FAQ


Guiding Opinions on Strengthening the Construction of Securities and Futures Investor Education Bases


In order to standardize and promote investor education bases (hereinafter referred to as investment and education bases), give full play to their functions, and improve the level of investor education services, according to the "Several Opinions of the State Council on Further Promoting the Healthy Development of the Capital Market" (Guo Fa [2014] No. 17),

In the spirit of the Opinions of the General Office of the State Council on Further Strengthening the Protection of the Legitimate Rights and Interests of Small and Medium-sized Investors in the Capital Market (No. 110 [2013] of the State Council), we hereby propose the following guiding opinions on strengthening the construction of investment and education bases.

  General 1. requirements

Definition of (I) teaching base. An investment and education base refers to a place and network platform that is open to the public and has the functions of popularizing securities and futures knowledge, risk tips, information services and other investor education services. It is an important platform for carrying out investor education. It can be constructed and operated by the following three types of subjects: first, securities and futures trading places, industry associations, and specialized institutions managed by the China Securities Regulatory Commission to provide public infrastructure or services for the securities and futures market; the second is securities and futures operating institutions, listed companies, unlisted public companies, and securities and futures intermediary service agencies; the third is other institutions, including educational and scientific research institutions, news media, etc.

(II) the functional objectives of the teaching base. Investment and education base through diversified investment

Educational activities, display the development results of the capital market, launch investor education products, provide investor consulting and other services, use experiential, interactive and other technical means to interact with investors to help investors obtain securities and futures knowledge in a centralized and continuous and convenient way, understand investment risks and master risk prevention measures, know rights and obligations, establish rational investment concepts, enhance self-protection capabilities, and cultivate a mature investor team.

(III) the construction principles of the teaching base. One is the principle of public welfare. The investment and education base should adhere to the nature of public welfare, not for profit, and treat all investors equally. The second is the professional principle. The investment and education base shall provide professional and accurate investor education information and shall not cheat or mislead investors. Three is the characteristic principle. The investment and education base should rely on the resource advantages of the construction unit, reflect the differences and highlight the characteristics. Four is the principle of saving. The construction of the investment and education base should focus on the upgrading and transformation of the existing investment and education carriers, scientifically demonstrate the new carriers, encourage different subjects to cooperate and complement each other, and avoid duplication of construction.

Naming management of (IV) investment and education bases. For the investment and education bases that meet the construction standards stipulated in this guidance, they can be named as provincial investment and education bases by the agencies dispatched by the CSRC, among which the investment and education bases with higher quality, large scale and influence can be named as national investment and education bases by the CSRC. However, the naming does not indicate that the CSRC and its dispatching agencies have made substantive judgments or guarantees on the compliance level and profitability level of the base construction units. The naming work follows the principles of openness, fairness and impartiality, adopts the methods of centralized solicitation, voluntary declaration, expert review, and publicity of results, and considers regional balance to gradually expand coverage. In principle, the application for naming shall be carried out once a year, and the CSRC may adjust it as the case may be. The China Securities Regulatory Commission and its dispatched agencies shall implement hierarchical and dynamic management of the named investment and education bases, so as to achieve both entry and exit.

  Construction Standard of 2. Investment and Education Base

Classification of (I) teaching bases. According to the different forms of carriers, the investment and education bases are divided into physical investment and education bases and Internet investment and education bases.

(II) the educational content of the teaching base. The investment and education base shall provide the necessary information that investors need to know to participate in the market, including but not limited to basic knowledge of securities and futures and special product business knowledge, policies and regulations, self-discipline rules, investment risks and preventive measures, investors' rights and obligations, rights exercise and relief methods, characteristics and hazards of illegal securities and futures activities, Internet finance and information security knowledge, etc, Pay attention to the use of typical cases to carry out education.

(III) the functional area of the teaching base. The investment and education base should have basic functional areas such as product display area, expert lecture area, simulation experience area, interactive communication area and opinion collection area, and can also set up characteristic areas according to the needs of investors and the advantages of the construction unit.

Standards for (IV) physical investment and education bases. The standards for physical investment and education bases include:

1. It has a certain scale of places and facilities dedicated to investor education, which are open to the public according to regulations, have a certain audience and good results, are equipped with software and hardware equipment to meet the educational needs of investors, and are guided and explained by special personnel. there is a website or column to publicize the work of the investment and education base;

2. Display or release investment and education products that meet the prescribed quantity and quality, among which there should be a certain number of original products, and actively carry out public welfare investment and education activities to meet the reasonable educational needs of investors in a timely manner;

3. It has the funds to ensure the normal operation of the investment and education base, and has a clear investment and education base.

