Summary of the work of securities companies in 2019
First of all, I must thank the company for providing me with a good learning environment and let me have a deeper and clearer understanding of the securities market. Secondly, I would also like to thank all the colleagues who have helped in the work. In this year's work, we have not only made great progress in the concept, but also have a great experience in customer service quality and sales department counter image for half a year. Improvement. The work situation in the past six months is summarized as follows:
First, improve the overall image of the sales department counter to match the company's unified image, unified management and construction, our counter not only insists on the company's requirements in the decoration and dressing appearance, but also has a great improvement in the service quality of the stock customers. The process of handling the business is more reasonable and effective. At present, the customer handling business is handled by the lobby manager, filling out the business order and leading to the counter one-to-one service, and carrying out the electronic file scanning of the business data, as the system extraction has been realized. The scanned copy of the securities account is transmitted from the headquarters to the registration company, so there is a higher requirement for the quality of the scan, and now the business must retain the customer image data and read the ID card information, which also makes the customer have better for the sales department. Awareness and trust.
Second, the exchange emergency drill and counter business system test Hang Seng 2.0 In the first half of the year, our company participated in the emergency drill test issued by the two exchanges, this work is carried out on Saturday, how to be the shortest when there is signal interruption Switching to the disaster recovery room server during the time, how to conduct the wind control report, how to carry out the on-site customer comfort and commentary work, etc., have carried out a good test and learning, so that the business department trading system operates normally, and prevent it from happening.
In the first half of the year, our company organized several upgrades and tests of the Hang Seng 2.0 account system, including the upgrade of the joint account opening, the GEM business, and the electronic voucher scanning service. Now, we can basically implement all services with the 2.0 system. During the test, we used the form of off-duty and weekend overtime to test. Since one control item of the system is linked to multiple menus, each test is tested for each business menu, including personal and institutional accounts. The problem was found to be recorded in a timely manner. For some new content, the key points of learning, such as the newly added document issuing authority, contact information and contact frequency, modified the customer anti-money laundering risk level setting, and finally completed the test with the headquarters.
Third, the customer information collection check this work has been carried out for a long time, in order to implement the China Securities Regulatory Commission's "Notice on Strengthening the Daily Supervision of Securities Company Account Regulations" and China Securities Depository and Clearing Co., Ltd. "Notice on Further Strengthening the Daily Management of Securities Accounts" The spirit of the implementation of "the securities company should regularly check the investor account information registered with the counter system and the registration and settlement system. We spent two months, working overtime to retain more than 30,000 customers. Checking and making electronic documents, identifying customers, such as no reverse, lack of ID card, ID card expiration, lack of professional qualifications, etc., and finally completed the verification of all customers' data, produced into a table, will provide more than 13,000 customers The customer service staff will be notified by telephone to supplement the updated information. For the institutional customers before December 31, XX, they also conducted a centralized check, recording the annual inspection of the customer's retained documents, the letter of inquiry and the retention of various business documents. And made into a table, provided to customer service staff for customer communication.
Fourth, the operating line staff star promotion rating company will conduct the evaluation of the star rating of the operating line staff every quarter. I participated in the first star rating test this year. The test content includes account business, third-party depository business, Block trading, restricted share transfer business, assisting in judicial execution, funds, GEM, ib business, anti-money laundering, new and old board, etc. Due to the wide coverage and tight preparation time, we once again demonstrated the strength of the team. On the basis of not forgetting the daily business, we should pay close attention to the business knowledge that is not easily accessible, and have achieved good results in the examination, and passed the application for the promotion of two-star employees. In the future evaluation of star rating, I will continue to conscientiously consolidate various businesses, solidify basic skills, and actively expand our talents, and strive to rise to three-star employees.
In the upcoming XX years, faced with the difficulties of the stock market in the first half of the year, the large amount of account data, the large amount of work, and the obstacles to the marketing of funds, all of our employees have united and worked together to achieve certain results, but they also recognized themselves. Insufficient, I also failed to complete the marketing task of Jin Ruyi No. 3, hoping to keep up with the company's development pace in the second half of the year, continue to improve daily work, improve customer service quality, establish a good reputation, and let management and service a new platform. Order.
