|
Article 17
|
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.
A securities firm and its personnel may not do any of the following when executing fund brokerage business:
- 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.
- Misappropriate any fund or money owned by a customer or kept under the custody of the securities firm in the course of business.
- 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.
- Forge, conceal, or make any false entry regarding any record of collection, payment, or transfer of money.
- Anything else injurious to the rights and interests of investors or in violation of any relevant law or regulation.
|