Compliance learning of securities practitioners

I code of conduct for securities practitioners (eight requirements and ten prohibitions)

Eight elements:

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 professional level and work ability;

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

4, to strictly abide by the operating rules, accurate and timely implementation of customer instructions, keep customer secrets;

5. Enthusiastic and sincere, civilized and polite, and establish a professional ethics of "customer first";

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

7. 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 units.

Ten no:

1. Do not 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. Do not agree with customers, card issuing companies or relevant personnel to obtain illegitimate interests;

4. It is not allowed to modify the customer's transaction;

5. Never misappropriate clients' securities or funds, and never use clients' names or accounts to buy or sell securities.

6. Do not disclose the entrusted matters of customers and related transactions to others;

7. Do not accept the full authorization of customers to buy and sell securities;

8. Customers are not allowed to overdraw;

9. Don't influence or try to influence the trading behavior of customers because of the interests of yourself or the unit;

10, without manipulating the market.