证券从业人员

从法律的层面上，完善相应的法律，并且有条件的允许对证券从业人员进行个人交易；从其他方面，加强监管、完善基金治理结构、建立证券从业人员的诚信体系。

Improve relevant laws and conditions to allow employees to make personal securities transactions ; From other areas to strengthen supervision and improve fund governance structure and establish the integrity of the system for securities practitioners .

建立由第三方协助的证券中介及其从业人员职业信用评价体系、为诚信中介的发展创造良好的的社会环境。

Building agency and employee 's credit evaluation system ; creating good social environment for the development of agency .

第一百四十四条证券公司及其从业人员不得未经过其依法设立的营业场所私下接受客户委托买卖证券。

Article 144 . Securities companies and their employees shall not privately accept customers ' authorization to purchase or sell securities at business venues that are not established in accordance with the law .

第一百四十五条证券公司的从业人员在证券交易活动中，按其所属的证券公司的指令或者利用职务违反交易规则的，由所属的证券公司承担全部责任。

Article 145 . During securities transaction , when the employees of a securities company act in accordance with the company 's instruction or act in violation of transaction rules and regulations while performing their jobs , the securities companies shall assume full responsibility for the employees ' action .

证券中介机构及其从业人员出具的专业报告对投资者具有很大的影响作用，投资者往往依赖证券中介机构出具的专业报告做出投资决策。

The reports made by securities intermediate agencies have great influences on the securities investors ' decisions .

从狭义上来说，证券经纪人是指经过特殊训练的证券从业人员，他们一般作为证券经纪商的代表，向客户提供证券委托代理、信息咨询、账户管理（全权委托理财）等证券专业化服务。

In the narrow sense it refers to securities market professionals who had special trainings , and generally work as securities agencies , information providers , accounting managers ( carte blanches in asset management ), and other professional services as stock dealers ' representatives .

第一百二十六条因违法行为或者违纪行为被开除的证券交易所、证券登记结算机构、证券公司的从业人员和被开除的国家机关工作人员，不得招聘为证券公司的从业人员。

Article 126 . Employees of a stock exchange , a stock registration and accounting institution , and a securities company , as well as government functionaries who are fired for violation of law or discipline are not allowed to be recruited by securities companies .

但近年来，证券发行市场和交易市场虚假陈述的案例层出不穷，很多证券服务机构和从业人员也参与其中，给投资者财产造成巨大损失。

However , in recent years , more and more false statement issues arise in the securities market .

对于在开展证券评级业务活动中知悉的国家秘密、商业秘密和个人隐私，证券评级机构及其从业人员应当依法履行保密义务。

The securities rating agency and its rating professional shall perform confidential obligations according to law for the state secrets , business secrets and privacy which are known in carrying out the securities rating businesses .