{"id":11686,"date":"2026-06-23T14:27:35","date_gmt":"2026-06-23T14:27:35","guid":{"rendered":"https:\/\/www.rbcwealthmanagement.com\/tc-asia\/?page_id=11686"},"modified":"2026-06-23T14:27:37","modified_gmt":"2026-06-23T14:27:37","slug":"required-disclosures","status":"publish","type":"page","link":"https:\/\/www.rbcwealthmanagement.com\/tc-asia\/required-disclosures","title":{"rendered":"\u898f\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>\u898f\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\u5e2b\u8072\u660e\"><strong>\u5206\u6790\u5e2b\u8072\u660e<\/strong><\/h4>\n\n\n\n<p>\u672c\u5831\u544a\u6240\u8868\u9054\u7684\u5168\u90e8\u89c0\u9ede\uff0c\u5747\u6e96\u78ba\u5730\u53cd\u6620\u4e86\u8ca0\u8cac\u5206\u6790\u5e2b\u5c31\u4efb\u4f55\u6216\u6240\u6709\u76f8\u95dc\u8b49\u5238\u6216\u767c\u884c\u4eba\u7684\u500b\u4eba\u89c0\u9ede\u3002\u672c\u5831\u544a\u6240\u5217\u8ca0\u8cac\u5206\u6790\u5e2b\u7684\u4efb\u4f55\u5831\u916c\uff0c\u8207\u672c\u5831\u544a\u4e2d\u5176\u8868\u9054\u7684\u5177\u9ad4\u63a8\u85a6\u6216\u89c0\u9ede\u5747\u7121\u76f4\u63a5\u6216\u9593\u63a5\u76f8\u95dc\uff0c\u4e14\u5c07\u4f86\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\u570b\uff0cRBC \u8ca1\u5bcc\u7ba1\u7406\u4f5c\u70baRBC \u8cc7\u672c\u5e02\u5834\u6709\u9650\u8cac\u4efb\u516c\u53f8\u7684\u4e00\u500b\u4e8b\u696d\u90e8\u71df\u904b\u3002\u5728\u52a0\u62ff\u5927\uff0cRBC \u8ca1\u5bcc\u7ba1\u7406\u5305\u62ec\u4f46\u4e0d\u9650\u65bcRBC \u591a\u7f8e\u5e74\u8b49\u5238\u6709\u9650\u516c\u53f8\uff0c\u5176\u70baRBC\u8cc7\u672c\u5e02\u5834\u6709\u9650\u8cac\u4efb\u516c\u53f8\u7684\u5916\u570b\u95dc\u806f\u516c\u53f8\u3002\u672c\u5831\u544a\u7531RBC \u8cc7\u672c\u5e02\u5834\u6709\u9650\u8cac\u4efb\u516c\u53f8\u7de8\u5236\uff0c\u8a72\u516c\u53f8\u70ba\u52a0\u62ff\u5927\u7687\u5bb6\u9280\u884c\u7684\u9593\u63a5\u5168\u8cc7\u5b50\u516c\u53f8\uff0c\u56e0\u6b64\u4e5f\u662f\u52a0\u62ff\u5927\u7687\u5bb6\u9280\u884c\u7684\u95dc\u806f\u767c\u884c\u4eba\u3002<\/p>\n\n\n\n<h4 