Article 34 The monitoring center shall, in accordance with these Provisions, formulate operational procedures for the management of customer account opening in the futures market and report to the China Securities Regulatory Commission.
The monitoring center should establish and improve the corresponding emergency mechanism to prevent and resolve the operational risks of the unified account opening system.
Thirty-fifth futures companies and securities companies in violation of these provisions, the China Securities Regulatory Commission and its dispatched offices can take regulatory measures such as ordering rectification within a time limit, supervising talks, and issuing warning letters; If it fails to make corrections within the time limit, its behavior may endanger the stable operation of futures companies and damage the legitimate rights and interests of customers, the China Securities Regulatory Commission and its dispatched offices may order futures companies and securities companies to suspend account opening or handle related businesses.
Article 36 The staff of futures exchanges and monitoring centers shall be loyal to their duties, act in accordance with the law, be fair and honest, keep the commercial secrets of futures companies and customers, and shall not seek illegitimate interests by taking advantage of their positions.
Thirty-seventh futures companies and securities companies that violate these provisions shall be punished in accordance with the provisions of Article 70 of the Regulations on the Administration of Futures Trading.
Thirty-eighth futures exchanges and monitoring centers that violate these provisions shall be punished in accordance with the provisions of Articles 68 and 69 of the Regulations on the Administration of Futures Trading.
Article 39 Staff of futures exchanges and monitoring centers who violate these provisions shall be punished in accordance with Article 82 of the Regulations on the Administration of Futures Trading.