Interpretation of the Regulations on Clean Practice of Securities and Futures Operating Institutions and Their Staf Return to the previous level Single-choice questions (2 questions, 20 points each) 1 . The securities and futures business institutions shall submit to the relevant local offices of the CSRC a report on the clean and honest management of the previous year before each year.     My answer: C 2 . Where a securities and futures trading institution and its staf find that its shareholders, customers and other relevant parties interfere with the supervision work by improper means, the securities and futures trading institution shall report to the relevant local offices of the CSRC within () working days.     My answer: B Multiple-choice questions (2 questions, 20 points each) 1 . In carrying out securities and futures business and related activities, securities and futures operators and their staf shall not convey illegitimate interests to public officials, customers, potential customers under negotiation or other stakeholders in the following ways.           My answer: ABCD 2 . Regarding the division of duties and responsibilities for internal control of the integrity of securities and futures operators, the following options are correct ().            My answer: ABCD Judgment questions (1 question, 20 points each) 1 . Securities companies, futures companies, fund management companies and their subsidiaries all belong to the securities and futures business institutions referred to in the Regulations on the Clean Practice of Securities and Futures Operating Institutions and Their Staf.() Right and wrong My answer: Yes.

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