Futures companies and their employees shall not make false or misleading propaganda on the ability of futures investment consulting services, and shall not deceive or mislead customers.
Article 11 A futures company shall, in accordance with the relevant provisions on information publicity, publicize the company's business qualifications, professional qualifications of personnel, service contents, complaint methods and other relevant information on its business premises, company website and website of China Futures Association.
Article 12 When conducting futures investment consulting business, a futures company shall follow specific business operation norms, adapt to its own management ability, business level and staffing, effectively implement the management system of futures investment consulting business, strengthen compliance inspection and guard against business risks.
Article 13 A futures company and its employees shall not commit the following acts when conducting futures investment consulting services:
(1) Guaranteeing profits to customers, or agreeing to share profits or bear risks;
(2) Providing futures investment consulting services to clients based on false information, market rumors or inside information;
(3) manipulating futures trading prices, conducting insider trading, or spreading false or misleading information by using futures investment consulting activities.
(4) collecting service remuneration in the name of an individual;
(5) Other acts prohibited by futures laws and regulations.
Futures investment consultants shall not accept clients' entrustment to engage in futures trading when carrying out futures investment consulting services.
Article 14 A futures company shall know the identity, financial status and investment experience of its customers. Carefully assess customers' risk preferences, risk tolerance and service needs in advance, and save relevant information of customers in written and electronic forms.
A futures company shall, according to the specific service needs of customers' futures investment consulting, reveal the futures market risks and clearly inform customers to bear the futures market risks independently.
Article 15 A futures company shall sign a futures investment consulting service contract with its customers, and clearly stipulate the specific contents, charging standards and other related matters of the service.
Futures investment consulting service contract guidelines and risk disclosure forms are formulated by China Futures Association.
Article 16 When providing risk management services, futures companies should give full play to their professional advantages, formulate risk management systems or operating procedures that meet their own needs, and provide targeted risk management consulting or training, and must not exaggerate the risk management functions of futures.
Futures companies should regularly assess the effectiveness of risk management services and customer feedback, and constantly improve their risk management service capabilities.
Article 17 When providing research and analysis services, futures companies shall treat customers fairly and take effective measures to ensure that research analysts independently form research and analysis opinions and conclusions.
A futures company shall establish a review, management and use mechanism for research and analysis reports and information, and conduct review and compliance inspection on the use of research and analysis reports and information.
A futures company shall take effective measures to prevent research analysts and other personnel within the company from using research reports and information to seek illegitimate interests for themselves and other stakeholders.
Article 18 Research analysts shall be responsible for the contents and viewpoints of research and analysis reports, and ensure that the information sources are legal and compliant, the research methods are professional and prudent, and the analysis conclusions are reasonable.
The research and analysis report shall be made in an appropriate written or electronic form, indicating the name of the futures company and its business qualifications, the name of the research analyst, the number of the employment certificate, the date of production, etc. , and at the same time indicate the source of relevant information, the limitations of research and analysis opinions and the risk warning of users.
The research and analysis reports produced and provided by futures companies shall not infringe upon the intellectual property rights of others.
Article 19 When providing trading consulting services, a futures company shall clearly indicate to customers whether there is any conflict of interest, prompt potential market changes and investment risks, and shall not make definitive judgments on market conditions.
The investment plan or futures trading strategy provided by a futures company shall be based on the company's research report, legally obtained research report, relevant industry information and publicly released relevant information.
A futures company shall inform its customers to make futures trading decisions independently, bear the consequences of futures trading independently, and shall not disclose the investment decision-making plan information of customers.
Article 20 When a futures company provides trading consulting services or services with similar functions to customers with futures trading software and terminal equipment as carriers, it shall implement these Measures, explain the basic functions of trading software and terminal equipment to customers, reveal the limitations of use, and explain the sources of relevant data and information, and shall not make false or misleading propaganda on the use value or functions of trading software and terminal equipment.
Article 21 A futures company shall manage the operation of futures investment consulting business by leaving traces, and properly keep the business data of futures investment consulting business such as risk disclosure, contracts, risk management opinions, research and analysis reports, trading consulting suggestions, futures trading software or terminal equipment descriptions in accordance with the retention period and requirements stipulated by the China Securities Regulatory Commission.
Article 22 A futures company shall effectively implement the provisions on customer return visits and complaints in the Management System of Futures Investment Consulting Business, clarify the contents, requirements and procedures of customer return visits and complaints, and properly handle customer complaints in a timely manner.