According to the code of conduct for securities practitioners,
(1) Engaging in or colluding with others in illegal activities such as fraud, insider trading and manipulation of securities trading prices;
(2) Fabricating and disseminating false information or information misleading investors;
(three) damage the public interests, institutions or the legitimate rights and interests of others;
(4) Engaging in businesses that have conflicts of interest with the performance of duties;
(five) derogate from peers or compete for business by other unfair competition means;
(6) Accepting bribes from stakeholders or offering bribes;
(seven) the sale of securities prohibited by law;
(eight) in violation of the provisions of the commitment to the customer investment without loss or guarantee the minimum income;
(9) Concealing, forging, tampering with or damaging transaction records;
(10) divulging customer information;
(eleven) other acts prohibited by the China Securities Regulatory Commission and the association.
Article 12 Specific prohibited acts of employees of securities companies:
(1) Acting as an agent to buy, sell or underwrite securities prohibited by law;
(2) Providing funds or securities to customers in violation of regulations.
(3) Embezzling or misappropriating clients' assets or changing the scope of entrusted investment without authorization.
(4) Accepting full authorization from clients in brokerage business;
(5) divulging proprietary trading information, recommending proprietary securities to customers, or inducing customers to buy or sell the securities. \
(six) other acts prohibited by the China Securities Regulatory Commission and the Association.
Thirteenth employees of fund management companies, fund custody and sales institutions specifically prohibit the following acts:
(a) in violation of the relevant information disclosure rules, unauthorized disclosure of securities trading information of the fund;
(2) Transferring benefits between different fund assets and between fund assets and other entrusted assets;
(3) Making use of fund-related information to seek personal gain for oneself or others;
(4) misappropriating the trading funds and fund shares of fund investors.
(five) misleading customers in the process of fund sales;
(six) other acts prohibited by the China Securities Regulatory Commission and the Association.
Article 14 Employees of securities investment consulting institutions, financial consulting institutions and securities credit rating agencies are explicitly prohibited:
(1) Accepting the entrustment of others to engage in securities investment;
(2) agreeing with the client to share the profits and losses of securities investment, or promising to give the proceeds of securities investment to the client.
(3) Writing and publishing an analysis report or rating report based on false information, inside information or market rumors;
(four) other acts prohibited by the China Securities Regulatory Commission and the Association.