According to Article 16 of the Interim Provisions on the Administration of Securities Brokers, securities companies should establish and improve an information inquiry system to ensure that customers can inquire about the name, agency authority, agency term, securities business department, practice area and certificate number of securities brokers at any time through websites, telephones or the Internet, and can view photos of securities brokers through websites or the Internet.

A securities company shall provide customers with monthly or quarterly information such as the transaction status and asset balance of customer accounts recruited and served by securities brokers through letters, emails, short messages or other appropriate means. Where there are other agreements between a securities company and its customers, such agreements shall prevail. A securities company shall establish and improve the system of customer return visits, and designate personnel to pay regular return visits to customers recruited and served by securities brokers through interviews, telephone calls, letters or other means, so as to understand the practice of securities brokers and make complete records.

Extended data:

The relevant requirements of securities brokers stipulate that:

1. A securities company shall incorporate the practice of securities brokers into the scope of compliance management of the company, and establish a scientific and reasonable performance appraisal system to incorporate the compliance of securities brokers' practice into its performance appraisal scope.

2、? If a securities broker violates the internal management system, self-discipline rules or the provisions of laws, administrative regulations, regulatory agencies and administrative departments in the course of practicing, the securities company shall investigate its responsibility in accordance with the relevant provisions and the entrustment contract, and report to the agency of the China Securities Regulatory Commission where the company is domiciled and the securities business department where the securities broker serves.

Interim Provisions of China Securities Regulatory Commission on the Administration of Securities Brokers