Notice on Issuing the "Guidelines for Investor Education of Securities Business Institutions"
All securities companies and securities investment consulting companies:
In order to meet the needs of the rapid development of the capital market, adapt to the external environment of the rapid spread of Internet information, and promote and standardize the investor education work of securities business institutions, according to the "Opinions of the General Office of the State Council on Further Strengthening the Protection of the Legal Rights and Interests of Small and Medium Investors in the Capital Market"
" and the relevant regulations of the China Securities Regulatory Commission, the Securities Association of China (hereinafter referred to as the "Association") integrates the "Guidelines for Investor Education for Members of the Securities Association of China (Trial)" and the "Business Specifications for Investor Education of Securities Company Business Departments" Self-discipline rules, re-drafted and formulated
the "Guidelines for Investor Education of Securities Business Institutions", which was voted and approved at the 9th meeting of the 6th Executive Council of the Association, and filed with the China Securities Regulatory Commission. officially implemented from the date. As of the date of issuance of these guidelines, the original
"Guidelines for Investor Education for Members of the Securities Association of China (Trial)" and "Business Specifications for Investor Education in the Business Departments of Securities Companies" will be abolished simultaneously.
Guidelines for Investor Education of Securities Business Institutions
Article 1 In order to further regulate the investor education work of securities business institutions, protect the legitimate rights and interests of investors, and promote the healthy and stable development of the capital market, according to the
"Opinions of the General Office of the State Council on Further Strengthening the Protection of the Legal Rights and Interests of Small and Medium Investors in the Capital Market", The relevant regulations of the China Securities Regulatory Commission and the "Articles of Association of the Securities Association of China" formulate these guidelines.
Article 2 These guidelines are applicable to members of securities companies and securities investment consulting companies (collectively referred to as "securities business institutions") of the Securities Association of China (hereinafter referred to as the "Association").
Article 3 The term “investor education work” as mentioned in these guidelines refers to the establishment and improvement of relevant management mechanisms and systems and procedures by securities business institutions, and the promotion of securities policies and regulations for investors, the popularization of securities knowledge, the transmission of rational investment ideas, the disclosure of investment risks, and the guidance of law-abiding investors. rights protection activities.
Article 4 The association conducts self-regulatory management of the investor education work carried out by securities business institutions, and organizes the evaluation of the investor education work of securities business institutions.
The association guides local securities industry associations (hereinafter referred to as "local associations") to coordinate, coordinate, guide and support the investor education work carried out by the local securities business institutions and their branches (including branches, securities business departments, etc.).
Article 5 The objectives of investor education work include:
1) Help investors understand macroeconomic policies and industry development trends;
(2) Help investors understand the laws and regulations of the capital market and the knowledge of protecting their own rights and interests, enhance their awareness of risk prevention, and strengthen the protection of their own rights and interests;
(3) Help investors understand capital market business and securities product knowledge, improve risk identification ability, and establish rational investment philosophy;
(4) Guide investors to actively exercise their rights, protect their rights rationally, and consciously maintain market order;
(5) Promote the integration of investor education into the national education system, improve the public's investment and financial management literacy, and promote the standardized development of the capital market.
Article 6 The investor education work of securities business institutions shall follow the principles of standardization, long-term, appropriateness, effectiveness, combination of popular education and special education, and combination of theme education and continuous education.
Article 7 Securities business institutions shall do a good job in investor education in accordance with the relevant business rules of the association and the requirements of these guidelines, guide investors to rationally participate in securities transactions, and improve risk prevention awareness and self-protection capabilities.
Securities business institutions shall carry out investor education work in a way that is close to the market and the public, strive to innovate investor education methods and methods, gain a deep understanding of investor needs, and effectively improve the effect of investor education.
