>>>welcome visitor, haven't logged in. Login
Subscribe Now Contact us  
Font Size:  A A A Search “Fabao” Window English 中文 = 简体  繁体
  Favorite   DownLoad   Print
 
Trial Measures for the Financial Futures Clearing Business of Futures Companies (2017 Revision) [Revised]
期货公司金融期货结算业务试行办法(2017修改) [已被修订]
【法宝引证码】

Trial Measures for the Financial Futures Clearing Business of Futures Companies

 

期货公司金融期货结算业务试行办法

(Issued by Announcement No. 54 [2007] of the China Securities Regulatory Commission on April 19, 2007; and revised according to the Decision of the China Securities Regulatory Commission on Amending and Repealing Thirteen Regulatory Documents including the Provisions on the Administration of Subordinated Debts of Securities Companies on December 7, 2017.) (2007年4月19日证监发[2007]54号公布,根据2017年12月7日《中国证监会关于修改、废止<证券公司次级债管理规定>等十三部规范性文件的决定》修改)

Chapter I General Provisions 

第一章 总则

Article 1 For the purposes of regulating the financial futures clearing business of futures companies, maintaining the order of the futures market and preventing risks, these Measures are formulated in accordance with the Regulation on the Administration of Futures Trading.   第一条 为了规范期货公司金融期货结算业务,维护期货市场秩序,防范风险,根据《期货交易管理条例》,制定本办法。
Article 2 The term “financial futures clearing business of a futures company” as mentioned in these Measures refers to business activities carried out by a futures company as a clearing member of a financial futures exchange that adopts the graded member clearing system.   第二条 本办法所称期货公司金融期货结算业务,是指期货公司作为实行会员分级结算制度的金融期货交易所(以下简称期货交易所)的结算会员,依据本办法规定从事的结算业务活动。
Article 3 To engage in the financial futures clearing business, a futures company shall abide by these Measures.   第三条 期货公司从事金融期货结算业务,应当遵守本办法。
Article 4 The CSRC and its dispatched institutions may conduct supervision and administration over the futures companies engaging in the financial futures clearing business.   第四条 中国证监会及其派出机构依法对期货公司从事金融期货结算业务实行监督管理。
China Futures Association and the futures exchanges shall conduct self-disciplinary administration over the financial futures clearing business carried out by the futures companies in pursuance of law. 中国期货业协会和期货交易所依法对期货公司的金融期货结算业务实行自律管理。
Chapter II Business Rules 

