3 thoughts on “Simply talk about your understanding of your understanding of the securities industry. Seeking a detailed answer”
Joel
The following for your interview: The code of conduct of the securities industry employees (interviews are generally questioned around the following content, and you also include these contents)
. Guarantee behavior:
(1) Love your job, accurately execute customer instructions, and keep confidential for customers. Customers are the professional targets of the securities industry. The customer's instruction represents the customer's investment decision and is related to the customer's investment benefits. The securities industry practitioners shall accurately, timely, and complete execution of customers' instructions. Customers 'funds and securities are their legal property. Securities operating agencies are commissioned by customers to be entrusted by customers to keep these property on their behalf. Unless illegal acts are involved, except for special laws, securities industry employees shall pay customers' investment, funds, and holding securities. The situation is strictly observed, and it is not allowed to leak to others at will.
(2) Work hard to study business and improve your business level and work efficiency. The securities business has a strong professional characteristics, and has certain technical operation requirements. At the same time, it continues to open up and innovate, launch new varieties, and develop new businesses. This requires practitioners to have a solid professional knowledge and wider knowledge. We must continue to learn, study business, improve their professionalism and knowledge level, and meet the requirements of the securities markets. While serving customers, we will improve their competitiveness.
(3) Comply with the various systems of national laws and relevant securities business. The securities industry is an industry that is closely related to national interests and investors' interests. The rules and regulations formulated by the state's relevant laws and securities management departments are the legal guarantees and system guarantees of the legitimate rights and interests of the economic entities, and it is also the basis for the operation of the securities business. The securities industry practitioners should consciously observe the laws and regulations in order to restrict and standardize their actions.
(4) Actively safeguard the legitimate rights and interests of investors and cherish the professional honor of the securities industry. Maintaining the legitimate rights and interests of investors is the responsibility of the securities industry, and it is also the basic condition for the development of the securities industry. "Everything for customers" is both the key to the winning of merchants and the foundation of establishing a good image of the industry. Establishing a sense of professional honor and cherishing the occupational honor of the securities industry is the behavior of every securities industry practitioner.
(5) Civilized operation, polite service, and ensure the openness, fairness and fairness in securities transactions. Civilized operations and polite services are not only a manifestation of the purpose of serving the people wholeheartedly, but also the requirements of the construction of socialist spiritual civilization. As the "window" industry, the securities industry practitioners must be enthusiastic, proactive, patient and thoughtful, polite, high work efficiency, and good service quality in business activities. The openness, fairness, and justice in securities transactions are the life of the securities market and the basic principles of the professional behavior of the securities industry. Only by maintaining the "three public" principles can we ensure the healthy and orderly development of the market, establish a good reputation for the securities industry, and make the securities industry standardize development.
(6) Obief management, obey leadership, and maintain normal order in securities transactions. The securities market is a high -risk market. Not only does the market change rapidly, but the impact of sudden events on the securities market is often rapid and powerful. Discipline is a guarantee of success. When dealing with various businesses, we must take care of the overall situation, start from national interests, overall interests, and long -term interests, obey leadership, quickly and accurately implement the instructions, and consciously maintain the normal order of securities transactions.
(7) Unite colleagues, coordinate and cooperate, and properly handle various contradictions in business activities. There are many links in the operation of the securities business. The employees need to be united and cooperate with each other to give full play to the spirit of team cooperation. When encountering problems and contradictions, it can be solved with a calm and calm manner in order to improve work efficiency, better serve customers, and adapt to securities to adapt to securities The demand for rapid market changes.
(8) Enthusiastic public welfare undertakings, caring for public property, do not seek personal gain, do not make money. The securities industry practitioners must always remember the lofty mission of their occupations and establish a sense of social responsibility. Public welfare activities dedicate their love.
. Forbidden behavior:
(1) The purpose of not obtaining speculative interests shall be used to engage in securities trading activities. The securities industry practitioners use their positions to obtain speculative interests to engage in securities trading activities, which not only violates relevant laws and regulations, but also infringes the legitimate rights and interests of investors and the speculative atmosphere of the securities market, which may cause the securities market to fluctuate abnormal.
(2) The affirmative opinions of the rise or decline of securities prices must not be provided to customers. The securities market is unpredictable, and the securities industry employees provide customers with affirmative opinions on price changes. Once a loss is caused by the prediction errors, it is likely to cause legal disputes. While affecting the interests of customers, it also affects practitioners and securities and securities. The reputation of the industry.
