西部证券股份有限公司关于申请开展 账户管理功能优化试点业务获得中国证券监督管理委员会监管意见书的公告

Core Viewpoint - Western Securities has received regulatory approval from the China Securities Regulatory Commission (CSRC) to conduct an account management function optimization pilot program, indicating a positive step towards enhancing its operational capabilities and compliance with regulatory standards [1][2]. Group 1: Regulatory Approval - The company has received a regulatory opinion letter from the CSRC regarding its application for the account management function optimization pilot program, with no objections raised [1]. - The regulatory opinion emphasizes the importance of safeguarding client funds and managing fund transfers between accounts [2]. Group 2: Compliance and Management Requirements - The company is required to adhere to strict client fund safety measures, including managing the transfer of funds between accounts and ensuring client identity verification according to the "three elements" consistency rule [2]. - There is a mandate for the company to implement comprehensive account management practices, including ongoing management of client identity information and compliance with regulatory reporting requirements [2][3].