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Regulations on the Supervision and Administration of Securities Companies (2014 Revision)


Revision History
  • Regulations on the Supervision and Administration of Securities Companies
  • 证券公司监督管理条例

  • (Promulgated by the Order No. 522 of the State Council of the People's Republic of China on April 23, 2008; and revised in accordance with the Decision of the State Council on Amending Some Administrative Regulations on July 29)
  • (2008年4月23日中华人民共和国国务院令第522号公布 根据2014年7月29日《国务院关于修改部分行政法规的决定》修订)

  • Chapter I General Provisions

  • 第一章 总  则

  • Article 2 Securities companies shall abide by laws, administrative regulations and the provisions set forth by the securities regulatory agency of the State Council, run business in a prudent way, and fulfill the obligation of keeping good faith for clients.
  •   第二条 证券公司应当遵守法律、行政法规和国务院证券监督管理机构的规定,审慎经营,履行对客户的诚信义务。
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