u7684\u8bc4\u7ea7\u6309\u76f8\u5bf9\u6807\u51c6\u786e\u5b9a\u3002<\/p>\n\n\n\n<h5 class=\"wp-block-heading\" id=\"h-\u8bc4\u7ea7\u5206\u5e03-rbc-\u8d44\u672c\u5e02\u573a\u80a1\u7968\u7814\u7a76-\u622a\u81f3-2026-\u5e74-3-\u6708-31-\u65e5\">\u8bc4\u7ea7\u5206\u5e03\u2014RBC \u8d44\u672c\u5e02\u573a\u80a1\u7968\u7814\u7a76<br>\u622a\u81f3 <a>2026 <\/a>\u5e74 3 \u6708 31 \u65e5<\/h5>\n\n\n\n<p class=\"has-text-align-right\"><strong>\u8fc7\u53bb 12 \u4e2a\u6708\u63d0\u4f9b\u7684\u6295\u8d44\u94f6\u884c\u670d\u52a1<\/strong><\/p>\n\n\n\n<hr class=\"wp-block-separator has-alpha-channel-opacity my-0\"\/>\n\n\n\n<figure class=\"wp-block-rbcwm-table table-responsive\"><table class=\"b-carbon table-border-horizontal\"><thead><tr><th><strong>\u8bc4\u7ea7<\/strong><\/th><th class=\"has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right\" data-align=\"right\"><strong>\u603b\u6570<\/strong><\/th><th class=\"has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right\" data-align=\"right\"><strong>\u767e\u5206\u6bd4<\/strong><\/th><th class=\"has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right\" data-align=\"right\"><strong>\u603b\u6570<\/strong><\/th><th class=\"has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right\" data-align=\"right\"><strong>\u767e\u5206\u6bd4<\/strong><\/th><\/tr><\/thead><tbody><tr><td>\u4e70\u5165[\u4f18\u4e8e\u6574\u4f53\u677f\u5757]<\/td><td class=\"has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right\" data-align=\"right\">899<\/td><td class=\"has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right\" data-align=\"right\">57.52<\/td><td class=\"has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right\" data-align=\"right\">286<\/td><td class=\"has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right\" data-align=\"right\">31.81<\/td><\/tr><tr><td>\u6301\u6709 [\u4e0e\u677f\u5757\u6301\u5e73]<\/td><td class=\"has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right\" data-align=\"right\">612<\/td><td class=\"has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right\" data-align=\"right\">39.16<\/td><td class=\"has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right\" data-align=\"right\">153<\/td><td class=\"has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right\" data-align=\"right\">25.00<\/td><\/tr><tr><td>\u5356\u51fa [\u900a\u4e8e\u6574\u4f53\u677f\u5757]<\/td><td