(1) Customer Management
The management of customers includes: examining the qualifications, sources of funds and credit status of customers, and evaluating the interactive relationship between sources of funds and transaction risks; Strengthen the risk awareness and law-abiding education for customers; Strictly implement the customer margin management system; Improve customers' futures knowledge and trading skills; Different customers and different sources of funds are treated differently and managed by classification; Establish a dispute resolution plan.
(2) Staff management
The management of employees by securities firms includes: improving the futures knowledge level and practical skills of employees; Strengthen internal supervision and strengthen employee professional ethics education; Cultivate high-quality account managers.
(3) Management of settlement and risk management systems and measures
Brokerage companies must establish and improve internal settlement and risk management systems in accordance with the provisions of the Exchange and the China Securities Regulatory Commission; Collect customer deposits in strict accordance with the proportion stipulated by the exchange and maintain moderate positions; Avoid excessive trading and strictly control the risks of customers.
(4) Self-supervision and inspection
Brokers should not only accept the supervision and inspection of the CSRC and the Exchange, but also set up internal auditors to form a strict internal control system, find problems in time and avoid major risk accidents.