Eight essentials of securities practitioners' behavior

Compliance study for securities practitioners

I. Code of Conduct for securities practitioners (eight requirements and ten prohibitions)

Eight requirements:

1. Abide by national laws and regulations and relevant rules and regulations of the securities market;

2. Love your job, study hard, and constantly improve your business level and work ability;

3. Adhere to the principle of "fairness, justice and openness" to protect the legitimate rights and interests of investors;

4. Strictly abide by the operating rules, accurately and timely execute customer instructions, and keep customer secrets;

5. Be warm and sincere, be civilized and polite, and establish the professional ethics of "customer first";

6. Obey management, standardize services, be loyal to their duties, and maintain normal order in securities trading;

7. We should unite colleagues, coordinate and cooperate, and properly handle various contradictions in business activities;

8. cherish the professional honor of the securities industry and consciously safeguard the reputation of the industry and the unit.

ten prohibitions:

1. Never buy or sell securities for yourself or your relatives and friends;

2. It is forbidden to provide false and irresponsible information to customers to induce them to buy or sell;

3. It is not allowed to agree with customers, issuing companies or relevant personnel to obtain illegitimate interests;

4. No changes are allowed to customers' transactions;

5. Don't misappropriate the client's securities or funds, or use the client's name or account to buy or sell securities

6. Don't disclose the client's entrustment and related transactions to others;

7. It is not allowed to accept the full authorization of customers to buy and sell securities;

8. No overdraft is allowed for customers;

9. It is not allowed to influence or try to influence the trading behavior of customers because of the interests of myself or our unit;

1. No market manipulation.