class=\"has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right\" data-align=\"right\">52<\/td><td class=\"has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right\" data-align=\"right\">3.33<\/td><td class=\"has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right\" data-align=\"right\">5<\/td><td class=\"has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right has-text-align-right\" data-align=\"right\">9.62<\/td><\/tr><\/tbody><\/table><\/figure>\n\n\n\n<h4 class=\"wp-block-heading\" id=\"h-rbc-\u8d44\u672c\u5e02\u573a\u80a1\u7968\u8bc4\u7ea7\u7cfb\u7edf\u8bf4\u660e\"><strong>RBC \u8d44\u672c\u5e02\u573a\u80a1\u7968\u8bc4\u7ea7\u7cfb\u7edf\u8bf4\u660e<\/strong><\/h4>\n\n\n\n<p>\u5206\u6790\u5e08\u7684\u201c\u677f\u5757\u201d\u662f\u6307\u8be5\u5206\u6790\u5e08\u63d0\u4f9b\u7814\u7a76\u8986\u76d6\u7684\u516c\u53f8\u8303\u56f4\u3002\u56e0\u6b64\uff0c\u5bf9\u7279\u5b9a\u80a1\u7968\u7684\u8bc4\u7ea7\uff0c\u4ec5\u4ee3\u8868\u5206\u6790\u5e08\u5bf9\u8be5\u80a1\u7968\u5728\u672a\u6765 12 \u4e2a\u6708\u5185\u76f8\u5bf9\u4e8e\u5176\u6240\u8986\u76d6\u677f\u5757\u5e73\u5747\u8868\u73b0\u7684\u89c2\u70b9\u3002<\/p>\n\n\n\n<div class=\"wp-block-group well is-layout-flow wp-block-group-is-layout-flow\">\n<h4 class=\"wp-block-heading\" id=\"h-\u8bc4\u7ea7\">\u8bc4\u7ea7\uff1a<\/h4>\n\n\n\n<p><strong>\u4f18\u4e8e\u6574\u4f53\u677f\u5757 (O)\uff1a<\/strong>\u9884\u671f\u672a\u6765 12 \u4e2a\u6708\u7684\u56de\u62a5\u5927\u5e45\u9ad8\u4e8e\u677f\u5757\u5e73\u5747\u6c34\u5e73\u3002<\/p>\n\n\n\n<p><strong>\u4e0e\u677f\u5757\u6301\u5e73 (SP)\uff1a<\/strong>\u9884\u671f\u672a\u676512 \u4e2a\u6708\u7684\u56de\u62a5\u4e0e\u677f\u5757\u5e73\u5747\u6c34\u5e73\u6301\u5e73\u3002<\/p>\n\n\n\n<p><strong>\u900a\u4e8e\u6574\u4f53\u677f\u5757 (U)\uff1a<\/strong>\u9884\u671f\u672a\u676512 \u4e2a\u6708\u7684\u56de\u62a5\u5927\u5e45\u4f4e\u4e8e\u677f\u5757\u5e73\u5747\u6c34\u5e73\u3002<\/p>\n\n\n\n<p><strong>\u53d7\u9650\u5236 (R)\uff1a<\/strong>RBC \u5728\u67d0\u4e9b\u5e76\u8d2d\u6216\u5176\u4ed6\u6218\u7565\u4ea4\u6613\u4ee5\u53ca\u67d0\u4e9b\u5176\u4ed6\u60c5\u51b5\u4e0b\u62c5\u4efb\u987e\u95ee\u65f6\uff0cRBC \u653f\u7b56\u7981\u6b62\u67d0\u4e9b\u7c7b\u578b\u7684\u6c9f\u901a\uff0c\u5305\u62ec\u63d0\u4f9b\u6295\u8d44\u63a8\u8350\u3002<\/p>\n\n\n\n<p><strong>\u672a\u8bc4\u7ea7 (NR)\uff1a<\/strong>\u7531\u4e8e\u9002\u7528\u7684\u6cd5\u5f8b\u3001\u76d1\u7ba1\u6216\u653f\u7b56\u7684\u9650\u5236\uff08\u53ef\u80fd\u5305\u62ec\u5f53 