First, fear the law and abide by the rules. Employees should abide by the articles of association, respect the relevant laws and regulations, regulatory provisions, self-discipline rules and ethics of the securities industry, firmly establish the concept of exhibition industry that is legal and compliant, and abide by the law, consciously accept supervision and self-discipline management, and resist acts that violate the rules and ethics.

Second, be honest and trustworthy, and be diligent and conscientious. Employees should keep their promises, cherish the industry reputation and professional reputation, abide by the spirit of contract, protect and rationally use entrusted assets, disclose relevant information truthfully, accurately and completely, and consciously resist fraud, misleading and deception.

Third, be honest, rigorous and professional. Employees should abide by professional ethics, code of conduct, seek truth from facts, be impartial and selfless, provide services to investors and other stakeholders objectively, prudently and professionally, and consciously resist the use of asymmetric resources and information to harm the legitimate rights and interests of customers and other stakeholders.

Fourth, be prudent and prudent, and strictly control risks. Practitioners should firmly establish the awareness of risk bottom line, improve the ability of risk identification, response and resolution, practice cautiously, consciously fulfill their reporting obligations, strictly guard against all kinds of business risks caused by improper behavior in the practice process, and consciously resist fluky psychology and short-sighted behavior.

Five, fair and upright, honest and self-disciplined. Practitioners should establish a correct outlook on the world, life, values and interests, be honest and self-disciplined, maintain a clean and standardized relationship with customers in conducting securities business and related business activities, and consciously resist the act of directly or indirectly conveying or seeking illegitimate interests to others.

Definition of securities practitioners:

According to the regulations, securities practitioners mainly refer to the following persons:

1. Deputy general manager of securities intermediary institutions, except the deputy general manager who is not in charge of securities business in securities operating institutions and institutions specified in item (5) of this paragraph.

2, the securities business institutions have securities business department, deputy manager.

3. The securities business department has a securities institution and a deputy manager.

4. Professionals engaged in securities agency issuance business in securities institutions.