According to Article 11 of the Measures for the Administration of Customer Identity Identification of Financial Institutions and Preservation of Customer Identity Data and Transaction Records, securities companies, futures companies, fund management companies and other institutions engaged in fund sales shall identify customers when handling the following businesses.

Understand the natural person who actually controls the customer and the actual beneficiary of the transaction, check the customer's valid identity documents or other identification documents, register the basic information of the customer's identity, and keep a copy or photocopy of the valid identity documents or other identification documents.

(1) Opening, closing, alteration, deposit and withdrawal of capital accounts, etc. ?

(2) Opening a capital account. ?

(3) Handling the opening, loss reporting and cancellation of securities accounts or the application, loss reporting and cancellation of trading codes of futures customers. ?

(4) Signing futures brokerage contracts with clients. ?

(five) to handle the agency authorization or cancel the agency authorization for customers. ?

(6) Transfer custody, designated transaction and cancellation of designated transaction. ?

(7) Confirmation of proxy shares. ?

(8) Report the loss of transaction password. ?

(nine) modify the customer identity and other basic information materials. ?

(ten) the opening of online transactions, telephone transactions and other non counter transactions. ?

(eleven) to sign credit transaction contracts with customers such as margin financing and securities lending. ?

(twelve) to handle other businesses as determined by the People's Bank of China and the China Securities Regulatory Commission.

Extended data:

According to Article 22 of the Measures for the Administration of Customer Identification and Preservation of Customer Identity Data and Transaction Records of Financial Institutions, financial institutions shall re-identify customers under the following circumstances:

(1) The customer requests to change its name, identity document or type, identity document number, registered capital, business scope, legal representative or person in charge. ?

(2) Abnormal customer behavior or transaction. ?

(3) The customer's name is the same as that of a criminal suspect, money launderer or terrorist financier who is required by relevant departments, institutions and judicial organs in the State Council to investigate or pay attention to according to law. ?

(4) The customer is suspected of money laundering or terrorist financing activities. ?

(5) The customer information obtained by the financial institution is inconsistent or contradictory with the relevant information previously mastered. ?

(6) Have doubts about the authenticity, validity and integrity of the customer identity information obtained before. ?

(7) Other circumstances in which the financial institution considers that the customer's identity should be re-identified.