The Measures for the Administration of Fund Consignment Business is a normative document issued by China Securities Regulatory Commission, aiming at strengthening the supervision of securities investment fund consignment business and protecting the legitimate rights and interests of investors. It mainly includes account registration, subscription, account change registration, account cancellation registration and investor inquiry.

1, registered account. According to the application form for opening an account filled out by investors, the handling personnel check the legal identity documents and the securities account card/discount to be registered, and then handle the registration account entrustment.

2. subscribe. The handling personnel shall handle the fund subscription entrustment according to the fund subscription entrustment form filled out by investors. Investors can go through the delivery procedures at the networked outlets within the specified time to ensure that the subscribed shares are successfully registered with the relevant securities registration and settlement institutions.

3. Change of registered account. According to the information change application form filled in by investors, the handling personnel check the legal identity certificate and the securities account card/discount to be changed, and then handle the registration account change entrustment.

4. Cancel account registration. According to the application form filled out by the investor, the handling personnel will cancel the registration account entrustment after checking the legal identity certificate and the securities account card/discount to be cancelled.

5. Investor inquiries. Investors handle offline issuance and subscription of closed-end funds. After completing the subscription procedures for investors, the handling personnel can handle the transaction inquiry for investors to determine whether the subscription entrustment of investors has been completed.

Risk prevention of fund agency business;

1. Strengthen the access management of fund products. Banks should conduct centralized and unified management of fund sales products, formulate access standards for fund sales products, increase research on fund products and market risks, optimize fund investment strategies, improve fund product selection capabilities, and carefully select fund products.

2. Strengthen the management and training of sales personnel's business qualifications. Fund sales personnel must hold relevant certificates; Establish a fund sales consulting service process, increase the training of fund products, marketing skills, professional ethics and risk prevention, so that fund sales personnel can sell products to investors with appropriate risk tolerance.

3. Strengthen the management of fund sales appropriateness. The risk assessment link effectively verifies the identity of fund investors, strengthens the application of financial technology, improves the level of customer portraits, accurately identifies the actual risk tolerance of customers, builds a retrospective management mechanism, and has legal and effective anti-denial measures.