Article 1 In order to strengthen the management of intermediary institutions, adapt to the changes in the securities market and make full use of various resources to expand customers, these Interim Administrative Measures are formulated.

Article 2 These Measures are formulated in accordance with the relevant provisions of the State and # #.

Article 3 Intermediaries as mentioned in these Measures refer to natural persons, legal persons and other economic organizations that, for the purpose of obtaining remuneration, facilitate clients to sign securities trading agency agreements with the Company or facilitate clients to purchase products sold by the Company. The middleman is neither a regular employee nor a temporary employee, and there is no labor employment relationship with # #.

Article 4 The management of intermediary institutions shall follow the principles of voluntariness, fairness, honesty and credibility.

Article 5 When conducting business, intermediaries must strictly abide by these Administrative Measures and the intermediary cooperation agreement signed with the company.

Article 6 The qualifications of intermediaries are as follows:

(1) China citizens who have reached the age of 18 and have full capacity for civil conduct;

(two) love the securities industry, have a strong sense of professionalism and social responsibility, with securities, insurance, banking, futures and other financial experience or product sales experience;

(3) Good conduct, honesty and trustworthiness, and good professional ethics;

(4) It has not been subjected to criminal punishment, major administrative punishment or market ban;

(five) have certain social relations and market development ability;

(6) There are at least 8 effective customers (single-family assets are more than 6,543.8+0,000 yuan), and the total assets of customers are at least 6,543.8+0,000 yuan.

Article 7 No one may become an intermediary under any of the following circumstances:

(1) A person without or with limited capacity for civil conduct;

(2) Having been subjected to criminal punishment, major administrative punishment and market ban.

(3) Persons prohibited by laws and regulations from engaging in securities business;

Article 8 Intermediary acts prohibited:

(a), shall not provide customers with positive opinions on price increase or price reduction;

(2) Do not frequently induce customers to participate in securities trading in order to increase trading volume;

(3) Do not promise to share trading commissions or give other kickbacks to customers, and do not accept customers' promise to share investment income;

(4) Do not sign entrusted financial management agreements (including oral agreements) with customers privately, and do not accept customers' full authorization to decide securities trading, variety selection, quantity or price for customers;

(five), shall not directly or indirectly introduce business to other securities institutions, shall not engage in other activities that damage the image and interests of # # securities;

(six) shall not engage in intermediary business in other securities companies.

Article 9 Termination of intermediary

If the broker commits one of the following acts, each business department has the right to terminate the cooperation at any time:

(1) Being punished by the relevant departments for violating national laws and regulations and the administrative measures of the competent departments of industry;

(two) in violation of # # relevant management measures and regulations;

(three) illegal operation, damage to the interests of the company or customers, the specific performance is as follows

1, violating the Securities Law and other relevant laws;

2. The broker has the behavior of * * * sharing benefits with customers and taking risks * * * *;

3. The broker has accepted the full authorization of the client;

4. Practise fraud and cheat customers against their wishes;

5. Revealing customer information and secrets of the company and customers;

6. Introduce customers to other securities institutions.

Article 10 Customer Confirmation of Intermediaries

1. If the assets and commission standard of a customer's single account are lower than that stipulated by the company, it will not be included in the assessment; If the customer occupies the on-site seat, a fee will be charged;

The income ratio of open-end funds and derivatives shall be implemented according to the company's regulations at that time; Bonds, B shares, and repurchase customers are not counted as commissions in principle;

2. The clients of brokers should not include

(1) Make an appointment in advance for customers who open accounts in the sales department;

(2) Customers who come to our business department to open accounts;

(3) Customers who closed their accounts in various business departments of our company but reopened their accounts in a short time (1February);

(4) Existing customers of the business department.

3. The identity of the broker needs to be confirmed by the general manager of the account opening business department, the operation (marketing) director of the business department and two managers, and it will take effect after filling out the Brokerage Information Declaration Form and reporting it to the company's brokerage business headquarters for approval; Only when the assets reach 1 10,000 within 3 months and the number of effective customers is 8 can the regulations on intermediary institutions be implemented.

4. The broker strictly implements the system of opening an account by appointment, subject to the confirmation letter of customer intermediary service filled out by the customer;

Article 11 The brokerage headquarters, marketing department, audit department and finance department of the company have the right to check the authenticity of the broker's identity and the authenticity of the clients under the broker's name through interviews, telephone calls and unannounced visits. Once fraud is found, the broker's identity will be revoked, and the responsibility of the general manager of the business department, the director of operation (marketing) of the business department and relevant responsible persons will be investigated.

Article 12 The specific income distribution form of intermediary institutions is "monthly net income commission". Monthly distribution: commission is calculated according to the monthly net income contributed by customers under each intermediary name. Net income = commission income-handling fee-business tax and business tax surcharge-management fee

Fees = fees charged according to the transaction volume according to the regulations of China Securities Regulatory Commission and Stock Exchange; Business tax and business tax surcharge are 5.65% of commission income, which are adjusted at any time according to state regulations; The management fee is only charged to the on-site agent and adjusted every year. The standard for 2008 is

50 yuan per seat per month on site.

1, and the specific income commission standard is

Note: Royalty rate is calculated according to the current policy. In case of adjustment of national tax and commission policies, the royalty ratio will be adjusted separately.

2.# # # # Pay the broker monthly, and the broker will withhold and pay personal income tax or provide tax payment certificate.

3. Brokers do not enjoy basic salary and bonus, and do not enjoy any welfare benefits. Article 13 The right to interpret these Measures belongs to # # Brokerage Co., Ltd., and the company has the right to make timely adjustments to relevant clauses according to changes in the securities market; The revised terms shall prevail. ?

Article 14 These Measures shall be implemented as of 1 month 1 day, 2008.