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Article 17
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A securities firm and its responsible persons, managers, and employees shall conduct fund brokerage business in accordance with the duties of care and loyalty of a good fiduciary and the principles of honesty and good faith.<br/>A securities firm and its personnel may not do any of the following when executing fund brokerage business:<br/>1. Agree to or provide any specific interest or sharing of losses, or provide any judgment regarding whether a certain fund will rise or fall in price, or provide any investment recommendation, or provide investment consulting service, to induce investors to trade or exchange.<br/>2. Misappropriate any fund or money owned by a customer or kept under the custody of the securities firm in the course of business.<br/>3. Conceal or omit important financial or business information of a fund that is traded or exchanged on the issuer's trading platform, or of a fund's securities investment trust enterprise or an offshore fund's manager or master agent.<br/>4. Forge, conceal, or make any false entry regarding any record of collection, payment, or transfer of money.<br/>5. Anything else injurious to the rights and interests of investors or in violation of any relevant law or regulation.
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