Article 2 Securities practitioners shall abide by these Standards when engaging in securities business.
Article 3 The Securities Association of China (hereinafter referred to as "the Association") conducts self-discipline management on the practice of employees in accordance with these Standards. The self-discipline management of the Association is guided and supervised by the China Securities Regulatory Commission (hereinafter referred to as the China Securities Regulatory Commission).
Article 4 The securities practitioners mentioned in these Standards (hereinafter referred to as "practitioners") refer to:
(1) Managers and business personnel of securities companies and securities brokers who have signed entrustment contracts with securities companies;
(2) Managers and business personnel of the fund management company.
(3) Managers and business personnel engaged in fund custody or sales in fund custody and sales institutions;
(4) Managers and business personnel of securities investment consulting institutions;
(5) Managers and business personnel of financial advisory institutions engaged in mergers and acquisitions of listed companies;
(6) Managers and business personnel engaged in securities rating business in credit rating agencies in the securities market;
(seven) other personnel as prescribed by the association.
Securities companies, fund management companies, fund custody and sales institutions, securities investment consulting institutions, securities market credit rating agencies, financial consulting institutions, etc. The places where the above-mentioned personnel are located are collectively referred to as institutions in this Code.
The management personnel mentioned in these Standards include the legal representative of the institution, senior management personnel, department heads and branch heads. Where the China Securities Regulatory Commission has other provisions on the appointment of management personnel, such provisions shall prevail.