Duties for the Customers

1. Priority on Customer Interests
Executives or employees of GSIA members shall make the interests of the customers their first priority. One’s own interest or a third party’s interest shall not be put before the interests of the customers.

2. Duty of Due Diligence
Executives or employees of GSIA members shall, when performing their duties, do their best to pay attention as an expert to ensure the maximum returns for customers and the integrity of the market.

3. Maintenance of Suitability
Executives or employees of GSIA members shall, when recommending investments to customers, induce suitable investments by clearly identifying the customer’s investment purpose, the customer’s investment experience, and the level of risks that the customer is willing to take, etc.

4. Maintenance of Fairness
Executives or employees of GSIA members shall not discriminate between customers without justifiable reasons when performing their duties

5. Duty of Notification and Explanation
Executives or employees of GSIA members shall, when trading with customers, give in-depth notification about any conditions that are likely to have an important effect on such trading. Important information shall also be explained to ensure the customers understand.

6. Provision of Reasonable Grounds
Executives or employees of GSIA members shall, when providing investment information or recommending investment to customers, give data based on precise investigation and analysis based on reasonable and sufficient grounds.

7. Duty of Accurate Expression
Executives or employees of GSIA members shall, when providing investment information or recommending investment to customers, clearly differentiate personal opinions from objective facts, and shall not provide conclusive judgment on uncertain matters, including expressions that may mislead customers as a guarantee of investment returns.

8. Duty of Reporting and Recording
The results of the duties delegated by the customers to executives or employees of GSIA members shall be reported to the customers without delay. Records and evidences related to performing the duties shall be stored according to due process.

9. Prohibition of Divulging and Illegally Using Customer Information
Executives or employees of GSIA members shall not divulge customer information, or illegally use it for their own or a third party’s interests.

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