XXX認為，《證券代銷協議》第8.6.4規定，“乙方按照法律法規、招募說明書及本協議的要求受理投資者證券賬戶開戶、認購、申購等業務申請，依法嚴格審查投資者的申請材料和身份證件，並進行身份識別和身份資料及交易記錄的保存。乙方對投資者資料的完整性、表麵真實性和形式合法性負責。”該條約定即是對代銷機構具體履行代銷業務中反洗錢義務的具體要求和責任的明確，由於《中華人民共和國反洗錢法》和《金融機構大額交易和可疑交易報告管理辦法》中明確要求金融機構製訂和執行大額交易和可疑交易製度，即代銷機構作為金融機構應當嚴格履行此項法定義務，即使代銷協議不對此項法定義務進行具體約定，也不會影響證券公司反洗錢內部控製。
According to Item 8.6.4 of the “Securities Underwriting Agreement”, “Party B shall process the investor's applications for securities account opening, subscription, purchase, and others in accordance with laws and regulations, the prospectus, and the requirements of this Agreement, strictly review the application materials and identification documents according to law, verify the identity, and keep the identification information and transaction records. Party B shall be responsible for the completeness, the apparent truthfulness, and the legality in form of the investor's information.” XXX believes that this provision is a clarification of the specific requirements and responsibilities in the underwriter's performance of the anti-money laundering obligation in the practice of underwriting business. According to XXX, since the “Anti-money Laundering Law of the People’s Republic of China” and the “Measures on the Administration of Reporting of Large Transactions and Suspect Transactions by Financial Institutions” clearly specifies that financial institutions must formulate and implement systems regarding large transactions and suspect transactions, the underwriting institutions, which are financial institutions, are supposed to strictly fulfill the statutory obligation; therefore, the securities company’s anti-money laundering internal control would not be affected even if the underwriting agreement does not have a specific provision on this statutory obligation.