(3) There must be an agreement to obtain improper benefits with the distribution company or related personnel. This agreement not only violates the "three public" principles, but also violates national laws. The income obtained from this agreement is an illegal return, which will be punished by administrative penalties or even legal sanctions.
(4) Do not attract customers to participate in securities transactions. Securities investment is a kind of venture capital. In the future, investment income is uncertain. Investors should have a certain economic withdrawal ability and psychological tolerance, and independently bear legal responsibility. Whether to participate in securities transactions should be independently made by customers. The securities industry practitioners advise customers to participate in securities transactions but cannot bear the corresponding responsibility on their behalf. It is a behavior that is not responsible for customers. This is actually to harm the interests of customers for the interests of small groups of securities companies. The reputation may even lead to unnecessary disputes.
(5) The commission of sharing benefits is not allowed. If you accept the entrustment of customers, you should charge various fees in accordance with the prescribed standards. If you share the income while receiving the client's entrustment, it is not only an infringement in nature, but also violates the relevant employees who must not engage in securities trading. Regulation.
(6) Do not guarantee the income from customers. The risk of securities investment is the uncertainty of securities investment income, and it is difficult for anyone to guarantee the expected return of securities investment. Make such guarantees to customers. It will affect customers' investment decisions, and may lead to the actual level of income from departing from expected income. Obviously, such guarantees are made to customers, and the ethical norms of employees in the pyrodorite industry.
(7) Do not accept the customer's total entrustment of the types, quantities, prices, prices, and buying or selling of buying and selling securities. According to relevant laws and regulations, customers who participate in NIY_ voucher must be a full -scale person who can independently assume the legal responsibility of investment activities, and bear all responsibility for their accounts or securities trading in their names. The securities industry employees accepted the commissioned power and belonged to the investment decision -making decision on behalf of customers, which violated the above provisions.
(8) It is not allowed to achieve the purpose of eliminating competition. It is not appropriate to use its superior position in the transaction to limit the business activities of a customer. In order to maintain a leading position in the competition, using special or superior conditions to limit the business activities of a customer, this approach violates the principle of "three public". The securities industry practitioners respond to all customers, whether they are large customers or small customers, whether they are competitors or competitors.
With the development of the economy, the development of the securities market has also played a certain role in my country's economic development. It affects modern society in a unique way, and it cannot be underestimated. If securities markets are the venues of securities issuance and transactions in my country. In a broad sense, the securities market refers to the sum of all securities -objective relationships. From the perspective of economics, the securities market can be defined as: through free competition, according to the supply and demand relationship Planting transaction mechanism. In the developed market economy, the securities market is an integral part of the complete market system. It not only regulates and reflects the movement of monetary funds, but also has an important impact on the operation of the entire economy. Compared with the ordinary market, the securities market has four basic characteristics: The transaction target of the securities market is stock, bonds, securities investment funds, financial derivatives and other valuable securities, and the transaction of the ordinary commodity market The object is a commodity with different use value; the stocks, bonds and other securities in the securities market have multiple functions. They can be used to raise funds, solve the problem of capital shortage, and can be used as investment tools to bring investors to investors to bring investors to bring investors to bring investors Investigation can also be used for value preservation, or reduces the loss of currency depreciation caused by price increases. It can also fight for price difference benefits through technical operations such as investment; The market price of income is closely related to the market interest rate; the risk of the securities market is large, the influencing factors are complicated, and they have greater volatility and unpredictable. The bud in the Chinese securities market appeared in the late Qing Dynasty. In the past 20 years, China's securities market has gone through an unusual leap. From the beginning of crazy and chaos, it slowly embarked on the road of rational, standardized, mature, . Start slowly from the crazy and chaos. Standard and mature. The road of rapid maturity. The continuous prosperity of the Chinese economy has strongly supported the development of the securities market. The leaders of various industries. Large state -owned enterprises have been listed and listed in the domestic market, and the proportion of direct financing of enterprises has continued to increase. Listed companies have become backbone for the development of the national economy. At the same time, the wealth effect of the stock market has also attracted a large amount of funds. has a long way to go in the Chinese securities market, but we must also have confidence in him and actively maintain the stable development of the securities market
n00:00 / 01: 0570% shortcut keys to describe space: Play / pause ESC: Exit full screen ↑: increase volume 10% ↓: decreases by 10% →: Single fast forward 5 seconds studio Here you can drag no longer appear in the player settings to reopen the small window shortcut key description
The following for your interview: The code of conduct of the securities industry employees (interviews are generally questioned around the following content, and you also include these contents)
. Guarantee behavior:
(1) Love your job, accurately execute customer instructions, and keep confidential for customers. Customers are the professional targets of the securities industry. The customer's instruction represents the customer's investment decision and is related to the customer's investment benefits. The securities industry practitioners shall accurately, timely, and complete execution of customers' instructions. Customers 'funds and securities are their legal property. Securities operating agencies are commissioned by customers to be entrusted by customers to keep these property on their behalf. Unless illegal acts are involved, except for special laws, securities industry employees shall pay customers' investment, funds, and holding securities. The situation is strictly observed, and it is not allowed to leak to others at will.
