Futures service institutions (hereinafter referred to as operating institutions) shall abide by laws, administrative regulations, these Measures and other relevant provisions, be diligent and conscientious in the process of selling products or providing services, fully understand the situation of investors, conduct in-depth investigation and analysis of product or service information, make scientific and effective evaluation, and fully reveal risks.
Based on the different risk tolerance of investors, different risk levels of products or services, etc., put forward clear suitability matching opinions, sell or provide suitable products or services to suitable investors, and bear legal responsibility for illegal acts.
Investors should make prudent decisions and make independent decisions according to their own abilities on the basis of understanding the products or services and listening to the opinions of the operating institutions on the appropriateness.
Take investment risks.
The new regulations have also been revised in terms of the appropriateness system of financial futures investors. The main revisions include four aspects. First, adjust the time limit for fund verification, and adjust the time requirement of "the balance of available funds in the margin account is not less than 500,000 yuan when the investor applies for opening an account" in the current appropriateness management system of CICC to the time requirement of "the balance of available funds in the margin account is not less than 500,000 yuan for five consecutive trading days before the investor applies for opening an account". Second, it is clear that members of futures companies should implement the appropriateness system and implement unified comprehensive evaluation and multi-level audit requirements. The third is to adjust the implementation plan of knowledge testing. The fourth is to cancel the requirements for the implementation plan and related work system of the appropriateness system for member investors of futures companies.