1. Do not take advantage of his position to engage in securities trading activities for the purpose of obtaining speculative interests. Securities practitioners use their positions to engage in securities trading activities in order to gain speculative interests, which not only violates relevant laws and regulations, but also infringes on the legitimate rights and interests of investors, encourages speculation in the securities market and may lead to abnormal fluctuations in the securities market.
2. Do not provide customers with positive opinions on the rise and fall of securities prices. The securities market is unpredictable, and practitioners in the securities industry provide customers with affirmative opinions on price changes. Once customers are lost due to wrong prediction, it is likely to lead to legal disputes, which will affect the interests of customers and the reputation of employees and the securities industry.
3. Do not reach an agreement with the card issuing company or relevant personnel to obtain improper benefits. This agreement not only violates the principle of "three publics", but also violates national laws. The income obtained from this agreement is illegal and will be subject to administrative punishment and even legal sanctions.
4. Do not induce customers to participate in securities trading. Securities investment is a kind of venture capital, and the future investment income is uncertain. Investors should have certain economic and psychological endurance to the possible consequences, and bear legal responsibilities independently. Whether to participate in securities trading should be decided by the customer. It is irresponsible for securities practitioners to persuade customers to participate in securities trading without taking corresponding responsibilities on their behalf. This is actually for the benefit of small groups of securities companies, which damages the interests of customers, not only damages the credibility of the securities industry, but may even lead to unnecessary disputes.
5. Do not accept the entrustment of sharing benefits. To accept the entrustment of the client, various fees shall be charged according to the prescribed standards. If you share the profits while accepting the entrustment of customers, it is not only an infringement, but also a violation of the relevant regulations that employees are not allowed to engage in securities trading.
6, shall not guarantee income to customers. The risk of securities investment is the uncertainty of securities investment income, and it is difficult for anyone to guarantee the expected income level of securities investment. Make such a guarantee to the customer. It will affect the investment decision of customers, and may lead to the deviation between the actual income level and the expected income. Obviously, it is against the professional ethics of securities practitioners to make such a guarantee to customers.
7. Do not accept the clients' full authorization on the types, quantity, price and trading of securities. According to relevant laws and regulations, clients who participate in NYSE securities investment must be people with full capacity, be able to independently bear legal responsibilities for investment activities, and take full responsibility for securities transactions in their accounts or under their names. Securities practitioners accept full authorization, which is essentially to make investment decisions on behalf of customers, which violates the above provisions.
8. You have to take advantage of your dominant position in the transaction to restrict customers' business activities in order to eliminate competition. In order to stay ahead of the competition, it is against the principle of "three publics" to restrict customers' business activities by using special or superior conditions in transactions. Securities practitioners should treat all customers equally, whether they are big customers or small customers, whether they are competitors or competitors.
Extended data assurance behavior
1, love my job, accurately carry out customer instructions, and keep secrets for customers. Customers are the professional objects of the securities industry, and their orders represent their investment decisions and are related to their investment interests. Securities practitioners should accurately, timely and completely implement customer instructions.
Clients' funds and securities are their legal property, and securities institutions are entrusted by clients to keep these properties on their behalf according to law. Except for illegal acts, securities practitioners shall keep the clients' investments, funds and securities holdings strictly confidential and shall not disclose them to others at will, except as otherwise provided by relevant laws.
2. Study hard to improve your professional level and work efficiency. Securities business has strong professional characteristics and certain technical operation requirements. At the same time, we constantly explore and innovate, introduce new varieties and develop new businesses.
This requires employees to have a solid professional knowledge base and a wide range of knowledge. They should constantly study and study their own business, improve their professional quality and knowledge level, meet the requirements of the securities market for employees, and improve their competitiveness while serving customers better.
3. Abide by national laws and various systems related to securities business. The securities industry is closely related to the interests of the state and investors. The relevant laws of the state and the rules and regulations formulated by the securities administration department are the legal and institutional guarantee for the legitimate rights and interests of all economic entities, and are also the basis for securities business operation. Securities practitioners should consciously abide by the law, so as to restrain and regulate their own behavior.
References:
Baidu encyclopedia-securities practitioners