• Font Size：
  • S
  • M
  • L

Amended Article

Title：

Operation Directions for Electronic Certificate Delivery by Securities Firms and Futures Commission Merchants  CH

Amended Date： 2022.09.06 
Categories： Information Operations
Article Content Content Search Article No. Search Amended Article Legislative History Chinese
2     Securities firms and futures commission merchants shall adopt certificate delivery procedures to avoid receipt of the certificate by anyone other than the applicant, as follows:
  1. Delivery of the electronic transaction password in person or electronically, in which the certificate shall be subsequently delivered based on the password, coupled with the multifactor authentication mechanism with various factors entered (such as OTP, SIM verification), and relevant records shall be retained.
  2. Delivery of the certificate by other means, in which the investor's or trader's identity must first be verified and relevant records retained by the securities firm or futures commission merchantbefore the certificate can be activated.
 Info
5     When the period of validity of a certificate has expired or the certificate is canceled, the investor or trader shall make a new application for a certificate. The securities firm or futures commission merchant shall adopt the authentication mechanism for the delivery of certificates in Point 2 to effectively verify the investor's or trader's identity and retain relevant records before it may accept the investor's or trader's application.
 Info