| Interim Provisions on the Securities Investment Advisor Business | | 证券投资顾问业务暂行规定 |
| (Promulgated by the Announcement No.27 [2010] of the China Securities Regulatory Commission on October 12, 2010; and amended in accordance with the Decision of the China Securities Regulatory Commission to Amend Certain Securities and Futures Regulatory Documents on March 20, 2020) | | （2010年10月12日中国证券监督管理委员会公告[2010]27号发布 根据2020年3月20日中国证券监督管理委员会《关于修改部分证券期货规范性文件的决定》修正） |
| Article 1 To regulate the acts of securities companies and securities investment consulting agencies in the securities investment advisor business, protect the legitimate rights and interests of investors, and maintain the order of the securities market, these Provisions are formulated in accordance with the Securities Law, the Regulation on the Supervision and Administration of Securities Companies and the Interim Measures for the Administration of Securities and Futures Investment Consultancy. | | 第一条 为了规范证券公司、证券投资咨询机构从事证券投资顾问业务行为，保护投资者合法权益，维护证券市场秩序，依据《证券法》、《证券公司监督管理条例》、《证券、期货投资咨询管理暂行办法》，制定本规定。 |
| Article 2 The “securities investment advisor business” as mentioned in these Provisions is a basic form of the securities investment consulting business, and means that a securities company or securities investment consulting agency provides investment advisor services involving securities and securities-related products to clients as agreed on to assist clients in making investment decisions and directly or indirectly obtain economic benefits from such services. Investment advisor services include the provision of advice on investment product selection, investment portfolio, wealth management plan, etc. | | 第二条 本规定所称证券投资顾问业务，是证券投资咨询业务的一种基本形式，指证券公司、证券投资咨询机构接受客户委托，按照约定，向客户提供涉及证券及证券相关产品的投资建议服务，辅助客户作出投资决策，并直接或者间接获取经济利益的经营活动。投资建议服务内容包括投资的品种选择、投资组合以及理财规划建议等。 |
| Article 3 Securities companies and securities investment consulting agencies engaged in the securities investment advisor business shall abide by laws, administrative regulations and these Provisions, strengthen compliance management, improve internal controls, prevent conflicts of interest, and effectively protect the legitimate rights and interests of clients. | | 第三条 证券公司、证券投资咨询机构从事证券投资顾问业务，应当遵守法律、行政法规和本规定，加强合规管理，健全内部控制，防范利益冲突，切实维护客户合法权益。 |
| Article 4 Securities companies, securities investment consulting agencies and their personnel shall follow the principle of honesty and good faith, and diligently and prudently provide securities investment advisor services for clients. | | 第四条 证券公司、证券投资咨询机构及其人员应当遵循诚实信用原则，勤勉、审慎地为客户提供证券投资顾问服务。 |
| Article 5 In providing the securities investment advisor services, a securities company or a securities investment consulting agency and the personnel thereof shall be loyal to the interests of clients, shall not damage the interest of clients for the benefit of the company or any affiliate thereof, shall not damage the interests of clients for the benefit of securities investment advisors or any party related to the benefit thereof, and shall not damage the interests of other clients for the benefit of particular clients. | | 第五条 证券公司、证券投资咨询机构及其人员提供证券投资顾问服务，应当忠实客户利益，不得为公司及其关联方的利益损害客户利益；不得为证券投资顾问人员及其利益相关者的利益损害客户利益；不得为特定客户利益损害其他客户利益。 |
| Article 6 The China Securities Regulatory Commission (CSRC) and its dispatched offices shall conduct supervision and administration of the securities investment advisor business of securities companies and securities investment consulting agencies. | | 第六条 中国证监会及其派出机构依法对证券公司、证券投资咨询机构从事证券投资顾问业务实行监督管理。 |
| The Securities Association of China (SAC) shall conduct self-disciplinary management of the securities investment advisor business of securities companies and securities investment consulting agencies, and, in accordance with the relevant laws and administrative regulations and these Provisions, make the relevant practicing rules and code of conduct. | | 中国证券业协会对证券公司、证券投资咨询机构从事证券投资顾问业务实行自律管理，并依据有关法律、行政法规和本规定，制定相关执业规范和行为准则。 |
| Article 7 A person who provides securities investment advisory services for clients shall satisfy the relevant practicing requirements, and be registered with the SAC as a securities investment advisor. A securities investment advisor may not be registered as a securities analyst at the same time. | | 第七条 向客户提供证券投资顾问服务的人员，应当符合相关从业条件，并在中国证券业协会注册登记为证券投资顾问。证券投资顾问不得同时注册为证券分析师。 |
| Article 8 Securities companies and securities investment consulting agencies shall make management rules for securities investment advisors, and strengthen the management of registration, duties and practicing conduct of securities investment advisors. | | 第八条 证券公司、证券投资咨询机构应当制定证券投资顾问人员管理制度，加强对证券投资顾问人员注册登记、岗位职责、执业行为的管理。 |
| Article 9 Securities companies and securities investment consulting agencies shall establish a sound securities investment advisor business management system as well as sound compliance management and risk control mechanisms, covering business promotion, conclusion of agreements, provision of services, return visit to a client, handling of complaints and other business steps. | | 第九条 证券公司、证券投资咨询机构应当建立健全证券投资顾问业务管理制度、合规管理和风险控制机制，覆盖业务推广、协议签订、服务提供、客户回访、投诉处理等业务环节。 |
| Article 10 Securities companies and securities investment consulting agencies engaged in the securities investment advisor business shall ensure that the number and professional competence of securities investment advisors and the compliance management and risk control match the manners of service and scale of business. | | 第十条 证券公司、证券投资咨询机构从事证券投资顾问业务，应当保证证券投资顾问人员数量、业务能力、合规管理和风险控制与服务方式、业务规模相适应。 |
| Article 11 A securities company or securities investment consulting agency which provides securities investment advisor services for clients shall, according to the procedures and requirements of the company, gather information on the identity, property and income status, securities investment experience, investment demand and risk appetite of a client, evaluate the risk tolerance of a client, and keep a record of such information in written or electronic form. | | 第十一条 证券公司、证券投资咨询机构向客户提供证券投资顾问服务，应当按照公司制定的程序和要求，了解客户的身份、财产与收入状况、证券投资经验、投资需求与风险偏好，评估客户的风险承受能力，并以书面或者电子文件形式予以记载、保存。 |
| Article 12 A securities company or securities investment consulting agency which provides securities investment advisor services for clients shall notify a client of the following basic information: | | 第十二条 证券公司、证券投资咨询机构向客户提供证券投资顾问服务，应当告知客户下列基本信息： |
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