These Measures shall apply to the performance of anti-money laundering duties by institutions engaged in fund sales business. Article 3 China Securities Regulatory Commission (hereinafter referred to as China Securities Regulatory Commission) shall cooperate with the anti-money laundering administrative department of the State Council to perform the anti-money laundering supervision duties of the securities and futures industry, formulate anti-money laundering rules and regulations of the securities and futures industry, and organize, coordinate and guide the anti-money laundering work of securities companies, futures companies and fund management companies (hereinafter referred to as securities and futures operating institutions).
The dispatched office of China Securities Regulatory Commission shall perform the anti-money laundering supervision duties of the securities and futures industry within its jurisdiction in accordance with the provisions of these Measures. Article 4 China Securities Industry Association and China Futures Industry Association shall, in accordance with the provisions of these Measures, perform the duties of self-discipline management of anti-money laundering in the securities and futures industry. Article 5 Securities and futures institutions shall establish and improve the anti-money laundering system according to law, and submit relevant information to the local dispatched office of China Securities Regulatory Commission in accordance with the provisions of these Measures. Securities and futures institutions shall report to the anti-money laundering administrative department and the investigation organ in accordance with the law when they find clues about suspected money laundering activities in the securities and futures industry. Chapter II Duties of Regulators and Industry Associations Article 6 The China Securities Regulatory Commission is responsible for organizing, coordinating and guiding the anti-money laundering work of the securities and futures industry, and performing the following anti-money laundering duties:
(1) Cooperate with the anti-money laundering administrative department of the State Council to study and formulate policies and plans for the anti-money laundering work of the securities and futures industry, study and solve major and difficult problems in the anti-money laundering work of the securities and futures industry, and timely notify the anti-money laundering administrative department of the State Council;
(2) To participate in the formulation of relevant provisions on anti-money laundering of securities and futures institutions, put forward requirements for securities and futures institutions to establish and improve internal control systems on anti-money laundering, and implement anti-money laundering requirements on market access and personnel appointment of securities and futures institutions;
(three) to cooperate with the anti-money laundering administrative department of the State Council to carry out anti-money laundering supervision on securities and futures institutions;
(four) in conjunction with the anti-money laundering administrative department of the State Council, to guide the China Securities Industry Association and the China Futures Industry Association to formulate anti-money laundering guidelines and carry out anti-money laundering publicity and training;
(five) to study the major issues of anti-money laundering in the securities and futures industry and put forward policy suggestions;
(six) timely report suspected money laundering transactions to the investigation organ, and assist the judicial department in investigating suspected money laundering cases;
(seven) to evaluate the implementation of anti-money laundering supervision by the dispatched offices, and to guide the China Securities Industry Association and China Futures Industry Association to implement anti-money laundering work;
(eight) other duties as prescribed by laws and administrative regulations. Article 7 The dispatched office of China Securities Regulatory Commission shall perform the following anti-money laundering duties:
(1) Cooperate with the local anti-money laundering administrative department to supervise and control the securities and futures institutions within its jurisdiction, and establish an information exchange mechanism;
(2) Regularly submit to the China Securities Regulatory Commission the semi-annual and annual anti-money laundering work within its jurisdiction, and timely report the information such as the inspection or punishment of securities and futures institutions within its jurisdiction by the anti-money laundering administrative department and related major events;
(3) Organizing and guiding the anti-money laundering training and publicity of the securities and futures industry within its jurisdiction;
(four) to study the anti-money laundering work of the securities and futures industry in its jurisdiction and put forward improvement measures;
(5) Other duties as stipulated by laws, administrative regulations and the China Securities Regulatory Commission. Article 8 China Securities Industry Association and China Futures Industry Association shall perform the following anti-money laundering duties:
(a) under the guidance of the CSRC, formulate and revise the relevant work guidelines for anti-money laundering in the industry;
(2) Organizing member units to carry out anti-money laundering training and publicity;
(3) Submit the annual anti-money laundering report of the Association to the China Securities Regulatory Commission on a regular basis, and report relevant major issues in a timely manner;
(4) Organizing member units to study issues related to anti-money laundering in the industry;
(5) Other duties as stipulated by laws, administrative regulations and the China Securities Regulatory Commission. Chapter III Anti-money Laundering Obligations of Securities and Futures Operating Institutions Article 9 Securities and Futures Operating Institutions shall fulfill their anti-money laundering obligations according to law and establish and improve the internal control system against money laundering. The person in charge of the securities and futures operating institution shall be responsible for the effective implementation of the internal control system against money laundering, and the headquarters shall supervise and manage the implementation of the internal control system against money laundering of its branches, and report the development of the anti-money laundering work to the dispatched office of the local China Securities Regulatory Commission as required. Article 10 A securities and futures operating institution shall submit the establishment of the internal anti-money laundering department and the contact information of the person in charge and the anti-money laundering specialized personnel to the dispatched office of the local China Securities Regulatory Commission. If there is any change, the updated relevant information shall be submitted within 10 working days from the date of change. Article 11 A securities and futures operating institution shall, within 5 working days after discovering the following events, report in writing to the local dispatched office of China Securities Regulatory Commission:
(1) The securities and futures institutions are inspected or punished by the anti-money laundering administrative department;
(2) Securities and futures institutions or clients engaged in or suspected of engaging in money laundering activities are punished by anti-money laundering administrative departments, investigation organs or judicial organs;
(3) Other major matters involving anti-money laundering work.