The actual operation of client file management and confidentiality mainly includes the following six aspects: (1) Establish a strict information management system and confidentiality system for fund share holders, maintain and update the information of fund share holders in time, and keep the information of fund share holders strictly confidential to prevent improper use of investor information. (2) Define the authority to maintain and use the information of fund share holders and keep relevant records. (3) Establish and improve the file management system and properly keep relevant business data. The Guiding Opinions on Internal Control of Sales Organizations of Securities Investment Funds (Jian Zheng Fund Zi [2007] No.277) stipulates that customer identity information shall be kept for at least 65,438+05 years from the year when the business relationship ends, and transaction records shall be kept for at least 65,438+05 years from the year when the transaction is recorded. (4) Preservation of data-The Guiding Opinions on Internal Control of Sales Organizations of Securities Investment Funds (Zheng Jian Fund Zi [2007] No.277) stipulates that it should be backed up daily and kept in different places properly, and the backup of fund investors' information and transaction records in system operation data should be kept on non-modifiable media for at least 65,438+05 years. (5) Personnel limitation-establish a sound information management system internally and set up necessary information management posts. The person in charge of information technology and the person in charge of information security cannot be concurrently held by the same person, and double posts are implemented in important business links. (six) the implementation of information technology development, operation and maintenance, business operations and other post separation system. And limit the intervention of technical personnel such as information technology development, operation and maintenance on actual business operations.