RBC \u8d44\u672c\u5e02\u573a\u4ee5\u987e\u95ee\u8eab\u4efd\u53c2\u4e0e\u516c\u53f8\u76f8\u5173\u4e8b\u5b9c\uff09\uff0c\u8bc4\u7ea7\u3001\u76ee\u6807\u4ef7\u683c\u548c\u9884\u6d4b\u5df2\u88ab\u79fb\u9664\u3002<\/p>\n\n\n\n<p><strong>\u98ce\u9669\u8bc4\u7ea7\uff1a\u6295\u673a<\/strong>\u98ce\u9669\u8bc4\u7ea7\u53cd\u6620\u8bc1\u5238\u7684\u8d22\u52a1\u6216\u8fd0\u8425\u53ef\u9884\u6d4b\u6027\u8f83\u4f4e\u3001\u80a1\u7968\u4ea4\u6613\u91cf\u6d41\u52a8\u6027\u4e0d\u8db3\u3001\u8d44\u4ea7\u8d1f\u503a\u8868\u6760\u6746\u7387\u8f83\u9ad8\uff0c\u6216\u8fd0\u8425\u5386\u53f2\u6709\u9650\uff0c\u5bfc\u81f4\u5bf9\u8d22\u52a1\u548c\/\u6216\u80a1\u4ef7\u6ce2\u52a8\u7684\u9884\u671f\u8f83\u9ad8\u3002<\/p>\n<\/div>\n\n\n\n<h4 class=\"wp-block-heading\" id=\"h-\u4f30\u503c\u53ca\u5f71\u54cd\u8bc4\u7ea7\u548c\u76ee\u6807\u4ef7\u683c\u7684\u98ce\u9669\u56e0\u7d20\"><strong>\u4f30\u503c\u53ca\u5f71\u54cd\u8bc4\u7ea7\u548c\u76ee\u6807\u4ef7\u683c\u7684\u98ce\u9669\u56e0\u7d20<\/strong><\/h4>\n\n\n\n<p>RBC \u8d44\u672c\u5e02\u573a\u5728\u7814\u7a76\u62a5\u544a\u4e2d\u5bf9\u516c\u53f8\u8fdb\u884c\u4f30\u503c\u65f6\uff0c\u7f8e\u56fd\u91d1\u878d\u4e1a\u76d1\u7ba1\u5c40 (FINRA)\u89c4\u5219\u548c\u7ebd\u7ea6\u8bc1\u5238\u4ea4\u6613\u6240(NYSE)\u89c4\u5219\uff08\u5df2\u7eb3\u5165FINRA\u89c4\u5219\u624b\u518c\uff09\u8981\u6c42\u8bf4\u660e\u4f30\u503c\u7684\u4f9d\u636e\u4ee5\u53ca\u5b9e\u73b0\u8be5\u4f30\u503c\u7684\u5236\u7ea6\u56e0\u7d20\u3002\u5728\u9002\u7528\u7684\u60c5\u51b5\u4e0b\uff0c\u8fd9\u4e9b\u4fe1\u606f\u5206\u522b\u5305\u542b\u5728\u6211\u4eec\u7814\u7a76\u62a5\u544a\u7684\u201c\u4f30\u503c\u201d\u548c\u201c\u5f71\u54cd\u8bc4\u7ea7\u548c\u76ee\u6807\u4ef7\u683c\u7684\u98ce\u9669\u56e0\u7d20\u201d\u7ae0\u8282\u4e2d\u3002<\/p>\n\n\n\n<p>\u8d1f\u8d23\u7f16\u5236\u672c\u7814\u7a76\u62a5\u544a\u7684\u5206\u6790\u5e08\u5df2\u7ecf\uff08\u6216\u5c06\u8981\uff09\u83b7\u5f97\u57fa\u4e8e\u5404\u79cd\u56e0\u7d20\u7684\u62a5\u916c\uff0c\u5305\u62ecRBC \u8d44\u672c\u5e02\u573a\u53ca\u5176\u5173\u8054\u516c\u53f8\u7684\u603b\u6536\u5165\uff0c\u5176\u4e2d\u4e00\u90e8\u5206\u6536\u5165\u6765\u6e90\u4e8e\u6216\u66fe\u6765\u6e90\u4e8eRBC \u8d44\u672c\u5e02\u573a\u53ca\u5176\u5173\u8054\u516c\u53f8\u7684\u6295\u8d44\u94f6\u884c\u6d3b\u52a8\u3002<\/p>\n\n\n\n<h4 class=\"wp-block-heading\" id=\"h-\u5176\u4ed6\u62ab\u9732\"><strong>\u5176\u4ed6\u62ab\u9732<\/strong><\/h4>\n\n\n\n<p>\u672c\u62a5\u544a\u5728\u672c\u673a\u6784\u5168\u56fd\u7814\u7a76\u8d44\u6e90\u7684\u534f\u52a9\u4e0b\u7f16\u5236\u800c\u6210\u3002RBC \u8d22\u5bcc\u7ba1\u7406\u7f16\u5236\u6b64\u62a5\u544a\uff0c\u5e76\u5bf9\u62a5\u544a\u7684\u5185\u5bb9\u548c\u5206\u53d1\u627f\u62c5\u5168\u90e8\u8d23\u4efb\u3002\u62a5\u544a\u5185\u5bb9\u53ef\u80fd\u57fa\u4e8e\u3001\u6216\u81f3\u5c11\u90e8\u5206\u57fa\u4e8e\u7b2c\u4e09\u65b9\u5408\u4f5c\u7814\u7a76\u670d\u52a1\u673a\u6784\u63d0\u4f9b\u7684\u8d44\u6599\u3002\u6211\u4eec\u7684\u7b2c\u4e09\u65b9\u5408\u4f5c\u7814\u7a76\u670d\u52a1\u673a\u6784\u5df2\u7ed9\u4e88RBC \u8d22\u5bcc\u7ba1\u7406\u4f7f\u7528\u5176\u7814\u7a76\u62a5\u544a\u4f5c\u4e3a\u8d44\u6599\u6765\u6e90\u7684\u4e00\u822c\u5141\u8bb8\uff0c\u4f46\u5e76\u672a\u5ba1\u9605\u6216\u6279\u51c6\u672c\u62a5\u544a\uff0c\u4e5f\u672a\u88ab\u544a\u77e5\u672c\u62a5\u544a\u7684\u53d1\u5e03\u3002\u6211\u4eec\u7684\u7b2c\u4e09\u65b9\u5408\u4f5c\u7814\u7a76\u670d\u52a1\u673a\u6784\u53ef\u80fd\u4f1a\u4e0d\u65f6\u6301\u6709\u672c\u62a5\u544a\u6240\u8ff0\u8bc1\u5238\u7684\u591a\u5934\u6216\u7a7a\u5934\u5934\u5bf8\u3001\u8fdb\u884c\u4ea4\u6613\u4ee5\u53ca\u505a\u5e02\u3002\u6211\u4eec\u7684\u7b2c\u4e09\u65b9\u5408\u4f5c\u7814\u7a76\u670d\u52a1\u673a\u6784\u53ef\u80fd\u4e0d\u65f6\u4e3a\u672c\u62a5\u544a\u6240\u8ff0\u7684\u4efb\u4f55\u516c\u53f8\u63d0\u4f9b\u6295\u8d44\u94f6\u884c\u4e1a\u52a1\u6216\u5176\u4ed6\u670d\u52a1\uff0c\u6216\u5411\u5176\u62db\u63fd\u6295\u8d44\u94f6\u884c\u6216\u5176\u4ed6\u4e1a\u52a1\u3002&nbsp;<\/p>\n\n\n\n<p>RBC \u8d22\u5bcc\u7ba1\u7406\u5c3d\u4e00\u5207\u5408\u7406\u52aa\u529b\uff0c\u540c\u65f6\u5411\u6240\u6709\u5408\u8d44\u683c\u7684\u5ba2\u6237\u63d0\u4f9b\u7814\u7a76\u62a5\u544a\uff0c\u5e76\u8003\u8651\u5230\u6d77\u5916\u53f8\u6cd5\u7ba1\u8f96\u533a\u7684\u5f53\u5730\u65f6\u533a\u3002\u5728\u67d0\u4e9b\u6295\u8d44\u987e\u95ee\u8d26\u6237\u4e2d\uff0cRBC \u8d22\u5bcc\u7ba1\u7406\u6216\u6307\u5b9a\u7684\u7b2c\u4e09\u65b9\u5c06\u62c5\u4efb\u6211\u4eec\u5ba2\u6237\u7684\u53e0\u52a0<a>\u7b56\u7565<\/a>\u7ba1\u7406\u4eba\uff0c\u5e76\u5728\u6536\u5230\u672c\u62a5\u544a\u540e\uff0c\u4e3a\u76f8\u5173\u8d26\u6237\u542f\u52a8\u672c\u62a5\u544a\u63d0\u53ca\u7684\u8bc1\u5238\u4ea4\u6613\u3002\u8fd9\u4e9b\u4ea4\u6613\u53ef\u80fd\u53d1\u751f\u5728\u60a8\u6536\u5230\u672c\u62a5\u544a\u7684\u4e4b\u524d\u6216\u4e4b\u540e\uff0c\u5e76\u53ef\u80fd\u5bf9\u53d1\u751f\u4ea4\u6613\u7684\u8bc1\u5238\u5e02\u573a\u4ef7\u683c\u4ea7\u751f\u77ed\u671f\u5f71\u54cd\u3002RBC \u8d22\u5bcc\u7ba1\u7406\u7684\u7814\u7a76\u62a5\u544a\u53d1\u5e03\u5728\u6211\u4eec\u7684\u4e13\u6709\u7f51\u7ad9\u4e0a\uff0c\u4ee5\u786e\u4fdd\u5408\u8d44\u683c\u7684\u5ba2\u6237\u53ca\u65f6\u6536\u5230\u9996\u6b21\u8986\u76d6\u4ee5\u53ca\u8bc4\u7ea7\u3001\u76ee\u6807\u548c\u610f\u89c1\u7684\u53d8\u66f4\u3002\u9500\u552e\u4eba\u5458\u53ef\u4ee5\u901a\u8fc7\u7535\u90ae\u3001\u4f20\u771f\u6216\u666e\u901a\u90ae\u4ef6\u8fdb\u884c\u989d\u5916\u7684\u5206\u53d1\u3002\u5ba2\u6237\u4ea6\u53ef\u901a\u8fc7\u7b2c\u4e09\u65b9\u4f9b\u5e94\u5546\u6536\u53d6\u6211\u4eec\u7684\u7814\u7a76\u62a5\u544a\u3002\u5982\u9700\u4e86\u89e3RBC \u8d22\u5bcc\u7ba1\u7406\u7814\u7a76\u62a5\u544a\u66f4\u591a\u4fe1\u606f\uff0c\u8bf7\u8054\u7cfb\u60a8\u7684RBC \u8d22\u5bcc\u7ba1\u7406\u8d22\u52a1\u987e\u95ee\u3002<\/p>\n\n\n\n<p><strong>\u5229\u76ca\u51b2\u7a81\u62ab\u9732\uff1a<\/strong>RBC \u8d22\u5bcc\u7ba1\u7406\u5df2\u5728\u7f8e\u56fd\u8bc1\u5238\u4ea4\u6613\u59d4\u5458\u4f1a\u6ce8\u518c\u4e3a\u7ecf\u7eaa\u5546\uff0f\u4ea4\u6613\u5546\u548c\u6295\u8d44\u987e\u95ee\uff0c\u63d0\u4f9b\u7ecf\u7eaa\u4ee5\u53ca\u6295\u8d44\u987e\u95ee\u670d\u52a1\u3002RBC \u8d22\u5bcc\u7ba1\u7406\u7684\u300a\u6295\u8d44\u7814\u7a76\u76f8\u5173\u5229\u76ca\u51b2\u7a81\u7ba1\u7406\u653f\u7b56\u300b\u53ef\u5728RBC\u7684<a href=\"https:\/\/www.rbccm.com\/GLDisclosure\/PublicWeb\/DisclosureLookup.aspx?EntityID=2\" target=\"_blank\" rel=\"noreferrer noopener\">\u7f51\u7ad9<\/a>\u4e0a\u67e5\u9605\u3002\u6709\u5173\u6295\u8d44\u987e\u95ee\u4e1a\u52a1\u7684\u5229\u76ca\u51b2\u7a81\uff0c\u8bf7\u53c2\u9605\u672c\u516c\u53f8\u7684\u300aADV \u8868\u683c2A \u90e8\u5206\u9644\u5f55 1\u300b\u6216 \u300aRBC 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id=\"h-\u7b2c\u4e09\u65b9\u514d\u8d23\u58f0\u660e\"><strong>\u7b2c\u4e09\u65b9\u514d\u8d23\u58f0\u660e<\/strong><\/h4>\n\n\n\n<p>\u5168\u7403\u884c\u4e1a\u5206\u7c7b\u6807\u51c6 (\u201cGICS\u201d)\u7531\u6469\u6839\u65af\u5766\u5229\u8d44\u672c\u56fd\u9645\u6709\u9650\u516c\u53f8 (\u201cMSCI\u201d) \u53ca\u6807\u51c6\u666e\u5c14\u91d1\u878d\u670d\u52a1\u6709\u9650\u8d23\u4efb\u516c\u53f8 (\u201cS&amp;P\u201d) \u5236\u8ba2\uff0c\u662f\u5176\u4e13\u6709\u8d22\u4ea7\u53ca\u670d\u52a1\u5546\u6807\uff0c\u5df2\u8bb8\u53efRBC\u4f7f\u7528\u3002MSCI\u3001S&amp;P\u6216\u53c2\u4e0e\u5236\u5b9a\u6216\u6c47\u7f16 GICS \u6216\u4efb\u4f55 GICS 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