class=\"wp-block-heading\" id=\"h-\u975e\u7f8e\u570b\u5206\u6790\u5e2b\u62ab\u9732\"><strong>\u975e\u7f8e\u570b\u5206\u6790\u5e2b\u62ab\u9732<\/strong><\/h4>\n\n\n\n<p>\u53c3\u8207\u672c\u5831\u544a\u7de8\u88fd\u7684\u4e00\u4f4d\u6216\u591a\u4f4d\u7814\u7a76\u5206\u6790\u5e2b(i) \u53ef\u80fd\u4e26\u975e\u7d10\u7d04\u8b49\u5238\u4ea4\u6613\u6240(NYSE)\u53ca\/\u6216\u7f8e\u570b\u91d1\u878d\u696d\u76e3\u7ba1\u5c40(FINRA) \u7684\u8a3b\u518a\u6216\u7b26\u5408\u8cc7\u683c\u7684\u7814\u7a76\u5206\u6790\u5e2b\uff0c\u4ee5\u53ca(ii) \u53ef\u80fd\u4e26\u975eRBC \u8ca1\u5bcc\u7ba1\u7406\u7684\u95dc\u806f\u4eba\u58eb\uff0c\u56e0\u6b64\u53ef\u80fd\u4e0d\u53d7FINRA \u7b2c2241 \u689d\u898f\u5247\u95dc\u65bc\u8207\u76ee\u6a19\u516c\u53f8\u901a\u8a0a\u3001\u516c\u958b\u9732\u9762\u4ee5\u53ca\u7814\u7a76\u5206\u6790\u5e2b\u5e33\u6236\u6240\u6301\u4ea4\u6613\u8b49\u5238\u7684\u9650\u5236\u3002<\/p>\n\n\n\n<p>\u82e5\u672c\u5831\u544a\u70ba\u532f\u7de8\u5831\u544a\uff08\u6db5\u84cb6 \u5bb6\u6216\u4ee5\u4e0a\u516c\u53f8\uff09\uff0cRBC \u8ca1\u5bcc\u7ba1\u7406\u53ef\u80fd\u6703\u9078\u64c7\u900f\u904e\u5f15\u7528\u65b9\u5f0f\u63d0\u4f9b\u91cd\u8981\u7684\u62ab\u9732\u8cc7\u8a0a\u3002\u5982\u9700\u67e5\u95b1\u6700\u65b0\u62ab\u9732\u4fe1\u606f\uff0c\u5ba2\u6236\u53ef\u8a2a\u554f<a href=\"http:\/\/www.rbccm.com\/GLDisclosure\/PublicWeb\/DisclosureLookup.aspx?EntityID=2\" target=\"_blank\" rel=\"noreferrer noopener\">RBC<\/a><a href=\"http:\/\/www.rbccm.com\/GLDisclosure\/PublicWeb\/DisclosureLookup.aspx?EntityID=2\" target=\"_blank\" rel=\"noreferrer noopener\">\u7db2\u7ad9<\/a>\u67e5\u95b1RBC \u8ca1\u5bcc\u7ba1\u7406\u53ca\u5176\u95dc\u806f\u516c\u53f8\u7684\u76f8\u95dc\u62ab\u9732\u8cc7\u8a0a\u3002\u5ba2\u6236\u4e5f\u53ef\u5411RBC \u8ca1\u5bcc\u7ba1\u7406\u51fa\u7248\u90e8\u7d22\u53d6\u6b64\u985e\u4fe1\u606f\uff0c\u5730\u5740\uff1a250 Nicollet Mall, Suite 1800, Minneapolis, MN 55401-1931\u3002<\/p>\n\n\n\n<p>\u63a8\u85a6\u6b77\u53f2\u5716\u8868\u4e2d\u63d0\u53ca\u7684\u300c\u63a8\u85a6\u6e05\u55ae\u300d\u53ef\u80fd\u5305\u62ec\u7531RBC \u8ca1\u5bcc\u7ba1\u7406\u6216\u5176\u4e2d\u4e4b\u4e00\u7684\u95dc\u806f\u516c\u53f8\u7dad\u8b77\u7684\u4e00\u500b\u6216\u591a\u500b\u63a8\u85a6\u6e05\u55ae\u6216\u6a21\u578b\u6295\u8cc7\u7d44\u5408\u3002 RBC \u8ca1\u5bcc\u7ba1\u7406\u7684\u63a8\u85a6\u6e05\u55ae\u5305\u62ec\u6307\u5c0e\u578b\u6295\u8cc7\u7d44\u5408\uff1a\u512a\u9078\u6536\u76ca(RL 6)\uff1b\u6307\u5c0e\u578b\u6295\u8cc7\u7d44\u5408\uff1a\u80a1\u606f\u589e\u9577(RL 