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Compliance learning for securities practitioners

1. Code of conduct for securities practitioners (eight musts and ten don’ts)

Eight Must:

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

2. Be passionate about your job, work hard to study business, and continuously improve your business level and work ability. ;

3. We must adhere to the principles of "fairness, impartiality, and openness" to protect the legitimate rights and interests of investors;

4. We must strictly abide by operating procedures and execute customer instructions accurately and timely. Keep customer secrets;

5. Be enthusiastic, sincere, civilized and courteous, and establish a "customer first" professional ethics;

6. Be obedient to management, standardize services, be loyal to duties, and maintain securities Normal order in transactions;

7. Unite colleagues, coordinate and cooperate, and properly handle various conflicts that arise in business activities;

8. Cherish the professional honor of the securities industry and consciously Maintain the reputation of the industry and the unit.

Ten Don’ts:

1. Do not buy or sell securities for yourself or your relatives and friends;

2. Do not provide false and irresponsible information to customers , to induce customers to buy or sell;

3. Do not agree with customers, issuing companies or related personnel to obtain improper benefits;

4. Do not make changes to customers’ transactions;< /p>

5. It is not allowed to misappropriate the client’s securities or funds, or use the client’s name or account to buy or sell securities

6. It is not allowed to disclose the client’s entrustment and related transaction status to others;

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

8. It is not allowed to provide overdrafts for customers;

9. Influence or attempt to influence the trading behavior of customers for the interests of the unit;

10. Any market manipulation is not allowed.