Chapter I General Provisions Article 1 These Measures are formulated in accordance with the Securities Law and other 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 in the State Council, local people's governments, national judicial organs, industry organizations and overseas securities and futures regulatory agencies, share credit information, and promote the improvement of the social credit system. Chapter II Collection and Management 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, futures practitioners and fund practitioners;

(2) Investors and traders in the securities and futures markets;

(3) Securities issuers, listed companies, companies listed in the national share transfer system for small and medium-sized enterprises, enterprises listed in the regional equity market to transfer securities, and their directors, supervisors, senior managers, major shareholders and actual controllers;

(4) regional equity market operating institutions and their directors, supervisors and senior managers, and institutions that handle regional equity market account opening, fund depository, registration and settlement;

(5) Securities companies, futures companies, fund managers, bond trustees, bond issuers and their directors, supervisors, senior managers, major shareholders and actual controllers or executive partners, qualified foreign institutional investors, qualified domestic institutional investor and its major investment managers, representative offices of overseas securities institutions in China and their general representatives and chief representatives;

(6) Securities and futures service institutions such as accounting firms, law firms, sponsors, financial consulting institutions, asset appraisal institutions, investment consulting institutions, credit rating institutions, fund service institutions, futures contract delivery warehouses, quality inspection and quarantine institutions and their relevant employees;

(7) Senior managers of commercial banks or other financial institutions providing depository services for securities and futures business and their depository departments.

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

(9) Service organizations and their personnel that provide public relations services such as investor relations management for issuers, listed companies and companies listed in the national share transfer system for small and medium-sized enterprises;

(10) Institutions and personnel of the securities and futures media;

(eleven) personnel who interfere with the supervision and law enforcement work of the China Securities Regulatory Commission and its dispatched institutions by improper means;

(12) Other citizens, legal persons or other organizations that commit illegal and honest acts related to securities and futures market activities. 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, unified social credit code and other basic information;

(II) Commendation, reward 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 trading places, securities and futures market industry associations and securities registration and settlement institutions (hereinafter referred to as securities and futures market industry organizations), and credit rating and credit evaluation by credit rating agencies and 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, companies listed in the national share transfer system for small and medium-sized enterprises and their major shareholders, actual controllers, directors, supervisors and senior managers, parties to major asset restructuring transactions and purchasers have not been fulfilled, are being fulfilled or 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;

(eight) in violation of the provisions of Article 171st of the Securities Law, the parties under investigation have failed to fulfill their commitments due to their own reasons;

(9) Refusing to implement the administrative punishment decision and supervision and management measures that came into effect by the China Securities Regulatory Commission and its dispatched offices, and being made an administrative punishment or handling decision by the relevant authorities for refusing to cooperate with the supervision, inspection and investigation of the China Securities Regulatory Commission and its dispatched offices, and refusing to perform the reached securities and futures dispute mediation agreement;

(ten) the bond issuer fails to repay the principal and interest on schedule and other breach of contract, and the guarantor fails to perform the guarantee responsibility as agreed;

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

(twelve) information that improperly interferes with the supervision and law enforcement work of the China Securities Regulatory Commission and its dispatched offices, and is subject to administrative punishment or disciplinary action, or if the circumstances are minor, it will not be punished, but it is recognized by the discipline inspection or administrative supervision institution;

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

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

(fifteen) 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;

(sixteen) because of the illegal opening of securities and futures trading places or the organization of securities and futures trading by the local government administrative punishment or take corrective measures;

(17) Being expelled from a securities company, a futures company, a fund manager, a securities and futures service institution or an industry organization of the securities and futures market due to illegal and untrustworthy behavior;

(eighteen) information of breach of contract and dishonesty in credit transactions such as margin trading, refinancing, securities pledged repurchase, agreement repurchase and futures trading;

(nineteen) other acts in violation of the principle of good faith.