1. The China Securities Regulatory Commission and its dispatched offices shall supervise and manage the introduction business activities of securities companies according to law. Relevant self-regulatory organizations shall conduct self-regulatory management of the introduction business activities according to law.

2. See the book for application conditions and risk control index standards (Compilation of Futures Regulations,No. 1 1 p 134).

3. When introducing customers to a futures company, a securities company shall clearly explain the entrustment relationship with the futures company, explain the ways, processes and risks of futures trading, and shall not make promises such as capital preservation and risk protection, and shall not make false propaganda to mislead customers.

4. The China Securities Regulatory Commission and its dispatched offices shall conduct on-site inspection and off-site inspection on the introduction business of securities companies according to the principle of prudent supervision.

5. A securities company shall properly keep the vouchers, bills, account books, statements, contracts, data and materials related to business introduction in its business place. The period for a securities company to keep the above documents and materials shall not be less than 5 years.

6. A securities company shall establish and effectively implement a compliance inspection system for introduction business. Securities companies shall regularly check the implementation of the introduction business rules, internal control, risk isolation and other systems and the development of the introduction business of the business department, and submit compliance inspection reports to the dispatched offices of the China Securities Regulatory Commission every six months. When a major event occurs, the securities company shall report to the local agency of China Securities Regulatory Commission within 2 working days.

Exercise exercise.

1. Securities companies and futures companies shall operate independently, and their finance, personnel and business premises shall be separated. ()

wrong

correct

Reference answer: Yes.

Reference analysis: Article 15 of the Trial Measures for Securities Companies to Provide Intermediary Services for Futures Companies stipulates that securities companies and futures companies should operate independently, with separate finance, personnel and business premises.

2, securities companies engaged in futures intermediary business, should establish a complete () system, review the customer's account information and identity authenticity.

A. Risk management

B. Technical risks

C. Assist in opening an account

D. Full account opening

Reference answer: C.

Reference analysis: Article 19 of the Trial Measures for Securities Companies to Provide Intermediary Services for Futures Companies stipulates that securities companies should establish a complete system of assisting in account opening and examine the account opening information and identity authenticity of customers.

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