| Order of the China Securities Regulatory Commission | | 中国证券监督管理委员会令 |
| (No. 149) | | （第149号） |
| With the approval of the State Council, the Measures for the Administration of Foreign-Funded Futures Companies are hereby issued, and shall come into force on the date of issuance. | | 经国务院批准，现公布《外商投资期货公司管理办法》，自公布之日起施行。 |
| Chairman: Liu Shiyu | | 主席 刘士余 |
| August 24, 2018 | | 2018年8月24日 |
| Measures for the Administration of Foreign-Funded Futures Companies | | 外商投资期货公司管理办法 |
| Article 1 For purposes of satisfying the requirements for the opening-up of the futures market, and strengthening and improving the supervision and administration of foreign-funded futures companies, these Measures are developed in accordance with the relevant provisions of the Company Law of the People's Republic of China and the Regulation on the Administration of Futures Trading. | | 第一条 为适应期货市场对外开放需要，加强和完善对外商投资期货公司的监督管理，根据《中华人民共和国公司法》、《期货交易管理条例》有关规定，制定本办法。 |
| Article 2 For purposes of these Measures, “foreign-funded futures company” means a futures company of which 5% or more equities is directly held or indirectly controlled by a single foreign shareholder or by multiple foreign shareholders with affiliations. | | 第二条 本办法所称外商投资期货公司是指单一或有关联关系的多个境外股东直接持有或间接控制公司5%以上股权的期货公司。 |
| Article 3 The China Securities Regulatory Commission (“CSRC”) and its local offices shall conduct supervision and administration of foreign-funded futures companies in accordance with the law. | | 第三条 中国证券监督管理委员会（以下简称中国证监会）及其派出机构依法对外商投资期货公司实施监督管理。 |
Article 4 The names, organizational forms, registered capital, formation of organizations and their functions, among others, of foreign-funded futures companies shall comply with the Company Law of the People's Republic of China, the Regulation on the Administration of Futures Trading | | 第四条 外商投资期货公司的名称、组织形式、注册资本、组织机构的设立及职责等，应当符合《中华人民共和国公司法》、《期货交易管理条例》、《期货公司监督管理办法》等法律、行政法规和中国证监会的有关规定。 |
| Article 5 A foreign shareholder directly holding 5% or more equities of a futures company shall, in addition to the conditions set forth in Articles 7 and 9 of the Measures for the Supervision and Administration of Futures Companies, meet the following conditions: | | 第五条 直接持有期货公司5%以上股权的境外股东，除应当符合《期货公司监督管理办法》第七条和第九条规定的条件外，还应当具备下列条件： |
| (1) It has engaged in business operation for five consecutive years or more, and has not received any major punishment from the regulatory authority or administrative or judicial authority of the country or region where it is located in the last three years. | | （一）持续经营5年以上，近3年未受到所在国家或者地区监管机构或者行政、司法机关的重大处罚； |
| (2) The management has good professional qualities and management capabilities. | | （二）管理层具有良好的专业素质和管理能力； |
| (3) It has sound internal control rules and risk management system. | | （三）具有健全的内部控制制度和风险管理体系； |
| (4) It has a good international reputation and business performance, its business scale, revenue and profit have ranked top in the world in the last three years, and its long-term credits have remained at high levels in the last three years. | | （四）具有良好的国际声誉和经营业绩，近3年业务规模、收入、利润居于国际前列，近3年长期信用均保持在高水平； |
| (5) It meets other prudential conditions prescribed by the CSRC. | | （五）中国证监会规定的其他审慎性条件。 |
Where multiple foreign shareholders with affiliations accumulatively hold 5% or more equities of the futures company, each foreign shareholder shall meet the conditions listed in the preceding paragraph.
．．．．．． | | 有关联关系的多个境外股东合计持有期货公司5%以上股权的，每个境外股东均应具备上款所列条件。
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