1, Caitong and Alipay open accounts! Open one-way video account opening restrictions for brokers! China Clearing revised and issued the Detailed Rules for Off-site Opening of Securities Accounts, which was exclusive to china securities journal 202 1-02-09 Tian Tian Finance and Economics. On February 9, China Clearing revised and issued the Detailed Rules for Off-site Opening of Securities Accounts (hereinafter referred to as the Detailed Rules), which strengthened the risk control requirements of account-opening institutions for off-site handling of securities account business, refined the off-site handling process of securities account business, and strengthened the identification of investors; Allow account opening institutions to choose their own account opening methods on the premise of strengthening compliance management and internal risk control.
2. The detailed rules for implementation propose that account opening institutions are allowed to independently choose one-way and two-way video witness off-site account opening methods on the premise of strengthening compliance management and risk control. China Clearing said that once the off-site account opening control is not strict and the real-name account registration system is not implemented in place, it will take self-discipline management measures in accordance with regulations to effectively protect the legitimate rights and interests of investors.
3, three aspects to further improve the service level of securities companies * * * Chapter 7, 3 1 implementation details, mainly through three aspects to further improve the service level of securities companies.
A, it is a unified industry off-site account opening standard, which allows account opening institutions to independently choose the off-site account opening method of one-way and two-way video witness on the premise of strengthening compliance management and risk control;
B, it is to refine the compliance risk control measures for off-site account opening, requiring the account opening agency to strictly implement the legal requirements such as account real-name registration system, appropriateness management, anti-money laundering and so on, and to refine the operation processes such as identity verification, image acquisition and customer return visit;
C. It is to strengthen the post-event supervision of off-site account opening, compact the main responsibility of the account opening agency, strengthen the monitoring and inspection of off-site account opening business, and take self-discipline management and even supervision measures against illegal acts in strict accordance with the law. This rule adjustment is an important part of the basic system construction of the capital market, which will further improve the service level of securities companies, improve the efficiency of business handling, and make it more convenient for investors to open accounts.
4. It should be noted that this revision is more flexible in the form of account opening, but legal requirements such as account real-name registration system, appropriate management and anti-money laundering should be strictly observed, and the relationship between "release" and "management" should be properly handled. On the one hand, implement the requirements of decentralization, compact the main responsibilities of industry institutions, give full play to the effectiveness of compliance risk control, and turn business control into internal demand; On the other hand, to improve the effectiveness of supervision, the focus of supervision is on supervision during and after the event, and the supervision resources are allocated to key areas, key links and key institutions.
5, Shanghai Vipshop will buy big brands for the whole family, all of which are genuine and not expensive! Advertising Vipshop will check the details and pay close attention to and monitor the development of off-site account opening business. This revision must strictly implement the statutory requirements for the proper management of the real-name registration system and the anti-money laundering of accounts. On this basis, securities companies can open accounts flexibly. The regulatory authorities will continue to strengthen supervision and management, pay close attention to the development of off-site account opening business, and conduct spot checks on key links. Companies that are lax in internal control and fail to implement legal requirements such as real-name account registration system, appropriate management and anti-money laundering will follow the requirements of "zero tolerance".
6. Strictly investigate and punish according to law. According to the rules, all account-opening institutions need to carefully sort out business plans, improve business processes, strengthen business management and control, optimize business systems and strengthen personnel management, truly form an effective self-management and self-restraint mechanism, effectively improve their business level and protect the legitimate rights and interests of investors.