Legal basis: Securities Law of People's Republic of China (PRC).
Article 57 Securities companies and their employees are prohibited from engaging in the following acts that harm the interests of customers: (1) buying and selling securities for customers against the entrustment of customers; (2) Failing to provide the customer with the transaction confirmation documents within the specified time; (3) buying and selling securities for clients without authorization, or buying and selling securities under the guise of clients; (4) Inducing customers to buy and sell securities unnecessarily in order to earn commission income; (five) other acts that violate the true meaning of customers and harm the interests of customers. Anyone who violates the provisions of the preceding paragraph and causes losses to customers shall be liable for compensation according to law.