银华基金管理有限公司市场开发部工作手册直销业务流程、运行规则、监控方式及相关技术系统直销工作流程、运行规则、监控方式及相关技术系统目录第一章销售工作的组织架构及控制原则...................................................................1第一节销售工作的组织架构...................................................................................1第二节监控原则.......................................................................................................2一、业务隔离控制...............................................................................................2二、业务流程控制...............................................................................................2三、系统监控.......................................................................................................31.权限控制.......................................................................................................32.系统双重审核...............................................................................................33.实时监控.......................................................................................................34.及时备份.......................................................................................................3第二章直销工作流程、运行规则及监控方式...........................................................4第一节直销总体工作流程及规则...........................................................................4第二节直销账户管理业务流程、运行规则及监控方式.......................................7一、开户...............................................................................................................71.业务概述.......................................................................................................72.业务流程.......................................................................................................7-1-1银华基金管理有限公司市场开发部工作手册直销业务流程、运行规则、监控方式及相关技术系统3.运行规则及监控方式...................................................................................8二、开立交易账户.............................................................................................101.业务概述.....................................................................................................102.业务流程.....................................................................................................103.运行规则及监控方式.................................................................................12三、基金账户资料的变更.................................................................................131.业务概述.....................................................................................................132.业务流程.....................................................................................................143.运行规则及监控方式.................................................................................15四、基金账户卡的挂失补办.............................................................................171.业务概述.....................................................................................................172.业务流程.....................................................................................................173.运行规则监控方式..............................
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