Regulations Governing Foreign Exchange Business of Securities Enterprises Article 11

Securities enterprises engaging in the foreign exchange business shall first verify the identity and primary registration information of the customer and ensure that the supporting documents comply with these Regulations before processing the transaction.When a securities enterprise engages in the foreign exchange business, the operation of customer due diligence, record keeping, and reporting of suspicious transactions on money laundering or terrorist financing shall comply with“Money Laundering Control Act”,“Regulations Governing Anti-Money Laundering of Financial Institutions ”and other applicable regulations；the reporting on the property, or property interests and location of the property or property interests of designated individuals, legal persons or entities shall comply with“Terrorism Financing Prevention Act”and other applicable regulations.