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Article 8
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A securities firm shall, on a customer-by-customer basis, establish mechanisms for the collection, payment, transfer, and custody of money and mechanisms for the recordation, transfer, and custody of funds, and incorporate them into its internal control system.
The securities firm shall sign a contract with the centralized securities depositary enterprise, and on a daily basis transmit data including the itemized details of trades and exchanges of funds over the trading platform to the information reporting system designated by the centralized securities depositary enterprise, and the centralized securities depositary enterprise shall save backups of the data and make it available for querying and reference by investors. If any discrepancy is discovered, the securities firm and the centralized securities depositary enterprise shall jointly investigate and determine the cause and correct the discrepancy.
The itemized data that the securities firm shall transmit under the preceding paragraph shall be confined to funds for which the collection and payment of money for subscription and redemption is done through a segregated bank account designated for this purpose by the centralized securities depository enterprise.
Matters relating to information transmission, handling of irregularities, and fees shall be handled in accordance with the provisions of the centralized securities depositary enterprise.
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