general clause
1. When a securities company sells securities and provides services to investors, it shall:
(1) Fully understand the basic information, property status, financial assets status, investment knowledge and experience, professional ability and other related information of investors;
(two) truthfully explain the important contents of securities and services, and fully reveal the investment risks;
(3) selling and providing securities and services that match the above conditions of investors.
If a securities company causes losses to investors, it shall bear the corresponding liability for compensation.
2. When purchasing securities and receiving services, investors shall provide the true information listed in the preceding paragraph in accordance with the explicit requirements of securities companies.
3. If a securities company refuses to provide information or fails to provide information as required, it shall inform the consequences and refuse to sell securities or provide services to it according to regulations.
Second, classification
(A) the division criteria
According to the property status, financial assets status, investment knowledge and experience, professional ability and other factors, investors can be divided into ordinary investors and professional investors.
1. Professional investors: The standards shall be stipulated by the securities regulatory authority of the State Council.
2. Ordinary investors (inversion of proof): When there is a dispute between ordinary investors and securities companies, the burden of proof is inverted, and if the securities companies cannot provide evidence, they shall bear the corresponding liability for compensation.
First, the system of collecting voting rights.
1. Lawyer: the board of directors, independent directors, shareholders holding more than 1% voting rights and investor protection agencies.
The board of directors of a listed company, independent directors, shareholders holding more than 65,438+0% of the shares with voting rights, or investor protection institutions (hereinafter referred to as investor protection institutions) established in accordance with laws, administrative regulations or the provisions of the the State Council Securities Regulatory Authority may, as sponsors, publicly request shareholders of the listed company to entrust them to attend the shareholders' meeting and exercise shareholders' rights such as proposal rights and voting rights on their behalf.
2. Lawyers should disclose solicitation documents: listed companies should cooperate.
3. No paid collection.
It is forbidden to publicly solicit shareholders' rights in a paid or disguised way, and no handling fee shall be charged.
4. Liability for illegal profit loss: If the public solicitation of shareholders' rights violates laws, administrative regulations and the relevant provisions of the State Council securities regulatory authority, and losses are caused to listed companies or their shareholders, they shall be liable for compensation according to law.
Second, promote the cash dividend system.
1. A listed company shall specify the specific arrangements and decision-making procedures for distributing cash dividends in its articles of association, and protect shareholders' right to return on assets according to law.
2. If the after-tax profit of a listed company in the current year has a surplus after making up losses and withdrawing statutory reserve funds, it shall distribute cash dividends in accordance with the provisions of the company's articles of association.