First, further urge securities and futures operating institutions to improve the execution of the investor suitability system. Securities and futures operating institutions are the most direct subjects to assume and perform suitability responsibilities, and are also the key link between regulators and investors. In the next step, our bureau will thoroughly implement the "relaxation" of The concept of "control and strengthen supervision" further emphasizes the requirements for investor suitability management to securities and futures operating institutions in the jurisdiction, and requires securities and futures operating institutions to truly integrate investor education and the implementation of the investor suitability system into daily operations in actual work. In the institutional regulations of management, institutions are guided to follow the principle of "explaining the rules thoroughly and explaining the risks sufficiently", give full play to the characteristics of being close to the market and facing investors directly, give full play to the advantages of talents, information and equipment, and properly transfer investors The system runs through all business links such as new accounts, securities marketing, product and business promotion, customer service, etc., and at the same time, publicity and education on investor rights protection are strengthened to help investors fully understand market entry requirements and potential risks.

The second is to increase the inspection of the implementation of the investor suitability system and the punishment of violations. In the next step, our bureau will regard the implementation of the investor suitability system as an important part of on-site inspections of securities and futures operating institutions, intensify the crackdown on violations during the implementation of the investor suitability system, and use strict regulatory measures to Urge securities and futures operating institutions to increase their awareness of compliance and pay attention to the implementation of the investor suitability system.