The term "intermediary institutions" as mentioned in these Measures refers to independent institutions or organizations established in accordance with the law, entrusted in market economic activities, providing services such as authentication, brokerage, consulting and agency with professional knowledge and skills, charging fees and assuming corresponding responsibilities.
Where laws and regulations provide otherwise, such provisions shall prevail. Article 3 Intermediaries and their practitioners must strictly abide by the laws, regulations and policies of the state, abide by the rules of practice and professional ethics in accordance with the principles of independence, objectivity, impartiality and good faith, carry out intermediary business, and bear corresponding legal and other responsibilities. Their legal practice is protected by the laws of the state, and no unit or individual may interfere. Article 4 The municipal administrative department of intermediary agencies shall be responsible for the comprehensive and coordinated management of intermediary agencies in the city, and study and formulate the development plans, reform plans and supporting policies of various intermediary industries in the city.
The relevant departments of cities, districts and counties shall be responsible for the supervision and management of relevant intermediaries and their practitioners respectively in accordance with the provisions of laws, regulations and these Measures.
The administrative department for industry and commerce is responsible for the registration and supervision of intermediary institutions.
Where laws and regulations provide otherwise, such provisions shall prevail. Article 5 The establishment of intermediary institutions shall be subject to the registration system. The establishment of an intermediary institution shall apply to the local administrative department for industry and commerce for registration of establishment. Those who have not registered shall not engage in profit-making intermediary activities.
Laws and administrative regulations stipulate that intermediary institutions shall be examined and approved by the relevant administrative departments before registration, or there are special provisions on the establishment of intermediary institutions, such provisions shall prevail.
Where an intermediary institution outside this Municipality establishes a branch in this Municipality, it shall go through the registration formalities at the place where the branch is located. Article 6 Intermediary institutions shall be established independently and bear legal responsibilities, and shall not be subordinate to state organs or organizations with public management functions.
State functionaries shall not work part-time in intermediary institutions. Article 7 An intermediary institution shall improve the corporate governance structure, improve the labor, personnel and distribution systems, and establish an operational mechanism that conforms to the actual situation of the intermediary institution. Article 8 Where laws and administrative regulations provide for the professional qualification recognition or qualification system for intermediaries and their practitioners, the relevant administrative departments shall implement it in accordance with the laws and administrative regulations. Article 9 An intermediary institution shall publicly hang the following licenses in its business premises:
(1) Industrial and commercial business license;
(2) tax registration certificate;
(3) Enterprise qualification certificate;
(4) Practice license;
(five) other licenses that must be made public as prescribed by laws and regulations.
In the obvious position of its business premises, the intermediary institution shall announce the contents of its intermediary services, service standards, charging items, charging standards, telephone numbers and addresses of supervision and complaint institutions and other matters. Article 10 Except for instant settlement and simple intermediary business, an intermediary agency shall sign a contract with the client in providing intermediary services according to law. Article 11 An intermediary institution shall keep a good record of its practice. The practice record shall record the following contents:
(a) the entrusted matters and the specific requirements of the client;
(2) Fees collected and payment methods;
(3) the business norms and relevant requirements that should be observed in the performance of the contract;
(four) the performance of the entrusted matters, including the acceptance of the entrusted matters, the completion process, and the handling of the termination procedures. Article 12 An intermediary institution shall establish a practice quality audit system, regularly check the practice records, ensure that the practice quality reaches the professional standards, and timely adjust the practitioners who do not meet the requirements. Thirteenth intermediaries and their practitioners shall abide by the following provisions in addition to the business rules:
(1) The information and materials provided and the written documents issued shall be true and legal;
(2) It shall promptly and truthfully inform the client of the information it should know;
(3) Keeping confidential the business secrets and other secret matters known in the practice;
(four) properly keep the samples, deposits, prepayments, relevant documents and other property and materials delivered by the client;
(five) to complete other matters stipulated in the entrustment contract and business norms as scheduled. Fourteenth intermediary institutions and their practitioners are prohibited from engaging in the following acts:
(1) The information and materials provided may endanger national security and public interests;
(2) Providing false information and materials, issuing false audit reports, capital verification reports, evaluation reports and supporting documents, or making misleading false propaganda on the goods and services of brokers;
(3) Asking for or accepting gratuities or other property other than those stipulated in the contract, or taking advantage of practicing to seek other illegitimate interests;
(four) take illegal means such as concealment, fraud, coercion, bribery, collusion, etc., and harm the interests of the client or others;
(5) Forging or altering trading documents and vouchers;
(six) to employ persons who are not qualified to practice, or to employ persons who are not allowed to practice in accordance with the provisions of these measures;
(seven) practitioners practice in two or more intermediaries in the same industry at the same time;
(eight) other acts prohibited by laws, regulations, rules and industry norms.