(a) the securities company has more than two staff members to receive customers, at least one of whom is a witness to the account opening; When a securities company brings its staff to meet with customers, the account opening witness shall complete the witness together through remote real-time video;
Personnel engaged in customer account witness shall have the qualification of securities practice; The account opening witness shall be a full-time employee of the securities company, and shall not be a marketing person, and shall not be employed until they have passed the training;
(2) When meeting with clients, the staff of securities companies shall show their work certificates to clients, and inform clients that they can verify their identities through the websites of securities companies or their customer service hotlines and their professional qualifications through the websites of China Securities Association;
(3) The place of witness shall be agreed by the securities company and the customer.
(4) A securities company shall collect and properly preserve the image materials that can truly reflect its witness process; The staff meeting with the customer should sign and leave a mark on the customer account opening document.
(5) After the investor submits the application materials for opening an account, the account opening agency shall review the consistency of the valid identity documents provided by the investor and the validity of the application materials for opening an account such as the valid identity documents of the investor. The account opening agency shall also verify the authenticity of the valid identity documents of natural person investors or institutional investors through the ID card reader or the ID card verification system of the Ministry of Public Security.
(six) the account opening agency shall collect and keep the certification materials that can truly reflect the key steps of its witness process.