|
Fund employees practice of self-regulatory guidelines
To promote the sustained and healthy development of the fund industry, to protect the interests of fund holders, and standardize fund employees (hereinafter referred to as "employees") the practice of, and establish a good professional image and reputation of the industry practitioners to maintain and improve the professional level of service employees, according to the relevant provisions of the "Securities investment Fund law" and other administrative regulations, development of these guidelines:
The first practitioners should consciously abide by the laws, administrative regulations, and ethics and shall not harm the public interest, the interests of fund holders and the interests of the industry.
Article practitioner fund holders should be placed above the interests of individuals and the interests of the institution, fair treatment of fund holders. Allowed to occupy or misappropriate funds unitholders transactions shall not differ among the Fund's assets, transfer of benefits between fund assets and other assets entrusted.
Article practitioners should have the necessary expertise in the relevant activities and skills to maintain and improve professional competence, prudent conduct business, improve risk management capabilities, and can not make any professional competence or professional reputation deviate behavior.
Article employees shall conducting investment analysis, investment advice, taking investment action, a reasonable investigation sufficient basis to maintain the independence and objectivity, adhere to the principle, not be affected by the interference of various external factors.
Article practitioners should be fair, lawful and orderly conduct of business, shall not exclude competitors for the purpose of the fund drive down the level of charges, lower than the cost of funds Sales Fund; refrain sweepstakes, rebates or gifts in kind, insurance, fund share fund sales and other means.
Article employees shall not disclose any information on the fund holders and transaction information shall not disclose in his practice as learned confidential information and affiliation of all relevant parties, but may not seek improper benefits for themselves or others.
Article employees shall not engage in or synergistic others to commit insider trading or the use of undisclosed information transactions shall not disclose use of the work to facilitate access to insider information or other non-public information, or express, implied others to engage in insider trading activities.
Article VIII employees may not use funds, stocks, and information advantages, alone or in collusion collusion, affect securities trading price or trading volume, misleading and distorting markets.
IX employees may not use the work of Bianxiang any institution or individual transport interests, damage the interests of fund holders and damage the securities market order.
Article X should be self-discipline practitioners shall not accept bribes stakeholders or bribe them, or to accept such gifts, rebates, compensation or remuneration, or may be engaged
Among investors can lead institution or a conflict of interest and activities.
Article XI practitioners should at publicity, promotion and sales of fund products, adhere to the principle of the applicability of sales, objective, comprehensive and accurate manner recommended or sold for fund products to investors, and timely reveal the investment risk. Should not be unduly propaganda to mislead investors fraud can not be exaggerated past performance can not predict future performance of the Available Funds may not be committed to capital preservation illegal earnings.
Article XII practitioners should actively promote rational mature investment philosophy, adhere to long-term investment, value-oriented investment, and consciously promote the industry outstanding ethical culture, strengthen their professional ethics training, regulate their own behavior, social responsibility, to comply with social ethics, better serve the community and investors.
|
Localhost:Home > Self-rule >Detail
