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:
Intermediary agencies are not affiliated with any organization, and should carry out intermediary business in their own names, truthfully report to the clients, and independently bear all legal consequences arising from intermediary activities.
1. Liability for breach of contract. If a natural person intermediary violates the relevant contents of the intermediary contract signed with a futures company, it shall pay liquidated damages to the futures company or compensate the futures company for the losses caused by its breach of contract.
Second, tort liability. When a natural person intermediary institution engages in the following illegal acts, it shall bear the tort liability:
1. If a customer makes a wrong judgment because the natural person broker intentionally conceals important facts or makes false statements, and suffers losses by opening an account or trading based on this wrong judgment, the natural person broker shall be liable for compensation.
2. Natural person intermediaries (agents, etc.) engaged in other businesses. Simple intermediary business other than) should obtain corresponding qualifications. Those who practice beyond the business scope limited by qualifications and cause losses to customers shall be liable for compensation.
3. Intermediaries qualified as trading agents shall be liable for compensation if they violate the principles of honesty, prudence, diligence and interests of customers when engaging in futures trading on behalf of customers.
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