|
Article 28
|
A securities firm shall, based on the customer risk tolerance rating classifications and fund risk-return rating classifications it has adopted, formulate a method for suitable matching of customer risk tolerance ratings with fund risk-return ratings. When accepting a customer order for fund brokerage trading through the trading platform, it shall make an evaluation of suitability, and confirm that the customer is capable of bearing the risk associated with the fund in which it intends to invest and shall keep a record of the evaluation.
|