1. Operating institutions should first understand the necessary information of investors, divide investors into professional categories and general categories according to the standards stipulated in the Measures, and further subdivide them under the two categories in order to provide more targeted services.
2. Business institutions shall fully understand the information of products sold or services provided, and classify the products sold or services provided according to the risk characteristics and risk degree, combined with the considerations specified in the Measures, and compared with the risk grade list of products or services formulated by industry associations.
3. According to the different classifications of investors, the operating organization judges the products or services that investors are suitable to buy, and puts forward the opinions of suitability matching for investors' reference.
4. An operating institution shall formulate and strictly implement an appropriate internal management system, restrict risk control such as mismatched sales behavior, customer return visit inspection, evaluation and sales isolation, clarify the specific basis, methods and processes of investor classification, product or service grading and appropriate matching, and supervise and accountability to ensure that employees effectively perform their appropriate obligations.
5. When selling products or providing services to ordinary investors, operating institutions need to inform the possible risk information of products. When providing high-risk products or services, special care obligations should be fulfilled, including formulating special working procedures, knowing relevant information in detail, informing special risk points, giving ordinary investors more time to consider or increasing the frequency of return visits.