1. The Measures for the Administration of Sales of Securities Investment Funds stipulates that fund sales institutions shall establish and improve the file management system, and properly keep the account opening information of fund share holders and other information related to sales business. Customer identity information shall be kept for at least 15 years from the year when the business relationship ends, and other information related to sales business shall be kept for at least 15 years from the year when the business occurs. A few years.
2. The Guiding Opinions on Internal Control of Securities Investment Fund Sales Organizations stipulates that fund sales organizations shall establish and improve the file management system and properly keep relevant business information. Customer identity data shall be kept for at least 15 years from the year when the business relationship ends, and transaction records shall be kept for at least 15 years from the year when the transaction records are recorded. System data should be backed up every day and stored in different places.
3. The Regulations on the Management of Information Management Platform of Securities Investment Fund Sales Business stipulates that system data should be backed up daily and stored in different places properly, and the backup of fund investor information and transaction records in system operation data should be kept on non-modifiable media for 65,438+05 years.
4. The Securities Investment Fund Law stipulates that the fund share registration institution shall properly keep the registration materials and back up the names, identity information and detailed information of the fund share holders to the institutions recognized by the China Securities Regulatory Commission. Its preservation period shall not be less than 20 years from the date of cancellation of the fund account.
5. The Measures for the Administration of Appropriateness of Securities and Futures Investors stipulates that an operating institution shall properly keep the relevant information about its performance of appropriateness obligations in accordance with relevant regulations, prevent leakage or improper use, and accept inspection by the China Securities Regulatory Commission, its dispatched offices and self-regulatory organizations. Supporting programs, warning information, audio-visual materials and self-inspection reports shall be kept for a period of not less than 20 years.
Refer to the above? Baidu Encyclopedia-Measures for the Administration of Sales of Securities Investment Funds
Refer to the above? Baidu Encyclopedia-Provisions on the Administration of Information Management Platform of Securities Investment Fund Sales Business
Refer to the above? Baidu Encyclopedia-Securities Investment Fund Law
Refer to the above? Baidu Encyclopedia-Measures for the Administration of Appropriateness of Securities and Futures Investors