(a) using undisclosed information to engage in insider trading or trading activities, revealing insider information or other undisclosed information obtained by taking advantage of work convenience, or explicitly or implicitly engaging in insider trading activities by others;
(2) Taking advantage of capital advantage, shareholding advantage and information advantage to influence the price or volume of securities trading individually or in collusion, misleading and interfering with the market;
(3) fabricating and disseminating false information, or making false statements or misleading information to disrupt the securities market.
(four) damage the public interests, institutions or the legitimate rights and interests of others;
(5) Engaging in businesses that have conflicts of interest with the performance of duties;
(6) accepting or bribing stakeholders, such as accepting or giving gifts, kickbacks, remuneration or gratuities, or engaging in activities that may lead to conflicts of interest with investors or institutions;
(seven) the sale of securities prohibited by law;
(8) Transferring benefits to any institution or individual by taking advantage of work, and harming the interests of customers and institutions;
(nine) in violation of regulations, make a promise to the customer that the investment will not lose money or guarantee the minimum income;
(10) Concealing, forging, tampering with or damaging transaction records;
(eleven) other acts prohibited by the China Securities Regulatory Commission and the association.