- Abiding by the rules : Understanding and abiding by the self-regulations and the associated rules and regulations as stipulated by the supervisory/regulatory authorities. Behaviors in the form of self violations or aiding and abetting others in violating the rules and regulations are strictly prohibited.
- Trustworthiness and Integrity : Members must desist from behaviors that misguide, falsify, defraud, conflict with, and as a consequence, causing mistrust on the part of other market participants.
- Prudent Administration : Prudent administrators are obligated to exercise the due cares and accountabilities expected of them in strengthening systems robustness, protecting of data security and providing the best possible services.
4、 公開透明原則：須適時提供投資人、使用者充足、透明及最新之資訊，並告知投資人投資之風險， 以利投資人從事投資決定。並鼓勵自動揭露額外訊息，協助投資人做更佳之決策。
- Open and Transparent : To enable investors to make adequate investment decisions, timely information must be provided to them, availing them of sufficient, transparent and most up-to-date information, while making sure they understand the associated risks. Additional information is also encouraged to be made available to them which is aimed at enabling the investors to make the optimal decisions.
- Confidentiality : Adequate care should be exercised to utilizing investors and consumers’ data. To help establish a foundation of trust with the aforementioned parties, the members are prohibited from revealing confidential or using in an improper manner their information.
- Fair Competition : Wanton destruction of competitors’ reputations, of common interests, or other types of unethical competition should be avoided.