第二章 业务规则

Article 5 A futures company as a trading clearing member may act as an agent to handle the financial futures clearing business for clients, but shall not do so for non-clearing members.   第五条 交易结算会员期货公司可以受托为客户办理金融期货结算业务,不得接受非结算会员的委托为其办理金融期货结算业务。
Article 6 A futures company as a general clearing member may act as an agent to handle the financial futures clearing business for its clients and for non-clearing members.   第六条 全面结算会员期货公司可以受托为其客户以及非结算会员办理金融期货结算业务。
Article 7 If general clearing member futures company intends to handle any clearing business for a non-clearing member, it enter into a clearing agreement with the non-clearing member. The clearing agreement shall contain:   第七条 全面结算会员期货公司为非结算会员结算,应当签订结算协议。结算协议应当包括下列内容:
(1)how to give trading instructions as well as how to check and verify such trading instructions; (一)交易指令下达方式及审查或者验证措施;
(2) margin standards; (二)保证金标准;
(3) minimum balance of the non-clearing members' security for clearing; (三)非结算会员结算准备金最低余额;
(4) risk management measures, conditions and procedures; (四)风险管理措施、条件及程序;
(5) clearing procedures; (五)结算流程;
(6) notification matters, manner and time limit; (六)通知事项、方式及时限;
(7)circumstances under which the losses incurred may not be attributable to neither of the parties; (七)不可归责于协议双方当事人所造成损失的情形及其处理方式;
(8)modification and cancellation of agreement; (八)协议变更和解除;
(9)liabilities for breach of contract; (九)违约责任;
(10)manner of settlement of disputes; and (十)争议处理方式;
(11)other items which are stipulated by both parties and are not in violation of any law or administrative regulation. (十一)双方约定且不违反法律、行政法规规定的其他事项。
Article 8 Where a client of a non-clearing member applies for or cancels its trading code, the non-clearing member shall follow the provisions of the futures exchange.   第八条 非结算会员的客户申请或者注销其交易编码的, 由非结算会员按照期货交易所的规定办理。
Article 9 A trading instruction given by a non-clearing member shall not enter into the futures exchange until it has been checked or verified by the general clearing member futures company. The general clearing member futures company may, under the stipulations in the clearing agreement, take necessary measures to limit the instructions of non-clearing members.   第九条 非结算会员下达的交易指令应当经全面结算会员期货公司审查或者验证后进入期货交易所。全面结算会员期货公司可以按照结算协议的约定对非结算会员的指令采取必要的限制措施。
Article 10 After a trading instruction given by a non-clearing member enters into the futures exchange, the futures exchange shall timely feed back the entrustment and the trading result to the general clearing member futures company, and to the non-clearing member.   第十条 非结算会员下达的交易指令进入期货交易所后,期货交易所应当及时将委托回报和成交结果反馈给全面结算会员期货公司和非结算会员。
If the non-clearing member objects to the returns of entrustment and the trading result, it shall timely raise an objection to the general clearing member futures company, and to the non-clearing member. 非结算会员对委托回报和成交结果有异议的,应当及时向全面结算会员期货公司和期货交易所提出。
Article 11 A general clearing member futures company shall open a futures margin account in the custodian bank of futures margin so as to deposit the margins of its clients and those of the non-clearing members.   第十一条 全面结算会员期货公司应当在期货保证金存管银行开设期货保证金账户,用于存放其客户和非结算会员的保证金。
The futures margin account of the general clearing member futures company and the said futures company's own capital account shall be independent from each other and shall be managed respectively. 全面结算会员期货公司的期货保证金账户应当与其自有资金账户相互独立、分别管理。
The general clearing member futures company shall open an internal special account for each non-clearing member for specific accounting purposes. 全面结算会员期货公司应当为每个非结算会员开立一个内部专门账户,明细核算。
Article 12 Where a non-clearing member is a futures company, the inflow and outflow of futures business funds between it and a general clearing member futures company can merely be handled through their respective futures margin account.
......
   第十二条 非结算会员是期货公司的,其与全面结算会员期货公司期货业务资金往来,只能通过各自的期货保证金账户办理。
......

Dear visitor, as a premium member of this database, you will get complete access to all content.Please go premium and get more.

1. To become a premium member, please call 400-810-8266 Ext. 171.

2. Binding to the account with access to this database.

3. Apply for a trial account.

4. To get instant access to a document, you can Pay Amount 【¥400.00】 for your single purchase.
 
您好:您现在要进入的是北大法宝英文库会员专区。
如您是我们英文用户可直接 登录,进入会员专区查询您所需要的信息;如您还不是我们 的英文用户;您可通过网上支付进行单篇购买,支付成功后即可立即查看本篇内容。
Tel: +86 (10) 82689699, +86 (10) 82668266 ext. 153
Mobile: +86 13311570713
Fax: +86 (10) 82668268
E-mail:info@chinalawinfo.com
     
     
Scan QR Code and Read on Mobile
【法宝引证码】        北大法宝en.pkulaw.cn
Message: Please kindly comment on the present translation.
 
Confirmation Code:
Click image to reset code
 
  Translations are by lawinfochina.com, and we retain exclusive copyright over content found on our website except for content we publish as authorized by respective copyright owners or content that is publicly available from government sources.

Due to differences in language, legal systems, and culture, English translations of Chinese law are for reference purposes only. Please use the official Chinese-language versions as the final authority. Lawinfochina.com and its staff will not be directly or indirectly liable for use of materials found on this website.

We welcome your comments and suggestions, which assist us in continuing to improve the quality of our materials as we dynamically expand content.
 
Home | About us | Disclaimer | Chinese