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Notice of China Securities Regulatory Commission on Further Strengthening the Real Name Administration in Opening Accounts in Futures Companies
(No.257 [2007] of China Securities Regulatory Commission)
All futures companies:
For the purpose of regulating the operation of futures companies, deepening education toward investors and protecting the legitimate rights and interests of investors, we hereby notify issues concerning strengthening the real name administration in the link of opening accounts in futures companies as follows for your earnest compliance and implementation:
| | 中国证券监督管理委员会关于进一步加强期货公司开户环节实名制工作的通知
（证监期货字[2007]257号）
各期货公司：
为促进期货公司规范运作，深化投资者教育，保护投资者的合法权益，现就进一步加强期货公司开户环节实名制工作的有关要求通知如下，请遵照执行。
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I. From December 1st, 2007, when a futures investor handles the account opening formalities for the first time or applies for a new transaction code, the futures company concerned shall, in accordance with the requirements of this Notice, further strengthen the real name administration and collect and keep the investor's image information.
| | 一、自2007年12月1日起，期货投资者首次办理开户手续或者申请新的交易编码时，期货公司必须按照本通知要求，进一步加强开户实名制工作，采集并保存投资者影像资料。
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II. A natural person investor shall handle the account opening formalities and sign the account opening documents in person, and may not authorize any agent to do so. His identity certificate must be produced when handling the formalities and the futures company concerned shall check and verify his real identity by crosscheck.
As for an institution investor, the power of attorney, the agent's identity certificate and other certificates required must be produced. The futures company concerned shall check and verify the real identity of the agent by crosscheck.
| | 二、自然人投资者必须本人亲自办理开户手续，签署开户文件，不得委托代理人代为办理开户手续。开户时要出具本人身份证，期货公司应当对照核实投资者本人的真实身份。
机构投资者开户时必须出具机构投资者的授权委托书、代理人的身份证和其他开户证件。期货公司应当对照核实代理人的真实身份。
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III. A futures company shall check and verify by crosscheck whether an investor's futures settlement account name is fully identical with his/its name. When opening account, the futures company shall check the investor's name indicated in the Application Form for Opening Account, the Investor Futures Settlement Account Registration Form, the Futures Brokerage Contract and other application materials submitted for opening account, as well as the investor's futures settlement account name to make sure that they are accurate and identical with each other.
If an investor changes his/its futures settlement account after the formalities, the futures company concerned shall re-check and re-verify.
| | 三、期货公司应当对照核实投资者期货结算账户户名与其本人姓名或者名称完全一致。开户时，期货公司应当核对《开户申请表》、《投资者期货结算账户登记表》、《期货经纪合同》等开户资料所记载的投资者姓名或者名称与其登记的期货结算账户户名，确保准确和完全一致。
投资者事后变更期货结算账户的，期货公司要重新核对。
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IV. When opening account, the image information of the investor which must be collected and kept at real-time by the futures company shall include: if the investor is a natural person, a head photo of the investor in the front face and the scanning document of his identity certificate; if the investor is an institution, the head photo of the agent in the front face, the scanning document of the agent's identity certificate, the business certificate of the institution (duplicate) and the scanning document of the organizational code certificate.
．．．．．． | | 四、开户时，期货公司必须实时采集并保存的投资者影像资料有：自然人投资者的头部正面照、身份证正面扫描件，机构投资者的开户代理人头部正面照、开户代理人身份证正面扫描件、机构投资者营业执照（副本）和组织机构代码证的扫描件。
期货公司必须按照统一的格式要求（见附件）采集并以电子文档方式在公司总部集中统一保存投资者影像资料，并随其他开户材料一并存档备查。各营业部也应当保存所办理的投资者开户资料及其影像资料。
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