Article 8 Securities business institutions shall, in accordance with the requirements of the China Securities Regulatory Commission and the Association, carry out investor education work with rich content and various forms in light of their own characteristics. castFunder education content includes but is not limited to:
(1) Securities laws, regulations and policies;
(2) Securities investment knowledge and investment skills;
(3) Securities products, businesses and their risk characteristics;
(4) Cases of violations of laws and regulations in the securities market;
(5) Macroeconomic policies and industry development trends;
(6) Exercising investors' rights, handling appeals and resolving disputes;
(7) Other content related to investor education.
Securities business institutions may supplement and adjust the content of investor education in a timely manner according to their own investor education work and in light of changes in the market situation, so as to ensure the timeliness of investor education work.
Article 9 The channels for securities business institutions to carry out investor education work include but are not limited to:
(1) Internet platforms such as the company's official website, mobile APP, WeChat official account;
(2) Entity and Internet investor education bases (hereinafter referred to as "investment education bases");
(3) Investor gardens, bulletin boards, etc. in the business place;
(4) Trading service channels such as trading system client and customer service center phone calls or text messages;
(5) Media channels such as television, radio, Internet portals and newspapers;
(6) Other regulatory approval channels.
Article 10 A securities business institution shall establish a sound management system for investor education, guarantee the development of investor education from the aspects of system, organization, personnel, process, and funds, and strengthen the management of investor education.
Article 11 Securities business institutions shall establish and improve investor education work systems, including but not limited to investor education work management measures, investor education work requirements for each special business, division of responsibilities of various departments and branches, and investment in branch offices. The norms and supervision system and assessment system of the education work of teachers and students.
Article 12 A securities business institution shall establish or designate a corresponding department with sufficient full-time investor education personnel, who shall be responsible for coordinating the investor education work of the unit and perform the following duties:
(1) To formulate investor education work systems, work procedures, work plans and annual budgets;
(2) Leading and promoting relevant departments to plan, organize and implement investor education activities;
(3) Leading and promoting relevant departments to design and produce investor education and publicity products;
(4) Assessing and evaluating the effectiveness of investor education work of branches;
(5) Leading the management and operation of investment education bases;
(6) Investigate and study problems existing in investor education;
(7) Construct and train a team of investor education staff;
(8) Other matters related to investor education.
A securities business institution shall establish an internal liaison and coordination mechanism for investor education to ensure clear responsibilities and effective management. A branch office shall designate special liaison personnel to be responsible for investor education work, and cooperate with the implementation of the unit's investor education work arrangements.
Article 13 A securities business institution shall designate a special person to be in charge of liaising with the association on investor education. If the contact person is changed, it shall report to the association within 5 working days after the change.
Article 14 Securities business institutions should combine market development and market hotspots, and according to investor needs, produce investor education products that are accurate and compliant, with easy-to-understand language and popular forms.
Investor education products include electronic and paper forms, and the production and release of investor education products shall comply with the relevant regulations on intellectual property protection and Internet news information service management.
Article 15 Securities business institutions shall, according to their own characteristics, carry out investor education activities through multiple channels such as on-site or off-site.
On-site methods include but are not limited to organizing visits to physical investment education bases; holding investor training, seminars and exchange activities; visiting schools, communities, enterprises, etc. to carry out publicity activities; participating in various investor education activities organized by regulatory authorities and self-regulatory organizations, etc.
Off-site methods include, but are not limited to, carrying out special investor education activities through official websites of securities business institutions, Internet investment education bases, trading system clients, customer service center phone calls or text messages, WeChat public accounts, mobile APPs and public media.
Article 16 Securities business institutions shall establish investor corners on their official websites and business premises, and strengthen the unified management of investor corners.
A securities business institution may establish an investor corner on its official website in the form of a secondary website or a column on the website, and may establish an investor corner in its business place in the form of multimedia or window displays. The content displayed in the investor corner should include securities investment knowledge, cases of violations of laws and regulations in the securities market, company qualification introduction, investment risk reminders, business questions and answers, channels and methods for investor rights protection, transaction costs and tax standards, etc.
