Customer Profile:
Open Source Securities Co., Ltd. was established in February 1994 with a registered capital of 4.614 billion yuan. The controlling shareholder is Shaanxi Coal and Chemical Industry Group Co., Ltd. Headquartered in Xi'an, Shaanxi, with three regional management centers established in Beijing, Shanghai, and Shenzhen. There are 88 branch offices under its jurisdiction, including 6 holding and participating subsidiaries such as Chang'an Futures, Kaiyuan Sichuang, Kaiyuan Investment, and Qianhai Kaiyuan. We have completed the layout of financial holding in multiple formats such as securities, funds, futures, and private equity investment, and are a national, comprehensive, and innovative securities firm with a full business license. As of the end of 2022, the total assets and net assets were 55.1 billion yuan and 16.1 billion yuan respectively. The compound growth rate of operating income and total profit in the past five years far exceeded the industry average. It is one of the 40 local state-owned grassroots enterprises in China and two in Shaanxi, and one of the three securities firms in the securities industry. Through long-term strategic layout, a development model will be formed with the Beijing Stock Exchange as the leader, combining stocks and bonds, insurance linkage, and investment research collaboration. The number of projects approved by the Beijing Stock Exchange ranks among the top 3 in the industry, the number of new listings on the New Third Board for five consecutive years ranks first in the industry, and the number of chief supervisors, innovative enterprises, and financial advisors for stock issuance ranks first in the industry. It has been awarded the "Most Promising Investment Bank" by New Fortune.

Requirement analysis:
Various difficulties such as difficulty in managing physical seals, low efficiency in use, high costs and risks are becoming increasingly prominent in the process of business digitization
① Frequent stamping after work and on holidays
Due to the special nature of securities brokerage business, processes are often completed after work or on holidays, but due to the urgency of the business, stamped documents may need to be used early the next morning; So it is necessary to complete the stamping on the same day, so it is common for business applicants to wait for the approval results with the stamp administrator at the company, working overtime to stamp. This not only fails to keep up with efficiency, but also consumes a lot of manual energy. ② Storing paper documents is troublesome. In the process of internal management and investment and financial management, securities industry organizations need to sign a large number and variety of documents, which not only makes it difficult to unify the content and style during drafting and slow progress, but also poses many problems such as difficulty in saving, accessing, damaging, and losing paper contracts. Especially in the archiving process, it relies entirely on manual organization, resulting in a large workload.   ③ There are many restrictions on the use of physical seals. Open source securities companies have a large number of seals in each department, which are independently managed by each department and cannot be unified. When using, only online approval of content is allowed, and offline printing of documents for stamping may inevitably lead to internal inconsistencies between online and offline, unauthorized inclusion of stamped documents, and the risk of stamping before approval is completed. In addition, institutions in different regions can only travel back and forth or use express delivery for printing, which is costly and inefficient. ④ The legal effect of existing image seals is not guaranteed. Previously, image seals were used in the digitalization process of open source securities business. Due to the lack of CA digital certificate support, contracts or agreements stamped in the service do not have legal effect and cannot provide reliable evidence chain support, which can easily lead to judicial disputes. In order to ensure business compliance, data trustworthiness, and traceable regulations during the digitalization process, Open Source Securities has decided to introduce legal and effective electronic signatures to give legal effect to the online signing process.
Solution:
Establish a unified seal control and electronic signature platform to provide electronic signature support for the HR, administration, external investment, and investment banking business of the Open Source Securities headquarters
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Application scenario:
Integrated with LanLing OA, Jiayang HR, Brokerage Treasure APP, and order investment banking system, realizing electronic signing of documents throughout the entire process of personnel, administration, investment banking, asset management, and brokerage agency

Scenario 1: Electronic signing of agency contracts entrusted by securities brokers
>Signing requirements and background introduction:
" Securities brokers "refer to natural persons outside of securities companies who accept commissions from securities companies to engage in activities such as customer solicitation and customer service on their behalf. When a new securities broker joins, they need to sign a "agency contract" with the securities company. On the basis of the existing broker office software of open source securities, the contract lock electronic signature integrates with the electronic signature application to provide electronic signing support for broker entrusted agency contracts, realizing the digitization of the entire process of broker onboarding, signing, and archiving.  
>Detailed scenario:
① The commissioner of the brokerage business department uploads the entrusted agency contract on the broker office system, fills in the broker's basic information, and initiates the contract approval process. After the approval process, the system automatically creates a contract signing process through the contract lock interface and synchronizes it to the broker's mobile office app to generate a pending message. ③ The broker opens the mobile app to check the signature message, verifies their identity, and can sign electronically online. ④ After the broker signs, the signed documents will be automatically recalled to the business system process form, and the manager of the brokerage business department can open the process for review. At the same time, the company automatically completes the stamping and process archiving internally.
Scenario 2: Electronic signature of investment banking business documents
Business and signing requirements introduction:
The basic business of investment banking is securities issuance sponsorship and underwriting, including enterprise listing (IPO or shell), mergers and acquisitions (financial advisory business), bond issuance, and refinancing of listed companies (rights issue, additional issuance, targeted issuance, etc.). Broadly speaking, investment banking business also includes trading, equity investment, etc. The investment banking business system is mainly used to support the signing of internal single signature documents by securities firms, such as: ① Some companies that want to issue bonds provide banks with inquiry letter materials that require securities firms to stamp during IPO approval; ② Or when disclosing the duration of the debt, the securities firm needs to stamp the disclosure documents; ③ And the cooperation agreement between the issuing company and the securities firm (unilateral electronic signature by the securities firm), etc.
Contract Lock Solution:
Centered around the signing requirements of open source securities investment banking business, the contract lock integrates and connects with the existing vertex investment banking business system of open source. It embeds electronic signatures, electronic templates, and identity authentication functions into the investment banking system process, and constructs numerous investment banking contract document signing processes such as "Fixed Income Business Approval Form", "Stock Transfer Business Contract Approval Form", "Investment Banking Business Material Approval", etc., making it possible for securities firms to sign business documents in investment banking services.




Online approval and online stamping are now available. Support "controlled printing" to achieve controllable paper printing quantity of signed documents.
Scenario 3: Electronic signing of internal documents such as documents and rectification orders
Contract lock can provide online signing services for various "document issuance, contract approval forms, rectification forms, seal application, etc." processes of the headquarters and branches of Open Source Securities through integration with LanLing OA. Employees can apply on their own, and after online approval, they can stamp and automatically generate PDF electronic files. At the same time, it provides file download services to improve file circulation and signing efficiency.  
>Detailed scenario:
① Employees log in to the LanLing OA process platform, select and initiate the printing process. Employees proactively upload the electronic files that require stamping in the process attachment. After approval by the leadership, the office seal administrator clicks the 'sign' button in the OA system to jump to the contract lock signing page for manual stamping. ④ The signing is completed, the system process flows and archives, and employees can view or download electronic files. Scenario 4: Electronic Signature of Personnel Documents Currently, Open Source Securities has enabled electronic signatures for personnel onboarding, internships, contract renewals, resignations, and other processes, allowing for online signing of personnel contracts and certificates. The contract lock has integrated with the Jiayang HR system, embedding electronic signature applications into the HR system process to provide "identity authentication, electronic templates, designated signing locations, and printing control" services for new and renewed labor contracts, employment offers, employee onboarding approval forms, renewal approval forms, resignation certificates, commitment letters, and other documents, improving HR signing efficiency.
Application value:
Providing legal and effective electronic signature services for internal and external signing of open source securities, improving online signing functions for business processes, resolving the hassle of online approval and offline printing and stamping, and enhancing signing efficiency. Unified headquarters and branch seal control platform, providing approval and seal support for internal and external business of the company, ensuring compliance and authorization of seals used by internal branches and securities business departments, and secure signing of investment banking, asset management, and advisory services. Comprehensively eliminate the huge consumption of personnel signing paper within the company, saving internal signing costs such as printing, running errands, and manual sorting and archiving, and optimizing the management and operation costs of securities firms. Integrate with various software systems such as OA, investment banking system, broker system, personnel system, asset management and investment advisory system, improve internal and external signing channels, and promote the digital transformation of the entire process of business approval, signing, and archiving. Click to enter and experience electronic signing for free now!