1. Customer identification. A fund company shall establish a customer identification system, verify the authenticity and legality of customer identities, and record customer information in detail, including name, ID number, contact information, occupation, etc.
2. Transaction monitoring. A fund company shall establish a transaction monitoring system to monitor and warn abnormal transactions. For example, for short-term high-frequency transactions, large cash transactions, non-resident transactions and other transactions, stricter prudential supervision measures should be taken.
3. Risk assessment. A fund company shall evaluate the transaction risks of different customers. For high-risk customers, stricter transaction review measures should be taken, and risk assessment and customer identity information should be updated regularly.
4. Staff training. A fund company shall conduct anti-money laundering training for its employees, improve their knowledge and understanding of anti-money laundering laws and regulations, and enhance their anti-money laundering awareness and sense of responsibility.
5. Legal compliance. The fund company shall abide by the relevant anti-money laundering laws, regulations and regulatory requirements, and ensure that the company's anti-money laundering system and operating procedures comply with the law. At the same time, through the establishment of the company's internal audit mechanism, regular self-inspection of anti-money laundering business is carried out.
In short, the fund company should establish a complete anti-money laundering system and operational procedures, and strengthen employees' awareness of anti-money laundering and responsibility. This is of great significance to maintaining the normal operation of the industry, protecting the rights and interests of customers and promoting the healthy development of the financial market.