Article 1 In order to promote the healthy development of the capital market, purify the ecological environment of the capital market, protect the legitimate rights and interests of investors, and effectively strengthen the supervision and management of securities and futures operating institutions and their staff, these Provisions are formulated in accordance with the Securities Law, the Securities Investment Fund Law, the Regulations on the Supervision and Administration of Securities Companies and the Regulations on the Administration of Futures Trading. Article 2 The term "practicing in good faith" as mentioned in these Provisions means that securities and futures institutions and their staff strictly abide by laws and regulations, the provisions of the China Securities Regulatory Commission and the rules of industry self-discipline, abide by social ethics, business ethics, professional ethics and codes of conduct, compete fairly, operate in compliance, be loyal and diligent, be honest and trustworthy, and do not directly or indirectly convey illegitimate interests to others or seek illegitimate interests. Article 3 The China Securities Regulatory Commission shall strengthen the supervision and management of securities and futures operating institutions and their staff's honest practice.

Self-regulatory organizations such as China Securities Association, China Futures Association and China Asset Management Association conduct clean and self-disciplined management of securities and futures operating institutions and their staff in accordance with their articles of association and relevant self-regulatory rules. Article 4 Securities and futures institutions shall bear the main responsibility for risk prevention and control of clean business.

The board of directors of securities and futures operating institutions shall determine the objectives of clean management and be responsible for the effectiveness of clean management.

The main person in charge of the securities and futures operating institutions is the first responsible person to perform the duties of clean government management, and the responsible persons at all levels bear the corresponding management responsibilities within the scope of their duties. Article 5 A securities and futures trading institution shall designate a special department to supervise and inspect the integrity of the institution and its staff, give full play to the joint efforts of discipline inspection and supervision, compliance, auditing and other departments, deal with problems in time when they are found, and report major situations in time. Article 6 Securities and futures institutions shall establish and improve the internal control system of clean government, formulate specific and effective pre-risk prevention systems, in-process control measures and post-event accountability mechanisms, conduct scientific and systematic clean government risk assessment on business types, links and related work, identify clean government risk points, strengthen post-event checks and balances and internal supervision mechanisms, and ensure effective operation.

The business types and links mentioned in the preceding paragraph include business contracting, undertaking, sales, trading, settlement, delivery, investment, procurement, business cooperation, personnel recruitment, application for administrative license, acceptance of supervision and law enforcement and self-discipline management. Article 7 Securities and futures institutions shall formulate standards for employees' honesty, specify requirements for honesty, strengthen training and education for employees' honesty, and cultivate a culture of honesty.

Securities and futures operating institutions shall incorporate employees' honest practice into the employee management system, and inspect and evaluate their honest practice under the conditions of employment, promotion, promotion, resignation, assessment and audit. Article 8 Securities and futures institutions shall strengthen financial discipline and put an end to off-balance-sheet accounts and other irregularities. Formulate clear internal decision-making processes and specific standards for expenses incurred in business activities to ensure that relevant expenses are legal and compliant. Article 9 When engaging in securities and futures business and related activities, securities and futures operating institutions and their staff members shall not convey illegitimate interests to public officials, customers, potential negotiating customers or other interested parties in the following ways:

(a) providing gifts, gifts, real estate, cars, securities, equity, commission returns and other property, or providing convenience for the above acts;

(two) to provide travel, banquets, entertainment and fitness, work arrangements and other benefits;

(3) Arranging transactions such as structured, high-yield and capital-guaranteed wealth management products that obviously deviate from fair prices;

(4) directly or indirectly providing others with inside information, undisclosed information, trade secrets and customer information, and engaging in relevant trading activities, either explicitly or implicitly;

(5) Other circumstances that convey illegitimate interests.

The provisions of the preceding paragraph shall not apply to securities and futures institutions and their staff who conduct reasonable marketing in accordance with the internal regulations and limited standards formulated by securities and futures institutions according to law. Article 10 Staff members of securities and futures institutions shall not seek illegitimate interests in the following ways:

(1) directly or indirectly accepting or soliciting other people's property or interests in the forms listed in Article 9;

(2) directly or indirectly using insider information, undisclosed information, business secrets and customer information provided or actively obtained by others to seek benefits;

(3) Seeking benefits by inducing clients to conduct unnecessary transactions or using clients' entrusted assets to conduct unnecessary transactions;

(4) engaging in profit-making business activities in violation of regulations, holding positions that may affect their independence in violation of regulations, or engaging in activities that conflict with the legitimate interests of their institutions or investors;

(five) illegal use of authority to provide convenient conditions for close relatives or other interested parties to engage in profit-making business activities;

(six) other circumstances to seek illegitimate interests. Article 11 Securities and futures institutions and their staff members shall not interfere, instruct or assist others to interfere in securities and futures supervision and management or self-discipline management in the following ways:

(a) to influence the decision of supervision and management or self-discipline management in an improper way;

(two) affect the work arrangement of the supervision and management or self-discipline management personnel in an improper way;

(3) Obtaining internal information of supervision and management or self-discipline management by improper means;

(4) assisting interested parties, refusing, interfering, obstructing or not cooperating with supervisors in exercising their functions and powers of supervision, inspection and investigation;

(5) Other circumstances that hinder the supervision and administration of securities and futures or self-discipline.