Chapter I General Provisions Article 1 These Measures are formulated in accordance with relevant laws and administrative regulations in order to strengthen the integrity construction of the securities and futures market, protect the legitimate rights and interests of investors, maintain the order of the securities and futures market and promote the healthy and stable development of the securities and futures market. Article 2 The China Securities Regulatory Commission (hereinafter referred to as the China Securities Regulatory Commission) shall establish a national unified database of integrity files of the securities and futures markets (hereinafter referred to as integrity files) to record the integrity information of the securities and futures markets. Article 3 These Measures shall apply to the definition, collection and management of credit information recorded in credit files, the disclosure and inquiry of credit information, and the restraint, encouragement and guidance of credit. Article 4 Citizens (natural persons), legal persons or other organizations engaged in securities and futures market activities shall be honest and trustworthy, abide by laws, administrative regulations, rules and self-discipline rules formulated according to law, and prohibit dishonest and trustworthy behaviors that damage the legitimate rights and interests of investors, such as fraud, insider trading and market manipulation. Article 5 The China Securities Regulatory Commission encourages and supports honest citizens, legal persons or other organizations to engage in securities and futures market activities, and implements honest restraint, encouragement and guidance. Article 6 The China Securities Regulatory Commission may establish a credit supervision cooperation mechanism with other departments, local governments, judicial organs and trade organizations in the State Council, share credit information, and promote the improvement of the social credit system. Chapter II Collection of Credit Information Article 7 The credit information of the following citizens, legal persons or other organizations engaged in securities and futures market activities shall be recorded in the credit files:

(1) Securities practitioners and futures practitioners;

(2) Issuers, listed companies and their directors, supervisors, senior managers, major shareholders and actual controllers;

(3) Securities companies, fund management companies, futures companies and their directors, supervisors, senior managers, major shareholders and actual controllers;

(4) Securities and futures service institutions such as accounting firms, law firms, sponsors, financial consulting institutions, asset appraisal institutions, investment consulting institutions, credit rating agencies and their employees;

(5) Independent fund sales institutions, fund evaluation institutions and their relevant business personnel, private fund managers, qualified foreign institutional investors, qualified domestic institutional investor and its main investment managers, representative offices of overseas securities institutions in China and their chief representatives;

(6) Suppliers who provide information technology services or software and hardware products for the securities and futures industry;

(7) service agencies and their personnel that provide investor relations management and other public relations services for issuers and listed companies;

(eight) other citizens, legal persons or other organizations related to the activities of the securities and futures market. Article 8 The term "good faith information" as mentioned in these Measures includes:

(a) the citizen's name, gender, nationality, identity card number, legal person or other organization's name, domicile, organization code and other basic information;

(2) Commendation, award and appraisal by the China Securities Regulatory Commission, other competent departments in the State Council and other provincial and ministerial units, as well as national securities and futures market industry organizations such as securities and futures exchanges, securities and futures market industry associations and securities registration and settlement institutions (hereinafter referred to as securities and futures market industry organizations), and the credit rating of credit rating agencies.

(three) the administrative licensing decision made by the China Securities Regulatory Commission and its dispatched offices;

(4) The public commitments made by issuers, listed companies and their major shareholders, actual controllers, directors, supervisors and senior managers, parties to major asset restructuring transactions, and purchasers have not been fulfilled or are not fulfilled as scheduled, are being fulfilled, and have been fulfilled as scheduled;

(5) Administrative penalties, market ban decisions and supervision and management measures made by the China Securities Regulatory Commission and its dispatched offices;

(6) Disciplinary measures and management measures implemented by laws, administrative regulations and trade organizations in the securities and futures market;

(7) Being placed on file for investigation by the China Securities Regulatory Commission and its dispatched offices for suspected securities and futures violations and taking compulsory measures;

(8) Being transferred to a public security organ or a people's procuratorate for handling by the China Securities Regulatory Commission and its dispatched offices for suspected securities and futures crimes;

(9) Being sentenced to punishment by the people's court for securities and futures crimes or other crimes;

(10) Being judged by the people's court to bear greater civil liability for compensation for securities and futures infringement or breach of contract;

(eleven) due to illegal business activities by the banking, insurance, finance, taxation, environmental protection, industry and commerce, customs and other relevant departments to give administrative punishment;

(twelve) other acts in violation of the principle of good faith. Article 9 Information such as commendation, awards, appraisal and credit rating of citizens, legal persons or other organizations listed in Article 7 of these Measures shall be declared by myself to the China Securities Regulatory Commission and its dispatched offices and recorded in the credit files. Article 10 The credit information in Item (1), Item (3) to Item (8) of Article 8 of these Measures shall be collected by the China Securities Regulatory Commission, its dispatched offices and industry organizations in the securities and futures markets according to their duties and recorded in the credit files. Article 11 The credit information in Items (9) to (11) of Article 8 of these Measures shall be collected and recorded in credit files by the China Securities Regulatory Commission and its dispatched offices through government information disclosure and credit information sharing.