(2) Work hard to study business and improve your business level and work efficiency. The securities business has a strong professional characteristics, and has certain technical operation requirements. At the same time, it continues to open up and innovate, launch new varieties, and develop new businesses. This requires practitioners to have a solid professional knowledge and wider knowledge. We must continue to learn, study business, improve their professionalism and knowledge level, and meet the requirements of the securities markets. While serving customers, we will improve their competitiveness.
(3) Comply with the various systems of national laws and relevant securities business. The securities industry is an industry that is closely related to national interests and investors' interests. The rules and regulations formulated by the state's relevant laws and securities management departments are the legal guarantees and system guarantees of the legitimate rights and interests of the economic entities, and it is also the basis for the operation of the securities business. The securities industry practitioners should consciously observe the laws and regulations in order to restrict and standardize their actions.
(4) Actively safeguard the legitimate rights and interests of investors and cherish the professional honor of the securities industry. Maintaining the legitimate rights and interests of investors is the responsibility of the securities industry, and it is also the basic condition for the development of the securities industry. "Everything for customers" is both the key to the winning of merchants and the foundation of establishing a good image of the industry. Establishing a sense of professional honor and cherishing the occupational honor of the securities industry is the behavior of every securities industry practitioner.
(5) Civilized operation, polite service, and ensure the openness, fairness and fairness in securities transactions. Civilized operations and polite services are not only a manifestation of the purpose of serving the people wholeheartedly, but also the requirements of the construction of socialist spiritual civilization. As the "window" industry, the securities industry practitioners must be enthusiastic, proactive, patient and thoughtful, polite, high work efficiency, and good service quality in business activities. The openness, fairness, and justice in securities transactions are the life of the securities market and the basic principles of the professional behavior of the securities industry. Only by maintaining the "three public" principles can we ensure the healthy and orderly development of the market, establish a good reputation for the securities industry, and make the securities industry standardize development.
(6) Obief management, obey leadership, and maintain normal order in securities transactions. The securities market is a high -risk market. Not only does the market change rapidly, but the impact of sudden events on the securities market is often rapid and powerful. Discipline is a guarantee of success. When dealing with various businesses, we must take care of the overall situation, start from national interests, overall interests, and long -term interests, obey leadership, quickly and accurately implement the instructions, and consciously maintain the normal order of securities transactions.
(7) Unite colleagues, coordinate and cooperate, and properly handle various contradictions in business activities. There are many links in the operation of the securities business. The employees need to be united and cooperate with each other to give full play to the spirit of team cooperation. When encountering problems and contradictions, it can be solved with a calm and calm manner in order to improve work efficiency, better serve customers, and adapt to securities to adapt to securities The demand for rapid market changes.
(8) Enthusiastic public welfare undertakings, caring for public property, do not seek personal gain, do not make money. The securities industry practitioners must always remember the lofty mission of their occupations and establish a sense of social responsibility. Public welfare activities dedicate their love.
. Forbidden behavior:
(1) The purpose of not obtaining speculative interests shall be used to engage in securities trading activities. The securities industry practitioners use their positions to obtain speculative interests to engage in securities trading activities, which not only violates relevant laws and regulations, but also infringes the legitimate rights and interests of investors and the speculative atmosphere of the securities market, which may cause the securities market to fluctuate abnormal.
(2) The affirmative opinions of the rise or decline of securities prices must not be provided to customers. The securities market is unpredictable, and the securities industry employees provide customers with affirmative opinions on price changes. Once a loss is caused by the prediction errors, it is likely to cause legal disputes. While affecting the interests of customers, it also affects practitioners and securities and securities. The reputation of the industry.
