[美队]法律文件翻译

XXX认为，《证券代销协议》第8.6.4规定，“乙方按照法律法规、招募说明书及本协议的要求受理投资者证券账户开户、认购、申购等业务申请，依法严格审查投资者的申请材料和身份证件，并进行身份识别和身份资料及交易记录的保存。乙方对投资者资料的完整性、表面真实性和形式合法性负责。”该条约定即是对代销机构具体履行代销业务中反洗钱义务的具体要求和责任的明确，由于《中华人民共和国反洗钱法》和《金融机构大额交易和可疑交易报告管理办法》中明确要求金融机构制订和执行大额交易和可疑交易制度，即代销机构作为金融机构应当严格履行此项法定义务，即使代销协议不对此项法定义务进行具体约定，也不会影响证券公司反洗钱内部控制。

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.