Securities investment consultant: provide investment advice to customers, such as trading opportunities, hot spot analysis, securities selection, risk warning, etc. Operation on behalf of customers is prohibited. In other words, the advice provided by the investment consultant to the client is for reference, and the decision is made by the client himself. When customers bear losses and gains, securities companies can charge investment consulting service fees, including differential commissions and individual consulting fees charged according to the amount of assets or service period.
specific requirements
1. Securities companies and securities investment consulting institutions engaged in securities investment consulting business shall abide by laws, administrative regulations and these Provisions, strengthen compliance management, improve internal control, prevent conflicts of interest, and earnestly safeguard the legitimate rights and interests of customers.
2. Securities companies, securities investment consulting institutions and their personnel shall follow the principle of good faith and diligently and prudently provide securities investment consulting services to their clients.
3, securities companies, securities investment consulting institutions and their personnel to provide securities investment consulting services, should be loyal to the interests of customers, not for the interests of the company and its related parties to harm the interests of customers; Do not harm the interests of clients for the interests of securities investment consultants and their stakeholders; Do not harm the interests of other customers for the benefit of specific customers.
4. Personnel who provide securities investment consulting services to clients shall have the qualification of securities investment consulting and be registered as securities investment consultants in China Securities Industry Association. A securities investment consultant may not be registered as a securities analyst at the same time.
5, securities companies and securities investment consulting institutions engaged in securities investment consulting business, should ensure the number of securities investment consulting personnel, business ability, compliance management and risk control, as well as service methods and business scale.
6. When providing securities investment consulting services to clients, securities companies and securities investment consulting institutions should know the clients' identity, property and income, securities investment experience, investment demand and risk preference, assess their risk tolerance, and record and save them in written or electronic files.
7. When securities companies and securities investment consulting institutions provide securities investment consulting services to customers, they shall inform customers of the following basic information:
(1) company name, address, contact information, complaint telephone number, securities investment consulting business qualification, etc. ;
(2) The name of the securities investment consultant and its qualification code for securities investment consulting;
(3) Contents and methods of securities investment consulting services.
(4) Investment decisions are made by customers, and investment risks are borne by customers;
(5) A securities investment consultant shall not make investment decisions on behalf of clients.