Article 17 Securities business institutions may establish physical or Internet investment education bases according to their own conditions. Encourage investment education bases that meet the relevant requirements of the China Securities
Regulatory Commission to report to the China Securities Regulatory Commission or its dispatched agencies for naming. The association can provide support services for investment education bases in the industry, especially national investment education bases, in terms of investor education activities, teachers, business training, etc.,
organize industry bases to exchange and share investment education information and results, and under the unified deployment of the China Securities Regulatory Commission , Promote the best practices and experiences of advanced investment education bases.
Article 18 Securities business institutions shall integrate investor education into various businesses, and continue to carry out investor education in the process of providing services to investors.
Article 19 When securities business institutions open accounts for investors, activate trading authority, or sign relevant service agreements, they shall remind investors to read the key points of relevant agreements, risk disclosure statements, etc., fully disclose investment risks to investors, and remind investors Do not participate in illegal securities activities.
Article 20 Securities business institutions shall, in accordance with the relevant requirements of the "Administrative Measures for the Suitability of Securities and Futures Investors" and "Guidelines for the Implementation of Investor Suitability Management of Securities Business Institutions", provide risk warnings and differentiated educational services in a timely manner.
Education for small and medium-sized investors who newly open accounts; for investors who purchase or apply for complicated or high-risk products or services, the risks of products or services should be fully disclosed to them, and investors should be guided to understand the relevant agreements, agreements, and regulations of corresponding products or services. Charges and other content shall not be used to inductive publicity to investors for their own interests.
Article 21 Securities business institutions shall publicize the complaint channels and handling procedures to investors through various channels such as official websites, mobile APPs, investor corners of business premises, and bulletin boards, and when necessary, address issues reflected in investor complaints , carry out special investor education activities.
Article 22 Securities business institutions shall keep records and archives of investor education work carried out in paper or electronic form for no less than 3 years.
Article 23 Securities business institutions shall regularly organize business departments and branches to carry out investor education and training work, regularly conduct assessments and evaluations of investor education work by business departments and branches, and incorporate training and assessment results into business departments and branches The organization's annual performance appraisal index system.
Securities business institutions shall include the staff of investment education bases in the scope of training, and actively carry out special training for the staff of investment education bases.
Article 24 Under the guidance of the association, the local association coordinates investor education resources within the jurisdiction, and organizes activities related to investor education in a targeted manner according to market needs and the development of investor education in the region to promote investment in the jurisdiction. Information exchange,
experience recommendation, and case analysis of investor education work; regularly collect advanced experience and typical cases of investor education activities in the jurisdiction and submit them to the Association, and the Association will display them through websites, investment education bases and other channels.
Article 25 The association regularly evaluates the investor education work of securities business institutions, and selects outstanding units and individuals.
Article 26 The association shall evaluate the investor education work of securities operating institutions based on the actual investor education work carried out by securities operating institutions and in light of the securities operating institutions' participation in or cooperation with the investor education theme activities sponsored by the association.
Article 27 The association will conduct on-site or off-site inspections of the investor education work of securities business institutions from time to time, and securities business institutions should actively do a good job in relevant cooperation.
Article 28 If a securities business institution violates these guidelines and the relevant rules of the association on investor education, the association may take self-discipline management measures against the relevant members as the case may be. If the circumstances are serious, disciplinary sanctions shall be imposed.
Article 29 The professional domestic securities business subsidiaries established by securities companies shall follow the requirements of these guidelines according to their business scope and characteristics.
Securities business institutions shall carry out investor education on futures and options business in accordance with relevant regulations, referring to these guidelines.
Article 30 The Association is responsible for the interpretation of these Guidelines.
Article 31 These guidelines will come into effect on the date of promulgation, and the original "Guidelines for Investor Education Work for Members of the Securities Association of China (Trial)" and "Business Specifications for Investor Education Work of Securities Company Business Departments" will be abolished at the same time.
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