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第一章 总则 第一条 为了加强对证券、期货投资咨询活动的管理,保障投资者的合法权益和社会公共利益,制定本办法。 第二条 在中华人民共和国境内从事证券、期货投资咨询业务,必须遵守本办法。 本办法所称证券、期货投资咨询,是指从事证券、期货投资咨询业务的机构及其投资咨询人员以下列形式为证券、期货投资人或者客户提供证券、期货投资分析、预测或者建议等直接或者间接有偿咨询服务的活动: (一)接受投资人或者客户委托,提供证券、期货投资咨询服务;
Chapter I General Provisions Article 1 These Measures are formulated in order to strengthen the management of securities and futures investment advisory activities and safeguard the legitimate rights and interests of investors as well as the public interest in the society. Article 2 The securities and futures investment consulting business in the territory of the People’s Republic of China must comply with these Measures. The term “securities and futures investment consulting” as mentioned in the present Measures means that the agencies engaging in the securities and futures investment consulting business and their investment consultants provide securities, futures investors or clients with securities, futures investment analysis, forecasts or suggestions in the following forms directly or Indirect paid advisory services activities: (A) accept the investment or client commission, to provide securities, futures investment advisory services;