First, improve the overall image of the sales department counter to match the company's unified image, unified management and construction, our counter not only insists on the company's requirements in the decoration and dressing appearance, but also has a great improvement in the service quality of the stock customers. The process of handling the business is more reasonable and effective. At present, the customer handling business is handled by the lobby manager, filling out the business order and leading to the counter one-to-one service, and carrying out the electronic file scanning of the business data, as the system extraction has been realized. The scanned copy of the securities account is transmitted from the headquarters to the registration company, so there is a higher requirement for the quality of the scan, and now the business must retain the customer image data and read the ID card information, which also makes the customer have better for the sales department. Awareness and trust.
Second, the exchange emergency drill and counter business system test Hang Seng 2.0 In the first half of the year, our company participated in the emergency drill test issued by the two exchanges, this work is carried out on Saturday, how to be the shortest when there is signal interruption Switching to the disaster recovery room server during the time, how to conduct the wind control report, how to carry out the on-site customer comfort and commentary work, etc., have carried out a good test and learning, so that the business department trading system operates normally, and prevent it from happening.
In the first half of the year, our company organized several upgrades and tests of the Hang Seng 2.0 account system, including the upgrade of the joint account opening, the GEM business, and the electronic voucher scanning service. Now, we can basically implement all services with the 2.0 system. During the test, we used the form of off-duty and weekend overtime to test. Since one control item of the system is linked to multiple menus, each test is tested for each business menu, including personal and institutional accounts. The problem was found to be recorded in a timely manner. For some new content, the key points of learning, such as the newly added document issuing authority, contact information and contact frequency, modified the customer anti-money laundering risk level setting, and finally completed the test with the headquarters.
Third, the customer information collection check this work has been carried out for a long time, in order to implement the China Securities Regulatory Commission's "Notice on Strengthening the Daily Supervision of Securities Company Account Regulations" and China Securities Depository and Clearing Co., Ltd. "Notice on Further Strengthening the Daily Management of Securities Accounts" The spirit of the implementation of "the securities company should regularly check the investor account information registered with the counter system and the registration and settlement system. We spent two months, working overtime to retain more than 30,000 customers. Checking and making electronic documents, identifying customers, such as no reverse, lack of ID card, ID card expiration, lack of professional qualifications, etc., and finally completed the verification of all customers' data, produced into a table, will provide more than 13,000 customers The customer service staff will be notified by telephone to supplement the updated information. For the institutional customers before December 31, XX, they also conducted a centralized check, recording the annual inspection of the customer's retained documents, the letter of inquiry and the retention of various business documents. And made into a table, provided to customer service staff for customer communication.
Fourth, the operating line staff star promotion rating company will conduct the evaluation of the star rating of the operating line staff every quarter. I participated in the first star rating test this year. The test content includes account business, third-party depository business, Block trading, restricted share transfer business, assisting in judicial execution, funds, GEM, ib business, anti-money laundering, new and old board, etc. Due to the wide coverage and tight preparation time, we once again demonstrated the strength of the team. On the basis of not forgetting the daily business, we should pay close attention to the business knowledge that is not easily accessible, and have achieved good results in the examination, and passed the application for the promotion of two-star employees. In the future evaluation of star rating, I will continue to conscientiously consolidate various businesses, solidify basic skills, and actively expand our talents, and strive to rise to three-star employees.
In the upcoming XX years, faced with the difficulties of the stock market in the first half of the year, the large amount of account data, the large amount of work, and the obstacles to the marketing of funds, all of our employees have united and worked together to achieve certain results, but they also recognized themselves. Insufficient, I also failed to complete the marketing task of Jin Ruyi No. 3, hoping to keep up with the company's development pace in the second half of the year, continue to improve daily work, improve customer service quality, establish a good reputation, and let management and service a new platform. Order.
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