8)\uff1b\u6307\u5c0e\u578b\u6295\u8cc7\u7d44\u5408\uff1a\u7f8e\u570b\u5b58\u8a17\u6191\u8b49(RL 10) \uff1b\u4ee5\u53ca\u6307\u5c0e\u578b\u6295\u8cc7\u7d44\u5408\uff1a\u5168\u5e02\u503c\u589e\u9577(RL 12)\u3002\u7e2e\u5beb\u201cRL On\u201d\u8868\u793a\u8b49\u5238\u88ab\u5217\u5165\u63a8\u85a6\u6e05\u55ae\u7684\u65e5\u671f\u3002\u7e2e\u5beb\u201cRL Off\u201d\u8868\u793a\u8b49\u5238\u5f9e\u63a8\u85a6\u6e05\u55ae\u4e2d\u79fb\u9664\u7684\u65e5\u671f\u3002\u81ea2023 \u5e744 \u67083 \u65e5\u8d77\uff0c\u7f8e\u570bRBC \u8ca1\u5bcc\u7ba1\u7406\u7684\u5b63\u5ea6\u5831\u544a\u5c07\u4f5c\u70ba\u5176\u6a21\u578b\u7684\u4e3b\u8981\u6e9d\u901a\u7ba1\u9053\uff0c\u4e26\u5c07\u91cd\u9ede\u4ecb\u7d39\u8a72\u5b63\u5ea6\u5c0d\u6a21\u578b\u6240\u505a\u7684\u4efb\u4f55\u8b8a\u66f4\u3002<\/p>\n\n\n\n<h4 class=\"wp-block-heading\" id=\"h-rbc-\u8cc7\u672c\u5e02\u5834\u8a55\u7d1a\u5206\u4f48\"><strong>RBC \u8cc7\u672c\u5e02\u5834\u8a55\u7d1a\u5206\u4f48<\/strong><\/h4>\n\n\n\n<p>\u70ba\u4fbf\u65bc\u8a55\u7d1a\u5206\u4f48\uff0c\u76e3\u7ba1\u898f\u5247\u8981\u6c42\u6210\u54e1\u516c\u53f8\u7121\u8ad6\u81ea\u8eab\u8a55\u7d1a\u5982\u4f55\uff0c\u90fd\u5fc5\u9808\u5c07\u8a55\u7d1a\u6b78\u5165\u4e09\u500b\u8a55\u7d1a\u985e\u5225\u4e4b\u4e00\uff1a\u201c\u8cb7\u5165\u201d ( Buy )\u3001\u201c\u6301\u6709\uff0f\u4e2d\u6027\u201d ( Hold\/Neutral ) \u6216\u201c\u8ce3\u51fa\u201d ( Sell )\u3002\u5118\u7ba1RBC\u8cc7\u672c\u5e02\u5834\u7684\u201c\u512a\u65bc\u6574\u9ad4\u677f\u584a\u201d ( Outperform , O) \u3001 \u201c\u8207\u677f\u584a\u6301\u5e73\u201d ( Sector Perform , SP)\u548c\u201c\u905c\u65bc\u6574\u9ad4\u677f\u584a\u201d ( Underperform , U)\u7684\u8a55\u7d1a\u8207\u300c\u8cb7\u5165\u300d\u3001\u300c\u6301\u6709\/\u4e2d\u6027\u300d\u548c\u300c\u8ce3\u51fa\u300d\u5206\u5225\u6975\u70ba\u8fd1\u4f3c\uff0c\u4f46\u610f\u7fa9\u4e26\u4e0d\u5b8c\u5168\u76f8\u540c\uff0c\u56e0\u70baRBC\u8cc7\u672c\u5e02\u5834\u7684\u8a55\u7d1a\u6309\u76f8\u5c0d\u6a19\u6e96\u78ba\u5b9a\u3002<\/p>\n\n\n\n<h5 class=\"wp-block-heading\" id=\"h-\u8a55\u7d1a\u5206\u4f48-rbc-\u8cc7\u672c\u5e02\u5834\u80a1\u7968\u7814\u7a76-\u622a\u81f32026-\u5e74-3-\u6708-31-\u65e5\">\u8a55\u7d1a\u5206\u4f48\u2014RBC \u8cc7\u672c\u5e02\u5834\u80a1\u7968\u7814\u7a76<br>\u622a\u81f32026 \u5e74 3 \u6708 31 \u65e5<\/h5>\n\n\n\n<p class=\"has-text-align-right\"><strong>\u904e\u53bb12 \u500b\u6708\u63d0\u4f9b\u7684\u6295\u8cc7\u9280\u884c\u670d\u52d9<\/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>\u8a55\u7d1a<\/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>\u7e3d\u6578<\/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><strong>\u7e3d\u6578<\/strong><\/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>\u8cb7\u5165[\u512a\u65bc\u6574\u9ad4\u677f\u584a]<\/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[\u8207\u677f\u584a\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>\u8ce3\u51fa[\u905c\u65bc\u6574\u9ad4\u677f\u584a]<\/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-\u8cc7\u672c\u5e02\u5834\u80a1\u7968\u8a55\u7d1a\u7cfb\u7d71\u8aaa\u660e\"><strong>RBC \u8cc7\u672c\u5e02\u5834\u80a1\u7968\u8a55\u7d1a\u7cfb\u7d71\u8aaa\u660e<\/strong><\/h4>\n\n\n\n<p>\u5206\u6790\u5e2b\u7684\u300c\u677f\u584a\u300d\u662f\u6307\u8a72\u5206\u6790\u5e2b\u63d0\u4f9b\u7814\u7a76\u8986\u84cb\u7684\u516c\u53f8\u7bc4\u570d\u3002\u56e0\u6b64\uff0c\u5c0d\u7279\u5b9a\u80a1\u7968\u7684\u8a55\u7d1a\uff0c\u50c5\u4ee3\u8868\u5206\u6790\u5e2b\u5c0d\u8a72\u80a1\u7968\u5728\u672a\u4f8612 \u500b\u6708\u5167\u76f8\u5c0d\u65bc\u5176\u6240\u8986\u84cb\u677f\u584a\u5e73\u5747\u8868\u73fe\u7684\u770b\u6cd5\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-\u8a55\u7d1a\">\u8a55\u7d1a\uff1a<\/h4>\n\n\n\n<p><strong>\u512a\u65bc\u6574\u9ad4\u677f\u584a(O)\uff1a<\/strong>\u9810\u671f\u672a\u4f8612 \u500b\u6708\u7684\u56de\u5831\u5927\u5e45\u9ad8\u65bc\u677f\u584a\u5e73\u5747\u6c34\u5e73\u3002<\/p>\n\n\n\n<p><strong>\u8207\u677f\u584a\u6301\u5e73(SP)\uff1a<\/strong>\u9810\u671f\u672a\u4f8612 \u500b\u6708\u7684\u56de\u5831\u8207\u677f\u584a\u5e73\u5747\u6c34\u5e73\u6301\u5e73\u3002<\/p>\n\n\n\n<p><strong>\u905c\u65bc\u6574\u9ad4\u677f\u584a(U)\uff1a<\/strong>\u9810\u671f\u672a\u4f8612 \u500b\u6708\u7684\u56de\u5831\u5927\u5e45\u4f4e\u65bc\u677f\u584a\u5e73\u5747\u6c34\u5e73\u3002<\/p>\n\n\n\n<p><strong>\u53d7\u9650(R)\uff1a <\/strong>RBC \u5728\u67d0\u4e9b\u4f75\u8cfc\u6216\u5176\u4ed6\u7b56\u7565\u4ea4\u6613\u4ee5\u53ca\u67d0\u4e9b\u5176\u4ed6\u60c5\u6cc1\u4e0b\u64d4\u4efb\u9867\u554f\u6642\uff0cRBC \u653f\u7b56\u7981\u6b62\u67d0\u4e9b\u985e\u578b\u7684\u6e9d\u901a\uff0c\u5305\u62ec\u63d0\u4f9b\u6295\u8cc7\u63a8\u85a6\u3002<\/p>\n\n\n\n<p><strong>\u672a\u8a55\u7d1a(NR)\uff1a<\/strong>\u7531\u65bc\u9069\u7528\u7684\u6cd5\u5f8b\u3001\u76e3\u7ba1\u6216\u653f\u7b56\u7684\u9650\u5236\uff08\u53ef\u80fd\u5305\u62ec\u7576RBC \u8cc7\u672c\u5e02\u5834\u4ee5\u9867\u554f\u8eab\u4efd\u53c3\u8207\u516c\u53f8\u76f8\u95dc\u4e8b\u5b9c\uff09\uff0c\u8a55\u7d1a\u3001\u76ee\u6a19\u50f9\u683c\u548c\u9810\u6e2c\u5df2\u88ab\u79fb\u9664\u3002<\/p>\n\n\n\n<p><strong>\u98a8\u96aa\u8a55\u7d1a\uff1a\u6295\u6a5f<\/strong>\u98a8\u96aa\u8a55\u7d1a\u53cd\u6620\u8b49\u5238\u7684\u8ca1\u52d9\u6216\u71df\u904b\u53ef\u9810\u6e2c\u6027\u8f03\u4f4e\u3001\u80a1\u7968\u4ea4\u6613\u91cf\u6d41\u52d5\u6027\u4e0d\u8db3\u3001\u8cc7\u7522\u8ca0\u50b5\u8868\u69d3\u687f\u7387\u8f03\u9ad8\uff0c\u6216\u71df\u904b\u6b77\u53f2\u6709\u9650\uff0c\u5c0e\u81f4\u5c0d\u8ca1\u52d9\u548c\/\u6216\u80a1\u50f9\u6ce2\u52d5\u7684\u9810\u671f\u8f03\u9ad8\u3002<\/p>\n<\/div>\n\n\n\n<h4 class=\"wp-block-heading\" id=\"h-\u4f30\u503c\u53ca\u8a55\u7d1a\u548c\u5f71\u97ff\u76ee\u6a19\u50f9\u683c\u7684\u98a8\u96aa\u56e0\u7d20\">\u4f30\u503c\u53ca\u8a55\u7d1a\u548c\u5f71\u97ff\u76ee\u6a19\u50f9\u683c\u7684\u98a8\u96aa\u56e0\u7d20<\/h4>\n\n\n\n<p>RBC \u8cc7\u672c\u5e02\u5834\u5728\u7814\u7a76\u5831\u544a\u4e2d\u5c0d\u516c\u53f8\u9032\u884c\u4f30\u503c\u6642\uff0c\u7f8e\u570b\u91d1\u878d\u696d\u76e3\u7ba1\u5c40(FINRA)\u898f\u5247\u548c\u7d10\u7d04\u8b49\u5238\u4ea4\u6613\u6240( NYSE)\u898f\u5247\uff08\u5df2\u7d0d\u5165FINRA\u898f\u5247\u624b\u518a\uff09\u8981\u6c42\u8aaa\u660e\u4f30\u503c\u7684\u4f9d\u64da\u4ee5\u53ca\u5be6\u73fe\u8a72\u4f30\u503c\u7684\u5236\u7d04\u56e0\u7d20\u3002\u5728\u9069\u7528\u7684\u60c5\u6cc1\u4e0b\uff0c\u9019\u4e9b\u8cc7\u8a0a\u5206\u5225\u5305\u542b\u5728\u6211\u5011\u7814\u7a76\u5831\u544a\u7684\u300c\u4f30\u503c\u300d\u548c\u300c\u5f71\u97ff\u8a55\u7d1a\u548c\u76ee\u6a19\u50f9\u683c\u7684\u98a8\u96aa\u56e0\u7d20\u300d\u7ae0\u7bc0\u4e2d\u3002<\/p>\n\n\n\n<p>\u8ca0\u8cac\u7de8\u88fd\u672c\u7814\u7a76\u5831\u544a\u7684\u5206\u6790\u5e2b\u5df2\u7d93\uff08\u6216\u5c07\u8981\uff09\u7372\u5f97\u57fa\u65bc\u5404\u7a2e\u56e0\u7d20\u7684\u5831\u916c\uff0c\u5305\u62ecRBC \u8cc7\u672c\u5e02\u5834\u53ca\u5176\u95dc\u806f\u516c\u53f8\u7684\u7e3d\u6536\u5165\uff0c\u5176\u4e2d\u4e00\u90e8\u5206\u6536\u5165\u4f86\u6e90\u65bc\u6216\u66fe\u4f86\u6e90\u65bcRBC \u8cc7\u672c\u5e02\u5834\u53ca\u5176\u95dc\u806f\u516c\u53f8\u7684\u6295\u8cc7\u9280\u884c\u6d3b\u52d5\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\u5831\u544a\u5728\u672c\u6a5f\u69cb\u5168\u570b\u7814\u7a76\u8cc7\u6e90\u7684\u652f\u6301\u4e0b\u7de8\u88fd\u800c\u6210\u3002 RBC \u8ca1\u5bcc\u7ba1\u7406\u7de8\u5236\u6b64\u5831\u544a\uff0c\u4e26\u5c0d\u5831\u544a\u7684\u5167\u5bb9\u548c\u5206\u767c\u627f\u64d4\u5168\u90e8\u8cac\u4efb\u3002\u5831\u544a\u5167\u5bb9\u53ef\u80fd\u57fa\u65bc\u3001\u6216\u81f3\u5c11\u90e8\u5206\u57fa\u65bc\u7b2c\u4e09\u65b9\u5408\u4f5c\u7814\u7a76\u670d\u52d9\u6a5f\u69cb\u63d0\u4f9b\u7684\u8cc7\u6599\u3002\u6211\u5011\u7684\u7b2c\u4e09\u65b9\u5408\u4f5c\u7814\u7a76\u670d\u52d9\u6a5f\u69cb\u5df2\u7d66\u4e88RBC \u8ca1\u5bcc\u7ba1\u7406\u4f7f\u7528\u5176\u7814\u7a76\u5831\u544a\u4f5c\u70ba\u8cc7\u6599\u4f86\u6e90\u7684\u4e00\u822c\u5141\u8a31\uff0c\u4f46\u4e26\u672a\u5be9\u95b1\u6216\u6279\u51c6\u672c\u5831\u544a\uff0c\u4e5f\u672a\u88ab\u544a\u77e5\u672c\u5831\u544a\u7684\u767c\u5e03\u3002\u6211\u5011\u7684\u7b2c\u4e09\u65b9\u5408\u4f5c\u7814\u7a76\u670d\u52d9\u6a5f\u69cb\u53ef\u80fd\u6703\u4e0d\u6642\u6301\u6709\u672c\u5831\u544a\u6240\u8ff0\u8b49\u5238\u7684\u591a\u982d\u6216\u7a7a\u982d\u982d\u5bf8\u3001\u9032\u884c\u4ea4\u6613\u4ee5\u53ca\u505a\u5e02\u3002\u6211\u5011\u7684\u7b2c\u4e09\u65b9\u5408\u4f5c\u7814\u7a76\u670d\u52d9\u6a5f\u69cb\u53ef\u80fd\u4e0d\u6642\u70ba\u672c\u5831\u544a\u6240\u8ff0\u7684\u4efb\u4f55\u516c\u53f8\u63d0\u4f9b\u6295\u8cc7\u9280\u884c\u696d\u52d9\u6216\u5176\u4ed6\u670d\u52d9\uff0c\u6216\u5411\u5176\u62db\u652c\u6295\u8cc7\u9280\u884c\u6216\u5176\u4ed6\u696d\u52d9\u3002<\/p>\n\n\n\n<p>RBC \u8ca1\u5bcc\u7ba1\u7406\u76e1\u4e00\u5207\u5408\u7406\u52aa\u529b\uff0c\u540c\u6642\u5411\u6240\u6709\u5408\u8cc7\u683c\u7684\u5ba2\u6236\u63d0\u4f9b\u7814\u7a76\u5831\u544a\uff0c\u4e26\u8003\u616e\u5230\u6d77\u5916\u53f8\u6cd5\u7ba1\u8f44\u5340\u7684\u7576\u5730\u6642\u5340\u3002\u5728\u67d0\u4e9b\u6295\u8cc7\u9867\u554f\u5e33\u6236\u4e2d\uff0cRBC \u8ca1\u5bcc\u7ba1\u7406\u6216\u6307\u5b9a\u7684\u7b2c\u4e09\u65b9\u5c07\u64d4\u4efb\u6211\u5011\u5ba2\u6236\u7684\u758a\u52a0\u7b56\u7565\u7ba1\u7406\u4eba\uff0c\u4e26\u5728\u6536\u5230\u672c\u5831\u544a\u5f8c\uff0c\u70ba\u76f8\u95dc\u5e33\u6236\u555f\u52d5\u672c\u5831\u544a\u63d0\u53ca\u7684\u8b49\u5238\u4ea4\u6613\u3002\u9019\u4e9b\u4ea4\u6613\u53ef\u80fd\u767c\u751f\u5728\u60a8\u6536\u5230\u672c\u5831\u544a\u7684\u4e4b\u524d\u6216\u4e4b\u5f8c\uff0c\u4e26\u53ef\u80fd\u5c0d\u767c\u751f\u4ea4\u6613\u7684\u8b49\u5238\u5e02\u5834\u50f9\u683c\u7522\u751f\u77ed\u671f\u5f71\u97ff\u3002 RBC \u8ca1\u5bcc\u7ba1\u7406\u7684\u7814\u7a76\u5831\u544a\u767c\u4f48\u5728\u6211\u5011\u7684\u5c08\u6709\u7db2\u7ad9\u4e0a\uff0c\u4ee5\u78ba\u4fdd\u5408\u8cc7\u683c\u7684\u5ba2\u6236\u53ca\u6642\u6536\u5230\u9996\u6b21\u8986\u84cb\u4ee5\u53ca\u8a55\u7d1a\u3001\u76ee\u6a19\u548c\u610f\u898b\u7684\u8b8a\u66f4\u3002\u92b7\u552e\u4eba\u54e1\u53ef\u4ee5\u900f\u904e\u96fb\u90f5\u3001\u50b3\u771f\u6216\u666e\u901a\u90f5\u4ef6\u9032\u884c\u984d\u5916\u7684\u5206\u767c\u3002\u5ba2\u6236\u4ea6\u53ef\u900f\u904e\u7b2c\u4e09\u65b9\u4f9b\u61c9\u5546\u6536\u53d6\u6211\u5011\u7684\u7814\u7a76\u5831\u544a\u3002\u5982\u9700\u4e86\u89e3RBC \u8ca1\u5bcc\u7ba1\u7406\u7814\u7a76\u5831\u544a\u66f4\u591a\u4fe1\u606f\uff0c\u8acb\u806f\u7d61\u60a8\u7684RBC \u8ca1\u5bcc\u7ba1\u7406\u8ca1\u52d9\u9867\u554f\u3002<\/p>\n\n\n\n<p><strong>\u5229\u76ca\u885d\u7a81\u62ab\u9732\uff1a <\/strong>RBC\u8ca1\u5bcc\u7ba1\u7406\u5df2\u5728\u7f8e\u570b\u8b49\u5238\u4ea4\u6613\u59d4\u54e1\u6703\u8a3b\u518a\u70ba\u7d93\u7d00\u5546\/\u4ea4\u6613\u5546\u548c\u6295\u8cc7\u9867\u554f\uff0c\u63d0\u4f9b\u7d93\u7d00\u4ee5\u53ca\u6295\u8cc7\u9867\u554f\u670d\u52d9\u3002 RBC\u8ca1\u5bcc\u7ba1\u7406\u7684\u300a\u6295\u8cc7\u7814\u7a76\u76f8\u95dc\u5229\u76ca\u885d\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\">\u7db2\u7ad9<\/a>\u4e0a\u67e5\u95b1\u3002\u6709\u95dc\u6295\u8cc7\u9867\u554f\u696d\u52d9\u7684\u5229\u76ca\u885d\u7a81\uff0c\u8acb\u53c3\u95b1<a>\u672c<\/a>\u516c\u53f8\u7684\u300a ADV\u8868\u683c2A\u90e8\u5206\u9644\u9304 1\u300b\u6216 \u300a 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