What are the seven fiduciary obligations of securities institutions and their staff to investors and industries?

The fiduciary duty of securities institutions and their staff to investors and industries includes the following seven aspects:

Legality and compliance: Securities institutions and their staff shall abide by the provisions of laws and administrative regulations when engaging in securities business to avoid conflicts of interest.

Fair competition: Securities institutions and their staff shall abide by the principle of fair competition and shall not engage in unfair competition.

Diligence: Securities institutions and their staff should be diligent and conscientious, fulfill the obligations of honesty, credibility, prudence and diligence, and provide quality services to customers.

Match words with deeds: Securities institutions and their staff should match words with deeds, and shall not make false statements, misleading propaganda or other fraudulent acts.

Professional prudence: securities institutions and their staff should have professional knowledge and skills, make prudent decisions, and ensure that their business activities comply with laws, administrative regulations and industry norms.

Investor protection: securities institutions and their staff should protect the legitimate rights and interests of customers and must not harm the interests of customers.

Honest practice: securities institutions and their staff should abide by the rules of honest practice and may not seek personal gain by taking advantage of their positions.

The requirements of securities institutions and their staff for investors are as follows:

1. Provide sufficient information:

Securities institutions shall provide sufficient, accurate and timely investment information, including market conditions, company financial status, investment risks, etc. To ensure that investors can make wise investment decisions based on comprehensive information.

2. Respect the rights and interests of investors:

Securities institutions and their staff members shall respect investors' right to know, decision-making and supervision, and shall not interfere in or manipulate the market, operate illegally or provide false information to ensure the protection of investors' rights and interests.

3. Provide professional consulting services:

Securities practitioners should have professional knowledge and skills, provide professional and objective consulting services for investors, help investors understand market dynamics and risks, and guide them to make investment decisions.

4. Conservative investors' interests:

When providing services to investors, securities practitioners should put the interests of investors first, and should not put their own interests above investors, nor seek personal gain in violation of regulations.

5. Risk assessment and warning:

Securities practitioners should assess the risk tolerance of investors, provide corresponding risk tips to investors, inform them of possible risks in investment, and help investors formulate reasonable investment strategies.

6. Provide complaint and feedback channels:

Securities institutions shall establish and improve the complaint handling mechanism, provide convenient channels for complaints and feedback, accept complaints from investors in a timely manner, and handle them in accordance with regulations.

7. Law-abiding and compliance management:

Securities institutions and their staff should strictly abide by laws and regulations, be honest and trustworthy, put an end to insider trading, fraudulent manipulation of the market and other illegal acts, and keep the market fair, just and transparent.

8. Continuing education and improving quality:

Securities practitioners should constantly learn professional ethics and business knowledge, improve their professional quality and better serve investors.