1. Sign a sales agreement to clarify rights and obligations: A fund sales institution shall sign a written sales agreement with the fund manager to clarify the rights and obligations of both parties and ensure the compliance of fund sales activities.
2. Establish relevant systems: fund sales institutions shall establish and improve the file management system, customer identification and risk assessment system, and anti-money laundering system to ensure the compliance and safety of fund sales activities.
3. Issue in advance: Fund sales institutions may not issue fund shares in advance, and can only sell fund shares after the fund manager has gone through relevant procedures.
4. Strict account management: fund sales institutions shall strictly manage the fund sales settlement funds to ensure the safety of funds and shall not misappropriate the fund sales settlement funds.
5. Anti-money laundering: A fund sales institution shall establish an anti-money laundering system, conduct identification and risk assessment on customers, report suspicious transactions, and prevent money laundering and other illegal and criminal acts.