1. Perform active management duties: Securities fund operating institutions shall perform active management duties, make investment decisions independently, and shall not entrust Hong Kong institutions providing Hong Kong stock investment consulting services to directly execute investment orders. As a fund manager, the securities fund management institution shall bear the responsibility according to law and shall not be exempted from entrustment. B error.

2. Signing an agreement: A securities fund operating institution shall sign an agreement with a Hong Kong institution that provides Hong Kong stock investment consulting services, stipulating the rights, obligations and responsibilities of both parties, the contents, methods and prohibited acts of the service.

3. Information disclosure: A securities fund operating institution shall truthfully disclose the use of Hong Kong stock investment consulting services in the fund contract or prospectus, including the name, registered address, office address, establishment time of the Hong Kong institution providing Hong Kong stock investment consulting services, the scale of securities assets managed in the latest fiscal year, the principal responsible person and contact information, etc., and fully explain and reveal the possible risks of entrusting Hong Kong institutions to provide Hong Kong stock investment consulting services.

4. Trace management: Securities fund operating institutions shall conduct trace management on the use of Hong Kong Stock Connect investment services, and record the time, method, content and basis of providing Hong Kong stock investment consulting services by Hong Kong institutions in the form of written or electronic documents. From the date of termination of the agreement, the retention period of relevant business files shall not be less than 5 years.