What is the professional ethics of analysts? No matter what occupation or industry, all have their own professional ethics, especially some financial products need to pay attention to professional ethics and rules. Now let's share with you what the professional ethics of analysts is.
Code of Professional Ethics for Analysts 1 Code of Professional Ethics for Analysts
chapter one
General provisions Article 1 These Standards are formulated in accordance with the relevant provisions of national laws and regulations in order to urge China securities analysts to perform their duties better, maintain proper professional conduct standards, ensure and constantly improve their professional level, and establish a good professional image among the public.
Article 2 The code of professional ethics of securities analysts refers to the code of conduct that securities analysts should abide by in their business and related activities, and is the basic provision and requirement for the professional ethics, practice discipline, professional ability and professional responsibility of securities analysts.
Article 3 These Standards are applicable to securities analysts, their assistants and other professionals who assist securities analysts in their business, and are equally binding on the above-mentioned personnel.
Article 4 Unless otherwise stipulated, these Standards shall apply to all kinds of businesses engaged by securities analysts.
chapter two
Basic Requirements Article 5 China securities analysts should love People's Republic of China (PRC) and abide by the provisions of national laws, regulations and other rules and regulations.
Article 6 Securities analysts must follow the principles of independence, honesty, prudence, objectivity, diligence, impartiality and fairness in the course of business execution, provide professional services for all sectors of society, and strive to improve the overall social reputation and status of securities analysts.
Article 7 The principle of independence and good faith means that securities analysts should be honest and trustworthy, remain neutral in practice, and make independent judgments and evaluations. Do not use identity, status and inside information to seek personal gain for yourself or others in practice activities, and do not provide investors or entrusting units with investment analysis, forecasts or suggestions with major omissions, false information and misleading statements.
Article 8 The principle of prudence and objectivity means that securities analysts should objectively make investment analysis, prediction and suggestions with due professional care based on full analysis and research and complete and detailed public disclosure of information, and should not take out of context or tamper with relevant information, and should not influence investment analysis, prediction or suggestions because of subjective likes and dislikes.
Article 9 The principle of diligence means that securities analysts should conduct as comprehensive, detailed and in-depth investigation and study as possible on all issues related to investment analysis, forecasting and consulting services in the spirit of being highly responsible to public investors and customers, earnestly perform their due professional duties, safeguard the professional reputation of securities analysts, avoid major omissions and mistakes, and provide highly professional opinions to investors and entrusting units.
Article 10 The principle of fairness means that securities analysts must be responsible for the fairness of their suggestions, conclusions and reasoning process, and may not provide investment analysis, forecasts or suggestions with contradictory opinions to different investors or entrusting units on the same issue at the same time.
chapter three
Practice Discipline Article 11 A securities analyst shall cherish the title of "securities analyst" and shall not engage in acts that damage the professional image of a securities analyst.
Article 12 Securities analysts should treat investors and clients equally and follow the principle of fairness and justice. However, securities analysts are allowed to put forward specific portfolio suggestions suitable for different investors or entrusting units according to their financial status, investment experience and investment purpose.
Article 13 When expressing investment analysis, prediction or suggestions, securities analysts should strictly distinguish objective facts from subjective judgments and make clear important facts.
Article 14 A securities analyst shall properly keep the original materials used and based on investment analysis, prediction or suggestion for future reference, and the retention period shall be no less than two years from the date of making investment analysis, prediction or suggestion.
Article 15 A securities analyst shall perform the obligation of confidentiality on the important undisclosed information obtained in the course of practice, and shall not disclose, transmit or imply others or suggest investors or entrusting units to buy or sell securities accordingly.
Article 16 A securities analyst shall not make a guarantee to investors or entrusting units when making investment forecasts and other work with uncertain factors. Article 17 Securities analysts should respect each other, unite and cooperate, and jointly safeguard and enhance the professional ethics and reputation of the industry.
Chapter IV Supplementary Provisions Article 18
The contents of this Standard shall be interpreted by the Professional Committee of Securities Analysts of China Securities Association. Article 19 These Standards shall come into force as of the date of promulgation.
Professional Ethics of Analysts 2 China Securities analysts should love People's Republic of China (PRC) and abide by the provisions of national laws, regulations and other rules and regulations.
Securities analysts must abide by the principles of independence, honesty, prudence, objectivity, diligence, justice and fairness in the process of business execution, provide professional services for all sectors of society, and strive to improve the overall social reputation and status of securities analysts.
The principles of independence and good faith mean that securities analysts should be honest, remain neutral in their practice and make independent judgments and evaluations. Do not use identity, status and inside information to seek personal gain for yourself or others in practice activities, and do not provide investors or entrusting units with investment analysis, forecasts or suggestions with major omissions, false information and misleading statements.
The principle of prudence and objectivity means that securities analysts should objectively put forward investment analysis, prediction and suggestions based on thorough analysis and research and complete and detailed public disclosure of information, and should not take the relevant information out of context or tamper with it, and should not influence investment analysis, prediction or suggestions because of subjective likes and dislikes.
The principle of diligence means that securities analysts should, in the spirit of being highly responsible to public investors and customers, conduct as comprehensive, detailed and in-depth investigation and study as possible on all issues related to investment analysis, forecasting and consulting services, earnestly perform their due professional responsibilities, safeguard the professional reputation of securities analysts, and avoid major omissions and mistakes, so as to provide highly professional advice to investors and entrusting units.
The principle of justice and fairness means that securities analysts must be responsible for the fairness of their suggestions and reasoning process, and may not provide different investors or entrusting units with investment analysis, forecasts or suggestions with opposite opinions at the same time.