What is the code of professional ethics for securities practitioners?

1. Respect the law and abide by the rules. Practitioners should abide by the Constitution, be in awe of relevant laws, regulations, regulatory provisions, self-discipline rules and ethical standards of the securities industry, firmly establish the concept of operating in compliance with laws and regulations, and abide by ethics, consciously accept supervision and self-discipline management, and resist those who violate rules and ethical standards. Behavior.

2. Be honest and trustworthy, diligent and conscientious. Employees should be true to their word, keep their word, cherish industry reputation and professional reputation, adhere to the spirit of the contract, protect and rationally use entrusted assets, disclose relevant information truthfully, accurately and completely, and consciously resist fraud, misleading and deception.

3. Be upright, rigorous and professional. Practitioners should abide by professional ethics, behave in a disciplined, down-to-earth manner, be impartial, provide services to investors and other stakeholders objectively, prudently and professionally, and consciously resist the use of asymmetries in resources and information to harm clients and other stakeholders. Acts of legitimate interests.

4. Be prudent and steady and strictly control risks. Practitioners should firmly establish a bottom-line awareness of risks, improve their ability to identify, respond to and resolve risks, practice prudently, proactively fulfill reporting obligations, strictly guard against various business risks caused by improper conduct during the practice process, and consciously resist luck and short-sighted behavior.

5. Be fair, clear-minded, honest and self-disciplined. Practitioners should establish a correct world view, outlook on life, values ??and interests, be honest and self-disciplined, maintain clean and orderly personal relationships and customer relationships when conducting securities business and related commercial activities, and consciously resist direct or indirect direct or indirect criticism of others. The act of conveying or seeking improper benefits.

6. Continuously improve and pursue excellence. Practitioners should establish the concept of continuous learning, insist on advancing with the times, constantly update business knowledge and skills, be upright and innovative, uphold the spirit of craftsmanship to provide quality services to customers and other stakeholders, and consciously resist the attitude of work and study that is not enterprising and complacent. Behavior.

7. Be dedicated to your job and be loyal to your duties. Employees should be loyal to their organizations, do their jobs conscientiously, distinguish between public and private matters, protect and rationally use the assets of their organizations, report existing or potential conflicts of interest with their organizations in a timely manner, and consciously resist behaviors that harm the legitimate rights and interests of their organizations.