_ _ _ _ _ _ _ _ A securities company (hereinafter referred to as Party A) shall sign a brokerage commission contract (hereinafter referred to as the contract) when entrusting a securities broker (hereinafter referred to as Party B) to engage in activities such as customer solicitation and customer service. A contract shall specify the purpose, basis and principles for concluding the contract.
Article 2 A contract shall include statements and warranty clauses:
(1) Party A has been recognized by the regulatory authorities and has the conditions to entrust a securities broker to engage in activities such as customer solicitation and customer service;
(2) The information and materials provided by Party B to Party A are true, accurate and complete.
Article 3 This contract shall contain the basic information of Party A and Party B, including but not limited to Party A's name, address, contact telephone number, securities business license number, and Party B's name, type and number of valid identity documents, address and contact telephone number.
Article 4 A contract shall specify the following items:
(1) The legal relationship between Party A and Party B is principal-agent relationship;
(2) There is no labor relationship between Party A and Party B, and Party B does not have any employee status of Party A;
(3) During the agency period agreed in this contract, Party A shall bear corresponding legal responsibilities for Party B's actions within the scope authorized by Party A;
(IV) Party B shall bear corresponding legal responsibilities for acts beyond the scope authorized by Party A according to law.
Article 5 A contract shall stipulate the authorization authority and time limit of both parties. The principal-agent authority shall not exceed the following scope:
(a) to introduce the basic situation of Party A and the securities market to customers;
(two) to introduce the basic knowledge of securities investment and business processes such as account opening, trading and fund access to customers;
(3) Introduce the laws, administrative regulations, regulations of China Securities Regulatory Commission, self-discipline rules and relevant regulations of Party A to customers;
(4) Deliver the securities investment research report and information uniformly provided by Party A to customers;
(5) Sending the promotional materials and related information of securities and financial products uniformly provided by Party A to customers;
(6) Other activities that securities brokers can engage in as stipulated by laws, administrative regulations and the China Securities Regulatory Commission.
Article 6 The contract shall specify the geographical scope of Party B's practice, the name of the securities business department and the license number of securities business.
Article 7 A contract shall stipulate the rights and obligations of Party A. ..
(1) Party A's rights at least include:
1. Manage and supervise Party B and its practice in accordance with laws, administrative regulations, regulations of regulatory agencies and administrative departments and self-discipline rules;
2. Party A has the right to stop Party B's securities business activities beyond the authorized scope; Where losses are caused to Party A due to Party B's fault, Party A has the right to demand compensation from Party B;
3. Issue, withdraw, change and cancel the securities broker's certificate of Party B in accordance with the relevant regulations and the provisions of this contract.
(2) The obligations of Party A shall at least include:
1. After signing the entrustment contract with Party B, providing Party B with pre-practice training and passing the examination, Party B shall register with China Securities Association for practice;
2. Explain to Party B the calculation basis, method and result of its remuneration;
3. Provide Party B with relevant materials and information required for its practice;
4. Pay remuneration to Party B according to this contract;
5. Provide Party B with corresponding training;
6. Listen to the opinions and suggestions of Party B and adopt reasonable opinions and suggestions.
Article 8 This contract shall specify the rights and obligations of Party B. ..
(1) Party B's rights at least include:
1, get paid according to the contract;
2. Understand the calculation basis, calculation method and calculation result of salary;
3. Ask Party A to provide relevant materials and information required for practice;
4. Participate in the corresponding training organized by Party A;
5. Put forward opinions and suggestions to Party A;
6. Refuse to implement the management system that Party A violates laws and regulations or this contract.
(2) Party B's obligations shall at least include:
1. Abide by laws, administrative regulations, regulations of regulatory agencies and administrative departments, self-discipline rules and professional ethics, consciously abide by Party A's relevant management system, and keep Party A's business secrets;
2. Engage in customer solicitation, customer service and other activities within the agency authority, agency term and practice area agreed in the contract;
3. Within the validity period of the contract, only accept the entrustment of Party A and engage in activities such as customer solicitation and customer service on behalf of Party A;
4. Show the securities broker certificate to the customer during the practice period, and clearly state the principal-agent relationship with Party A, the agency authority, the agency period and the scope of practice; Safely keep the certificate of securities broker, and return it to Party A when the items recorded in the certificate change or the entrustment relationship is terminated.
Article 9 The contract shall specify that Party B shall fully disclose the risks of securities investment to customers during the practice, and shall not engage in the following acts:
(1) Handling account opening, account cancellation, transfer, securities subscription, trading or fund access, transfer and inquiry for customers;
(2) Providing or disseminating false or misleading information to clients, or inducing clients to buy or sell securities unnecessarily.
(3) Agreeing with customers to share the investment income, and making a commitment to the compensation for the customer's securities trading income or securities trading loss.
(four) to attract customers by improper means such as belittling competitors and entering the business premises of competitors;
(5) divulging the business secrets or personal privacy of customers;
(six) to provide intermediary, guarantee or other convenience for financing between customers;
(seven) to provide illegal service places or convenient transactions for customers, or to engage in customer solicitation and customer service activities through the Internet and news media;
(eight) entrust others to engage in customer recruitment, customer service and other activities;
(nine) in the name of a securities company or securities business department, sign any contract or agreement with customers or others;
(10) Signing relevant contracts, agreements, documents and other materials on behalf of customers;
(eleven) in the course of practice to ask for or accept the property of customers;
(twelve) to provide customers with research reports, securities investment related information, securities financial products publicity materials and related information that are not uniformly provided by the securities companies they serve;
(thirteen) other acts that damage the legitimate rights and interests of customers, disrupt market order or violate professional ethics.
Article 10 This contract shall stipulate the calculation basis, calculation method, payment time and payment method of the remuneration paid by Party A to Party B. The calculation basis and method of remuneration shall be clear and specific.
The contract shall also stipulate that the calculation basis and method of remuneration shall not be adjusted within the validity period of the contract, unless it meets the compliance requirements or both parties reach an agreement through consultation, and the adjustment is beneficial to Party B..
Article 11 A contract shall specify the terms of contract modification, rescission and termination. The contract should stipulate that the contract can be terminated after both parties reach an agreement through consultation. The contract shall also stipulate:
(1) In any of the following circumstances, Party A may terminate this contract:
1. Party B no longer meets the prescribed practice conditions;
2. Party B violates laws and regulations during the practice;
3. Party B practices beyond the scope of agency authority or practice area.
(II) In any of the following circumstances, Party B may terminate this contract:
1. Because Party A is ordered by the regulatory authorities to suspend business, revoke its business license or suspend business by itself, Party B is unable to practice normally;
2. Party A fails to pay labor remuneration as agreed in the contract;
3. Party A's relevant management system violates laws, regulations or contractual stipulations, which damages the legitimate rights and interests of Party B. ..
Article 12 A contract shall include clauses on liability for breach of contract.
Article 13 A contract shall stipulate the applicable law and dispute settlement methods.
Article 14 A contract shall stipulate the conditions for the establishment and entry into force of the contract, the term of the contract and the number of copies of the contract.
Party A (signature): _ _ _ _ _ Party B (signature): _ _ _ _ _ _
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _.