In order to further implement the supervision requirements of the futures market and guide the relevant subjects of the futures market to do the information collection and access authentication of the customer transaction terminal, CSRC drafted the "public notice on Further Strengthening the information collection of the customer transaction terminal of the futures trading agencies" ("Bulletin"), on 9th in July to seek public opinion.

In July 2013, CSRC issued the regulations on strengthening information management of the customer transaction terminal information of the securities and futures management institutions, (hereinafter referred to as "the regulations"). It standardizes the technical requirements of the collection content, recording mode and storage time limit of the customer transaction terminal information, and clarifies the collection and management of the futures business organization confidentiality and reporting obligations, etc. But in recent years, with the continuous development of the futures market and the increasing complexity of the customer participation, the existing information collection and delivery methods have not adapted to the development of the market.

The CSRC stated that in order to solve the above problems, it started the work of strengthening the penetration regulation of the futures market at the beginning of 2018, and proposed a multi-dimensional measures to collect customer identity information, and set up an information analysis and transaction behavior analysis system based on the large data collected. In order to ensure the smooth implementation of the regulatory requirements, CSRC drafted the announcement to supplement the relevant provisions.

The main contents of the announcement include three aspects:

The first is to clarify the management of members to customers. The current regulations require the Futures Company to collect the corresponding customer transaction terminal information according to the technical specification, but in practice, the Futures Company transaction software often collects the information of the intermediate equipment, not the customer transaction terminal information. The announcement is intended to clarify futures company's responsibility for the management of customer transactions and require futures company to ensure that the transaction instructions issued by customers reach their information system directly.

The second is to ensure that members can get complete and accurate information from customers. In order to ensure the real, accurate and complete collection of customer identity information by the futures company information system, the futures company need provides access authentication management for the transaction, settlement software and the transaction terminal software used by the customers and ensure that the software has the functions of real, accurate and complete collection and delivery. In order to ensure that the regulatory requirements fall to the ground, the transaction cannot be denied through the software of access authentication management.

Third， it clarifies that the Futures Market Monitoring Center is responsible for receiving customer transaction terminal information. In the regulatory arrangement, CSRC intends to make sure that the Futures Market Monitoring Center is responsible for receiving the terminal information of customers and sharing it with the futures exchange. At the same time, it is clear that Future Market Monitoring Center should formulate relevant technical specifications to guide the futures companies to collect customer transaction terminal information as required.

为进一步落实期货市场看穿式监管要求，指导期货市场相关主体做好客户交易终端的信息采集及接入认证工作，证监会起草了《关于进一步加强期货经营机构客户交易终端信息采集有关事项的公告》（简称《公告》），并于7月9日向社会公开征求意见。

2013年7月份，证监会发布了《关于加强证券期货经营机构客户交易终端信息等客户信息管理的规定》（简称《规定》），规范了客户交易终端信息的采集内容、记录方式、存储期限等技术要求，明确了期货经营机构的采集、管理、保密和报告义务等。但是近年来，随着期货市场的不断发展，客户参与群体日益复杂，现有的信息采集内容、报送方式已不适应市场的发展状况。

证监会表示，为解决上述问题，2018年年初，证监会启动了加强期货市场穿透式监管相关工作，拟多维度主动采集客户身份信息，并基于收集到的大数据信息，建立信息分析和交易行为分析系统。为保证各项监管要求顺利实施，证监会起草了《公告》，对2013年《规定》中有关事项作出补充要求。

《公告》主要内容包括三方面：一是明确会员对客户的管理。现行《规定》要求期货公司应当按照技术规范采集相应的客户交易终端信息，但是实践中，期货公司交易软件经常采集到的是中间设备信息，而不是客户交易终端信息。此次公告拟明确期货公司对客户交易行为的管理责任，要求期货公司应确保客户下达的交易指令直达其信息系统。

二是保证会员能够得到客户完整准确的信息。为保证期货公司信息系统能够真实、准确、完整采集到客户身份信息，规定期货公司对其交易、结算软件以及客户使用的交易终端软件进行接入认证管理，确保软件具备真实、准确、完整地采集和报送功能。为保证监管要求落地，对不能通过接入认证管理的软件，将拒绝其交易。

三是明确由中国期货市场监控中心负责接收客户交易终端信息。此次在监管安排上，证监会拟明确由期货市场监控中心负责接收客户交易终端信息，并共享给期货交易所。同时，明确由期货市场监控中心制定配套的技术规范，用于指导期货公司按要求采集客户交易终端信息。