Brokerage activities as mentioned in these Regulations refer to the intermediary service behavior of brokers in the fields of economy, science and technology, culture, sports, information and so on except financial and futures trading activities. Article 3 All brokers engaged in brokerage activities within the administrative area of this Municipality shall abide by these Regulations. Article 4 Brokers engaged in brokerage activities shall abide by the provisions of laws and regulations and follow the principles of voluntariness, equality, fairness, honesty and credibility.
The legitimate rights and interests of brokers are protected by law, and no unit or individual may infringe upon them. Article 5 Brokers shall practise industry management. Brokerage industry organizations are responsible for the management of brokers and brokerage activities, and accept the guidance and supervision of the administrative department for industry and commerce. Chapter II Registration Management Article 6 A broker shall apply to the administrative department for industry and commerce for registration and obtain a business license before engaging in brokerage activities. Article 7 A brokerage enterprise shall meet the following conditions:
(1) Having a name and articles of association that meet the requirements;
(2) Having a fixed business place and necessary facilities;
(3) Its registered capital is not less than 30,000 yuan;
(four) there are not less than three full-time personnel who meet the requirements of brokers;
(5) Other conditions stipulated by laws and regulations. Article 8 An individual broker shall meet the following conditions:
(1) Having full capacity for civil conduct;
(2) Having an honest and reliable reputation;
(3) Familiar with relevant laws and regulations;
(four) to master the business knowledge of brokerage activities. Article 9 Brokerage service enterprises are allowed to be established to provide places, facilities and information for individual brokers to settle accounts and pay taxes on their behalf.
The establishment of a brokerage service enterprise shall apply to the administrative department for industry and commerce for registration and obtain a business license according to law. Tenth brokerage service enterprises to provide services to individual brokers, you can charge a certain margin and service fees.
Brokerage service enterprises shall regularly submit the activities of individual brokers and their services to the administrative department for industry and commerce. Eleventh brokers need to change the registered items or suspend business, should go through the relevant formalities at the original registration department. Chapter III Brokerage Activities and Supervision and Administration Article 12 Brokers may engage in brokerage activities in commodity trading places that are allowed to enter the market by the state.
Where the state has restrictive regulations on commodity trading, brokers shall conduct brokerage activities in accordance with relevant state regulations. Article 13 A broker shall enjoy the following rights in brokerage activities:
(a) to accept the brokerage entrustment of both parties or one of them;
(2) Asking the client to provide true and reliable relevant information;
(3) Obtaining commissions and other expenses as agreed or agreed;
(four) when the legitimate rights and interests are infringed, apply to the arbitration organ for arbitration or bring a lawsuit to the people's court according to law. Article 14 A broker shall perform the following obligations in his brokerage activities:
(a) truthfully introduce the situation related to the transaction;
(2) Keeping business secrets for the parties concerned;
(three) accept the supervision and management of the relevant state organs;
(4) Paying taxes and fees according to law. Article 15 A broker shall not engage in the following activities:
(1) Providing intermediary services for transactions prohibited by laws and regulations;
(two) by means of fraud, coercion, commercial bribery, malicious collusion and other means to facilitate the transaction;
(three) in the brokerage activities, direct transactions with both parties or one party on the entrusted matters. Article 16 Unless the brokerage activities are settled immediately, the broker shall conclude a written brokerage contract with the client, or stipulate the brokerage terms in the contract signed by both parties to the transaction.
Brokerage contracts or brokerage clauses shall specify the following items:
(1) Names and domiciles of clients and brokers;
(2) Entrust matters, time limit and requirements;
(3) The amount, payment method and time of the commission;
(four) the amount, payment method and time of the deposit and brokerage fee;
(5) Liability for breach of contract;
(six) the way to solve the dispute;
(seven) other matters agreed by both parties. Article 17 Brokers shall collect commissions on the condition that the introduced transaction items are concluded. The amount of commission collected, if agreed, shall be paid in accordance with the agreed terms; If there is no agreement, it can be charged at 0.5% to 5% of the total turnover of goods or 5% to 10% of the total turnover of technology.
When collecting commissions, brokers must issue unified invoices stipulated by the tax authorities. Article 18 A broker engaged in brokerage activities shall keep business records and set up accounting books in accordance with relevant state regulations. Article 19 The administrative department for industry and commerce and the relevant administrative departments are responsible for supporting, guiding, managing and supervising brokers and their brokerage activities, and ensuring the implementation of relevant brokerage laws and regulations. Article 20 A broker may establish a broker association. The establishment of a broker's association shall go through the registration formalities according to law.