1. Intermediaries engaged in intermediary business or other related futures business shall obtain corresponding professional qualifications and conduct business in strict accordance with the scope permitted by the qualifications.
2. In the course of business development, intermediaries shall not engage in acts that damage the legitimate rights and interests of customers or futures companies or disrupt the order of the futures market. Intermediaries qualified as trading agents shall follow the principles of prudence, diligence, serving the interests of customers and treating all customers equally.
3. It is forbidden to engage in fraudulent acts that infringe on the rights and interests of customers, such as false propaganda, profit guarantee and misappropriation of customer deposits. It is forbidden to collect, deposit, withdraw or transfer futures deposits on behalf of customers. It is forbidden to provide financing to customers.
4. When the broker collects the commission, it shall inform the customer through the intermediary agreement or futures brokerage contract.
6. Intermediaries and futures companies must sign an intermediary agreement. It is forbidden for intermediaries to establish intermediary relations with more than two futures companies at the same time.
7. Unfair competition is prohibited.
Extended data
Obligations of the parties to an intermediary contract
1. Obligation to report contract signing opportunities or provide media for signing contracts. The broker shall truthfully report to the client the matters related to the conclusion of the contract.
2. Loyalty obligation. Brokers shall truthfully report matters related to the conclusion of contracts and other relevant information.
3. The obligation to bear the intermediary fee. If the broker facilitates the establishment of the contract, the expenses of the intermediary activities shall be borne by the broker.
4. Obligation of anonymity and confidentiality. In media intermediation, if one or both parties designate the intermediary not to tell the other party his name or business name, the intermediary has the obligation not to tell the other party his name or business name, which is the obligation of anonymity. This kind of intermediary is also called anonymous intermediary or anonymous media.
5. The obligation to intervene. The intermediary's obligation to intervene refers to the obligation of the intermediary to perform the responsibility as an assistant instead of the anonymous party under certain circumstances and accept the payment from the other party.
Refer to Baidu Encyclopedia-Futures Broker