T/GDJR 010-2022 Active
T/GDJR 010-2022 The Recording and Audit Regulations for Personal Wealth Management Sales in Commercial Banks - Part 10: Audio-visual Quality Inspection and Audit
Abstract
Scope: This document specifies the quality inspection and audit requirements for dual-recording video files in the personal financial sales areas of commercial banks. The products covered by this document include the banks' own wealth management products, as well as financial products legally issued by cooperative institutions authorized by the bank and sold by the banks' agents. Main technical content: 1. General Provisions 2. Quality Inspection of Dual-Recording Videos 3. Compliance Audit of Dual-Recording Areas 4. Compliance Audit of Staff Identities 5. Compliance Audit of Sales Pitches 6. Compliance Audit of Product Introductions 7. Compliance Audit of Risk Disclosures 8. Compliance Audit of Customer Consent 9. Compliance Audit of Sales Processes
General Product Information
| Document Type | Group standards |
|---|---|
| Standard Status | Active |
| Standard Code | T/GDJR 010-2022 |
| ICS | Financial services, banking, monetary systems, and insurance |
| Implement Date | 2022-08-10 |