1. For the contract file, it refers to the futures brokerage contract signed between the company and the customer to conduct futures trading on behalf of the customer and its related attachments, including customer account opening information, customer change information and account cancellation information. It is the true record of the customer's identity and the original certificate of the entrustment relationship, and it is an important basis for identifying the customer's identity.
2. galaxy futures Company implements the principle of centralized and unified management in contract file management to ensure the integrity, accuracy, safety and effective utilization of contract files.
3. The basic principle of contract file management is: one file per household, managed by special personnel. One file per household refers to the unified numbering and sorting of files according to the "fund account number", and a customer file is formed in each customer data set. Personnel management means that the customer service staff at headquarters is responsible for the management of customer files.
4. Customer files related to account opening, change and cancellation shall be kept for at least 20 years from the date of termination of the futures brokerage contract. Where relevant materials are saved or backed up by electronic data, the authenticity and reliability of the electronic data shall be ensured, and effective measures shall be taken to prevent the leakage of the electronic data.
5. If the customer service staff of the headquarters and the customer service staff of various business departments commit one of the following acts, the company will punish the relevant personnel with verbal warning, written examination and termination of the labor contract according to the seriousness of the case, and if the circumstances are serious, the legal responsibility of the relevant parties shall be investigated according to law:
(1) Damage, loss or unauthorized destruction of contract files;
(2) Altering or forging contract files;
(3) Providing, consulting, transcribing and duplicating contract files and video materials without authorization;
(four) borrowing contract files in violation of regulations;
5. Selling or transferring archives,
(6) Loss of contract files due to dereliction of duty;
(7) compromise or disclosure.