In the whole IB business process, the account opening link is the most important of all links. It is clearly pointed out in the Interim Measures for Administration that securities companies should establish a complete system to assist in opening accounts and examine the account opening information and identity authenticity of customers. However, in the business rules of the Interim Measures for Administration, it is only clear that IB is responsible for the account opening information and identity authenticity of customers. In other links such as capital transfer and risk control, IB is in an auxiliary position, and there is no specific and clear division of responsibilities. Based on this, it is necessary to pay special attention to the verification and audit of customer identity and information in the process of opening an account with a securities company that has established a relationship with a futures company.

The key points that securities companies need to pay attention to in the process of opening accounts for investors are:

■ The business personnel responsible for opening accounts for investors should have the qualifications of futures practitioners and must be handled by dual-post personnel.

■ Review the legal qualifications of investors as required, and the manager of the securities business department should strictly review the authenticity and validity of various certificates and documents (the validity period of personal ID card, the annual inspection and stamp of the copy of the business license of enterprise as a legal person, etc.). ), the necessary identification of the documents in question, and strict examination of the validity and scope of authorization of the customer's power of attorney.

■ Explain the way and process of futures trading before signing the contract.

■ Investors should ensure that all account opening procedures have been completed before trading, including registering futures settlement accounts in accordance with the requirements for safe deposit of futures deposits.

■ Do not accept, keep or modify transaction passwords on behalf of investors, operate or keep passbooks and seals on behalf of customers, and do not guarantee profits.

■ Investors must apply for trading codes through futures companies, one for each household, and mixed code trading is strictly prohibited.