A securities company shall keep the customer identity data and transaction records according to the following time limits: (1) The customer identity data shall be kept for at least 5 years from the year when the business relationship ends or the one-time transaction is recorded; (2) The transaction records shall be kept for at least 5 years from the year when the transaction is recorded.
A securities company shall constantly update its emergency plan according to changes in its system and business. Emergency drills shall form a report, which shall be kept for a period of not less than 5 years.
The retention period of business files related to the issuance of securities research reports shall not be less than 5 years from the date of issuance of securities research reports.
The file retention period of securities investment consulting business shall not be less than 5 years from the date of termination of the agreement.
Establish and improve the internal management system, realize the objective, complete and comprehensive scoring in the marketing and service process, and archive the scoring records for management; The retention period of relevant business files shall not be less than 5 years from the date of termination of the relevant agreement.
According to the needs of securities companies, if the licensed representatives of Hong Kong institutions who have obtained permission to provide securities opinions communicate with the clients of securities companies on the contents of the research report on Hong Kong stocks by means of conference calls and forwarding emails by securities companies, the securities companies shall accompany them to ensure that the communication methods and contents comply with the relevant regulations of the Mainland, and record the communication situation. The retention period of relevant business files shall not be less than 5 years.
Securities fund operating institutions shall manage the use of investment advisory services of Hong Kong Stock Connect, and record the time, manner, content and basis of providing investment advisory services of Hong Kong stocks 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.
A securities company shall properly keep the documents, bills, account books, statements, contracts, data and materials related to business introduction in its business premises. The period for a securities company to keep the above documents and materials shall not be less than 5 years. Good luck in the exam.