Risk management of IB business runs through all business links. In the process of opening an account, the staff of securities institutions need to explain to customers the rights and obligations among futures companies, customers and securities companies, and conduct a real-name registration system audit. For investors, they must bring their valid identity documents (natural persons usually hold their valid identity documents) to the securities company to open an account, and may not entrust others to handle it. In the course of trading, securities companies are not allowed to conduct futures trading on behalf of customers, issue trading instructions on behalf of customers, receive, keep or modify trading passwords on behalf of customers, or use securities capital accounts to guarantee profits, deposit and withdraw deposits for customers, strictly abide by IB business supervision regulations, and provide customers with safe, fast and reliable market and trading services. For investors, they should properly keep their own trading passwords, trading account numbers and other information, and may not entrust securities company personnel to operate on their behalf. If it is really necessary to set up an agent, you must go through the relevant formalities at the securities company according to the regulations.
In the risk control link, the securities company will undertake the responsibility of assisting in risk control according to the IB business implementation measures jointly formulated with the futures company, and supervise, explain and remind investors of risks. For investors, it is necessary to strengthen fund management, prevent Man Cang operation, add margin in time, and minimize the losses caused by forced liquidation. According to statistics, more than 40 domestic brokers have obtained IB business qualifications, and the performance contribution provided by IB futures companies is also increasing. Before the listing of stock index futures, some local securities regulatory bureaus, which were conservative about the IB business of commodity futures in the securities business department, also "opened the floodgates".
In Shenyang alone, the number of securities business departments allowed to carry out IB business in futures has increased from the earliest five to more than 20, and the number of IB personnel is also growing rapidly. The competition pressure faced by the securities business department in the futures IB business is also increasing, and the problems encountered by the futures IB personnel in their business development are also increasing. If more securities customers are attracted to participate in futures, securities funds will be lost. Moreover, the risk control of futures trading is much more difficult than that of securities, and customers are more likely to lose money. The further promotion of customer development depends on the support of futures companies in training and risk control processes.
In fact, with the gradual "loosening" of the futures IB business in the brokerage business department, in addition to financial futures exchanges, commodity futures exchanges have also taken active actions to provide futures IB business support for brokers. Shanghai Futures Exchange 165438+ 10 hosted the "Futures Knowledge Training for IB Business Personnel" in Shenzhen in early October, providing all-round training from product, marketing to risk control for IB business personnel of securities firms. Cao Ruming, deputy director of Shenzhen Securities Regulatory Bureau, said: "We are concerned in the front-line supervision work that some securities companies' business departments are unfamiliar with the futures market and their ability to serve investors is not strong, which has affected the in-depth development of IB business and the improvement of customer service level. Securities practitioners should understand the futures market more comprehensively through training, do IB business well, provide more professional services for investors, and lay the foundation for launching financial derivatives represented by stock index futures in the future. "