(3) There must be an agreement to obtain improper benefits with the distribution company or related personnel. This agreement not only violates the "three public" principles, but also violates national laws. The income obtained from this agreement is an illegal return, which will be punished by administrative penalties or even legal sanctions.
(4) Do not attract customers to participate in securities transactions. Securities investment is a kind of venture capital. In the future, investment income is uncertain. Investors should have a certain economic withdrawal ability and psychological tolerance, and independently bear legal responsibility. Whether to participate in securities transactions should be independently made by customers. The securities industry practitioners advise customers to participate in securities transactions but cannot bear the corresponding responsibility on their behalf. It is a behavior that is not responsible for customers. This is actually to harm the interests of customers for the interests of small groups of securities companies. The reputation may even lead to unnecessary disputes.
(5) The commission of sharing benefits is not allowed. If you accept the entrustment of customers, you should charge various fees in accordance with the prescribed standards. If you share the income while receiving the client's entrustment, it is not only an infringement in nature, but also violates the relevant employees who must not engage in securities trading. Regulation.
(6) Do not guarantee the income from customers. The risk of securities investment is the uncertainty of securities investment income, and it is difficult for anyone to guarantee the expected return of securities investment. Make such guarantees to customers. It will affect customers' investment decisions, and may lead to the actual level of income from departing from expected income. Obviously, such guarantees are made to customers, and the ethical norms of employees in the pyrodorite industry.
(7) Do not accept the customer's total entrustment of the types, quantities, prices, prices, and buying or selling of buying and selling securities. According to relevant laws and regulations, customers who participate in NIY_ voucher must be a full -scale person who can independently assume the legal responsibility of investment activities, and bear all responsibility for their accounts or securities trading in their names. The securities industry employees accepted the commissioned power and belonged to the investment decision -making decision on behalf of customers, which violated the above provisions.
(8) It is not allowed to achieve the purpose of eliminating competition. It is not appropriate to use its superior position in the transaction to limit the business activities of a customer. In order to maintain a leading position in the competition, using special or superior conditions to limit the business activities of a customer, this approach violates the principle of "three public". The securities industry practitioners respond to all customers, whether they are large customers or small customers, whether they are competitors or competitors.
With the development of the economy, the development of the securities market has also played a certain role in my country's economic development. It affects modern society in a unique way, and it cannot be underestimated.
If securities markets are the venues of securities issuance and transactions in my country. In a broad sense, the securities market refers to the sum of all securities -objective relationships. From the perspective of economics, the securities market can be defined as: through free competition, according to the supply and demand relationship Planting transaction mechanism. In the developed market economy, the securities market is an integral part of the complete market system. It not only regulates and reflects the movement of monetary funds, but also has an important impact on the operation of the entire economy.
Compared with the ordinary market, the securities market has four basic characteristics:
The transaction target of the securities market is stock, bonds, securities investment funds, financial derivatives and other valuable securities, and the transaction of the ordinary commodity market The object is a commodity with different use value; the stocks, bonds and other securities in the securities market have multiple functions. They can be used to raise funds, solve the problem of capital shortage, and can be used as investment tools to bring investors to investors to bring investors to bring investors to bring investors Investigation can also be used for value preservation, or reduces the loss of currency depreciation caused by price increases. It can also fight for price difference benefits through technical operations such as investment; The market price of income is closely related to the market interest rate; the risk of the securities market is large, the influencing factors are complicated, and they have greater volatility and unpredictable.
The bud in the Chinese securities market appeared in the late Qing Dynasty. In the past 20 years, China's securities market has gone through an unusual leap. From the beginning of crazy and chaos, it slowly embarked on the road of rational, standardized, mature,
. Start slowly from the crazy and chaos. Standard and mature. The road of rapid maturity. The continuous prosperity of the Chinese economy has strongly supported the development of the securities market. The leaders of various industries. Large state -owned enterprises have been listed and listed in the domestic market, and the proportion of direct financing of enterprises has continued to increase. Listed companies have become backbone for the development of the national economy. At the same time, the wealth effect of the stock market has also attracted a large amount of funds.
has a long way to go in the Chinese securities market, but we must also have confidence in him and actively maintain the stable development of the securities market
n00:00 / 01: 0570% shortcut keys to describe space: Play / pause ESC: Exit full screen ↑: increase volume 10% ↓: decreases by 10% →: Single fast forward 5 seconds studio Here you can drag no longer appear in the player settings to reopen the small window shortcut key description