The local management department has the personnel required to carry out the investment and education work and has a perfect management and assessment system for the investment and education base;

4. There is no prohibition under this guidance;

5. Meet other conditions stipulated by the CSRC and its dispatched agencies according to the needs of investors.

(V) the standard of Internet teaching base. The standards for Internet investment and education bases include, in addition to the standards from Items 2 to 5 of the aforementioned entity investment and education bases:

1. A network platform with a certain scale dedicated to investor education, which can be accessed by the public at any time, with no less than the specified number of visits, and equipped with software and hardware equipment to meet the educational needs of investors;

2. The network protection system is perfect, the website column design is reasonable, the retrieval function is powerful, the information is accurate and rich, and the update rate reaches the prescribed standard.

In order to meet the needs of market development and investors, the specific quantitative standards for investment and education bases shall be separately prescribed by the China Securities Regulatory Commission and its dispatched offices.

  Declaration and Naming of 3. Investment and Education Base

(I) reporting subject. The main body of the declaration of the investment and education base is the unit with independent legal personality responsible for its construction and operation, and the provincial investment and education base can be declared by the branch authorized to build and operate the base. If two or more subjects cooperate in the construction and operation of the investment and education base, it shall be agreed that one of the subjects shall be responsible for the declaration.

(II) declaration materials. The reporting entity shall provide the following materials and ensure the authenticity and accuracy of the information:

1. Application form for teaching base;

2. A copy of the copy of the business license of the reporting subject;

3. The construction and operation plan and effect of the investment and education base, the information on the annual investment and education products or the investment and education activities, the management system of the investment and education base, etc;

4. Other materials required by the CSRC and its dispatched offices.

(III) declaration channels. The application materials of the national investment and education base shall be submitted to the CSRC, the application materials of the provincial entity investment and education base shall be submitted to the dispatched office of the CSRC where the base is located, and the application materials of the provincial Internet investment and education base shall be submitted to the dispatched office of the CSRC where the reporting subject is located.

(IV) naming procedures. For institutions outside the securities and futures industry to declare investment and education bases, the CSRC and its dispatched offices may seek the opinions of the relevant competent departments. The CSRC may solicit the opinions of the relevant dispatching agencies for the declaration of state-level investment and education bases by the operators of the securities and futures markets. The China Securities Regulatory Commission and its dispatched agencies organize experts to review the application materials, and after publicizing the review results to the public, formally name the investment and education base and announce it to the public. The dispatched office shall report to the CSRC for the record after naming the provincial investment and education base.

 Supervision and Management of 4. Investment and Education Base

(I) supervision and management of the main body. The CSRC and its dispatched offices are responsible for the supervision and management of the named investment and education bases, and the investment and education bases declared by institutions outside the securities and futures industry are also subject to the business guidance of the relevant competent authorities.

(II) named use. The investment and education base shall place or display the logo of the investment and education base issued by the CSRC or its dispatching agency in a prominent position.

(III) daily operation. The investment and education base shall take the initiative to carry out investor education work, ensure continuous compliance with the construction standards stipulated in this guidance, and timely report to the investor education workers.

For the situation and results, take the initiative to inform the naming subject investment base to change the name, address, person in charge and other important matters.

(IV) assessment management. The CSRC and its dispatching agencies shall establish and improve the assessment mechanism to ensure that the investment and education bases continue to meet the construction standards. The investment and education base should actively cooperate and rectify the problems found. The results of the assessment should be announced to the public.

(V) incentives. The CSRC encourages all kinds of subjects to actively participate in the construction of investment and education bases, and may take the following measures:

1. The naming and assessment of the investment and education bases declared by securities and futures trading venues, industry associations and specialized institutions, as well as market entities in various jurisdictions, will be used as a bonus item for the China Securities Regulatory Commission when evaluating the investor protection work of relevant units;

2. The naming and assessment of the investment and education bases declared by securities companies, futures companies and their branches will be gradually incorporated into the classified supervision of securities companies and futures companies as a bonus item for evaluating the relevant indicators of investor protection;

3. When selecting the undertaking or cooperative units for investor education and related training, research and publicity work, priority shall be given to the applicant of the named investment and education base, especially the investment and education base with excellent assessment results;

4. Organize to provide investment and teaching products and teachers for investment and teaching bases, carry out business training, subsidize innovative investment and teaching projects, organize information sharing and exchange, commend and publicize advanced, and strengthen support services for national investment and teaching bases with a wide range of services.

(VI) prohibited circumstances. The following circumstances shall not exist in the investment and education base:

1. Engaging in activities that violate laws and regulations and mislead investors by fraud;

2. Knowing or should know that there are false records or misleading information on investor education.

sexual statements or material omissions, still available to investors, or unequal treatment of all investors, poor quality of service, or security risks;

3. Not fulfilling the daily work requirements stipulated in this guidance, not participating in or cooperating with the assessment, or failing to pass the assessment;

4. Engaging in other activities that damage the legitimate rights and interests of investors. For the existence of the above-mentioned circumstances, the CSRC and its agencies will require the investment education.

If the base makes corrections within a time limit, if the circumstances are serious or if it fails to make corrections within the time limit, the name of the base shall be canceled and announced to the public. The reporting unit that has been canceled shall not report again within three years. After the agency cancels the naming of the provincial investment and education base, it shall report to the CSRC for the record.

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